Current Report Filing (8-k)
August 15 2017 - 3:09PM
Edgar (US Regulatory)
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 8-K
CURRENT REPORT
Pursuant to Section 13 or 15(d) of The Securities
Exchange Act of 1934
Date of Report (Date of Earliest Event Reported):
August 9, 2017
NOVATION
COMPANIES, INC.
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(Exact name of registrant as specified in its charter)
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Maryland
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000-22897
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74-2830661
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(State or Other Jurisdiction
of Incorporation)
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(Commission
File Number)
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(IRS Employer
Identification No.)
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500 Grand Boulevard, Suite 201B, Kansas City, MO
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64106
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(Address of Principal Executive Offices)
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(Zip Code)
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Registrant’s Telephone Number, Including
Area Code: (816) 237-7000
Not Applicable
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(Former Name or Former Address, If Changed Since Last Report)
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Check the appropriate box below if the Form 8-K filing is intended
to simultaneously satisfy the filing obligation of the registrant under any of the following provisions (
see
General Instruction
A.2. below):
☐ Written communications
pursuant to Rule 425 under the Securities Act (17 CFR 230.425)
☐ Soliciting material
pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)
☐ Pre-commencement
communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))
☐ Pre-commencement
communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))
Indicate by check mark whether the registrant is an emerging
growth company as defined in Rule 405 of the Securities Act of 1933 (§230.405 of this chapter) or Rule 12b-2 of the Securities
Exchange Act of 1934 (§240.12b-2 of this chapter).
Emerging growth company ☐
If an emerging growth company, indicate by check mark if
the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting
standards provided pursuant to Section 13(a) of the Exchange Act. ☐
Item 5.02 Departure of Directors
or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers.
On August 9, 2017, the Board of Directors
(the “Board”) of Novation Companies, Inc. (the “Company”) appointed Carolyn K. Campbell to serve as the
Company’s Chief Financial Officer. Prior to Ms. Campbell’s appointment, that position had been filled by the Company’s
Chief Executive Officer, Rodney E. Schwatken.
Ms. Campbell, age 46, previously worked
as an independent contractor in internal audit and tax roles for various businesses from July 2016 to August 2017. From 2007 to
March 2016, Ms. Campbell served as the Company’s Internal Audit Manager and was responsible for overseeing corporate audit
processes and developing and implementing risk-based audit plans and internal controls over financial recordkeeping and reporting.
From 2001 to 2004, Ms. Campbell was an internal auditor with Butler Manufacturing Company, a construction engineering company.
From 1995 to 2001, Ms. Campbell was employed by Houlihan’s Restaurant Group, a developer of restaurant concepts, most recently
as a tax analyst. Ms. Campbell holds a Bachelor of Science in Business Administration from the University of Central Missouri.
Ms. Campbell is employed by the Company on an at will basis and receives an annual base salary of $125,000.
SIGNATURE
Pursuant to the requirements of the Securities Exchange
Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.
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NOVATION COMPANIES, INC.
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DATE: August 15, 2017
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/s/ Rodney E. Schwatken
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Rodney E. Schwatken
Chief Executive Officer
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