Amended Current Report Filing (8-k/a)

Date : 12/28/2018 @ 8:32PM
Source : Edgar (US Regulatory)
Stock : Asta Funding Inc (ASFI)
Quote : 10.2538  0.0438 (0.43%) @ 9:27PM

Amended Current Report Filing (8-k/a)




Washington, D.C. 20549








Pursuant to Section 13 or 15(d)

of the Securities Exchange Act of 1934


Date of Report (Date of earliest event reported): November 30 , 201 8





(Exact name of registrant as specified in its charter)







001- 35637


22 - 3388607

(State or other jurisdiction

of incorporation)



File Number)


(IRS Employer

Identification No.)


210 Sylvan Avenue

Englewood Cliffs, NJ 07632

( 201 ) 567-5648

(Address, including zip code, and telephone number, including area code, of

the registrant’s principal executive offices)


Not Applicable

(Former name or former address, if changed since last report)




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))


Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 or Rule 12b-2 of the Securities Exchange Act of 1934.


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. ☐






Explanatory Note


This Current Report on Form 8-K/A (this “Amendment”) amends the Current Report on Form 8-K filed by Asta Funding, Inc. (the “Company”) with the U.S. Securities and Exchange Commission on December 3, 2018 (the “Original Form 8-K”). The Original Form 8-K reported the final voting results of the Company’s 2018 annual meeting of stockholders held on November 30, 2018 (the “Annual Meeting”). The sole purpose of this Amendment is to disclose the Company’s decision as to the frequency of future shareholder advisory votes regarding the compensation of the Company’s named executive officers. Except as set forth herein, no other modifications have been made to the Original Form 8-K.


Item 5.07. Submission of Matters to a Vote of Security Holders


As previously disclosed in the Original Form 8-K, in an advisory vote on the frequency of future advisory votes on the compensation of the Company’s named executive officers held at the Annual Meeting, 236,694 shares voted for every year, 60,531 shares voted for every two years, 3,639,433 shares voted for every three years, 1,360 shares abstained and there were 1,530,368 broker non-votes. In accordance with these results and its previous recommendation (as set forth in the definitive proxy statement for the Annual Meeting), the Board of Directors of the Company has determined that the Company will hold future say-on-pay votes every three years.







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.



Asta Funding , Inc.


Date: December 28, 2018


/s/ Bruce R. Foster



Bruce R. Foster



Chief Financial Officer


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