Current Report Filing (8-k)
February 06 2020 - 4:31PM
Edgar (US Regulatory)
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, DC 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) February 6,
2020
________________________
Gladstone Capital Corporation
(Exact name of Registrant as Specified in Charter)
________________________
Maryland
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814-00237
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54-2040781
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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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1521 Westbranch Drive, Suite 100
McLean, Virginia
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22102
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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: (703) 287-5800
________________________
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:
☐
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Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)
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☐
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Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)
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☐
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Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))
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☐
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Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))
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Securities registered pursuant to Section 12(b) of the Act:
Title of each class
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Trading symbol
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Name of each exchange on which
registered
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Common Stock, $0.001 par value per share
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GLAD
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Nasdaq Global Select Market
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6.125% Notes due 2023, $25.00 par value per note
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GLADD
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Nasdaq Global Select Market
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5.375% Notes due 2024, $25.00 par value per note
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GLADL
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Nasdaq Global Select Market
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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 5.07. Submission of Matters to a Vote of Security Holders.
On February 6, 2020, Gladstone Capital Corporation (the “Company”) held its
2020 Annual Meeting of Stockholders (the “Annual Meeting”). There were present at the Annual Meeting in person or by
proxy, stockholders holding an aggregate of 24,579,085 shares of the Company’s common stock.
The matters considered and voted on by the stockholders at the annual meeting and the
vote of the stockholders were as follows:
1.
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The following individuals were elected as directors,
Michela A. English and Anthony W. Parker, to serve until the 2023 Annual Meeting of Stockholders and until their successors are
elected and qualified, by the following vote:
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For
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Withheld
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Broker
Non-Votes
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Michela A. English
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9,034,203
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268,918
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15,275,964
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Anthony W. Parker
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8,849,392
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453,729
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15,275,964
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2.2.
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The ratification of the selection by the Audit Committee of our Board of Directors
of PricewaterhouseCoopers LLP as our independent registered public accounting firm for our fiscal year ending September 30, 2020,
by the following vote.
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For
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Against
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Abstain
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Broker Non-Votes
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24,045,758
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301,117
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232,210
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0
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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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GLADSTONE CAPITAL CORPORATION
(Registrant)
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By:
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/s/ Nicole Schaltenbrand
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Nicole Schaltenbrand
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February 6, 2020
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Chief Financial Officer and Treasurer
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