Current Report Filing (8-k)
August 22 2013 - 2:04PM
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 20, 2013
Investors
Capital Holdings, Ltd.
(Exact
name of registrant as specified in its charter)
Delaware
|
333-43664
|
04-3284631
|
(State or Other Jurisdiction
of Incorporation)
|
(Commission
File Number)
|
(IRS Employer
Identification No.)
|
Six Kimball Lane, Suite 150
Lynnfield, MA 01940
(Address
of Principal Executive Offices) (Zip Code)
Registrant's telephone
number, including area code: (800) 949-1422
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:
⃞
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))
Item 5.07 Submission of Matters to a Vote of Security Holders.
On August 20, 2013 the Registrant held its annual meeting of
stockholders at which: (i) the following persons were elected as
directors to hold office, subject to the provisions of the Registrant’s
By-Laws, until the next annual meeting of stockholders and until their
respective successors shall have been duly elected and qualified; (ii)
Marcum LLP was appointed as the independent public accountants for the
Registrant for the fiscal year ending March 31, 2014; (iii) an advisory
“say-on-pay” vote approved the Registrant’s executive compensation; and
(iv) an advisory vote established a three year frequency for future
“say-on-pay” votes was ratified by the stockholders with the following
voting results, there being 3,813,031 broker non-votes for Proposal #1,
no broker non-votes for Proposal #2, 3,813,031 broker non-votes for
Proposal #3, and no broker non-votes for Proposal #4:
Proposal #1 ELECTION OF DIRECTORS, TO SERVE AS SUCH UNTIL THE NEXT
ANNUAL MEETING OF STOCKHOLDERS AND UNTIL THEIR RESPECTIVE SUCCESSORS ARE
DULY ELECTED AND QUALIFIED.
|
Directors
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For
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Withheld
|
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Blaise A. Aguirre
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2,257,172
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34,683
|
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William J. Atherton
|
2,257,414
|
34,441
|
|
James D. Crosson
|
2,229,629
|
62,226
|
|
Don E. Ingram
|
2,256,114
|
35,741
|
|
Robert T. Martin
|
2,257,414
|
34,441
|
|
Robert P. Mazzarella
|
2,257,414
|
34,441
|
|
Timothy B. Murphy
|
2,256,314
|
35,541
|
Proposal #2 RATIFICATION OF THE APPOINTMENT OF MARCUM LLP AS INDEPENDENT
PUBLIC ACCOUNTANTS FOR THE COMPANY’S FISCAL YEAR ENDING MARCH 31, 2014.
|
For
|
Against
|
Abstain
|
|
|
|
|
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6,068,619
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21,737
|
14,530
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Proposal #3 ADVISORY VOTE ON THE APPROVAL OF EXECUTIVE COMPENSATION
|
For
|
Against
|
Abstain
|
|
|
|
|
|
1,849,647
|
388,575
|
53,633
|
Proposal #4 ADVISORY VOTE ON THE FREQUENCY OF FUTURE ADVISORY VOTES ON
EXECUTIVE COMPENSATION
|
1 Year
|
2 Years
|
3 Years
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Abstain
|
|
|
|
|
|
|
605,851
|
108,259
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1,514,236
|
63,509
|
SIGNATURES
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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Investors Capital Holdings, Ltd.
|
|
|
|
|
|
|
|
|
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By
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/s/ Timothy B. Murphy
|
|
|
|
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Timothy B. Murphy,
|
|
|
|
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Chief Executive Officer
|
|
|
|
|
|
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Date:
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August 21, 2013
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|
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