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

February 9, 2021

Date of Report (Date of earliest event reported)

 

PennantPark Floating Rate Capital Ltd.

(Exact name of registrant as specified in its charter)

 

 

 

Maryland

814-00891

27-3794690

(State or other jurisdiction of incorporation)

(Commission File Number)

(IRS Employer Identification No.)

 

590 Madison Avenue, 15th Floor

 

New York, NY

10022

(Address of principal executive offices)

(Zip Code)

212-905-1000

(Registrant’s telephone number, including area code)

Securities registered pursuant to Section 12(b) of the Act:

 

Title of Each Class

Trading Symbol(s)

Name of Each Exchange on Which Registered

Common Stock, par value $0.001 per share

PFLT

The Nasdaq Stock Market LLC

 

 

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 (§ 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 9, 2021, PennantPark Floating Rate Capital Ltd. (the “Company”) held its annual meeting of stockholders (the “Annual Meeting”) and submitted two matters to the vote of its stockholders. The proposals are described in detail in the Company’s definitive proxy statement filed with the Securities and Exchange Commission on December 8, 2020. As of December 1, 2020, the record date, 38,772,074 shares of common stock were eligible to vote. A summary of the matters voted upon by the stockholders is set forth below.

Proposal 1. The Company’s stockholders elected two Class I directors of the Company, who will each serve until the 2024 Annual Meeting and until his successor is duly elected and qualifies.

The voting results as of February 9, 2021, as certified by the inspector of election, are set forth below:

 

Name

 

For

 

 

Against

 

 

Abstain

 

 

Broker Non-Vote

 

Marshall Brozost

 

 

9,075,846

 

 

 

3,833,199

 

 

 

245,577

 

 

 

12,185,229

 

% of Shares Voted

 

 

68.99

%

 

 

29.14

%

 

 

1.87

%

 

N/A

 

Samuel L. Katz

 

 

10,158,548

 

 

 

2,747,564

 

 

 

248,510

 

 

 

12,185,229

 

% of Shares Voted

 

 

77.22

%

 

 

20.89

%

 

 

1.89

%

 

N/A

 

 

Proposal 2. The Company’s stockholders ratified the selection of RSM US LLP to serve as the Company’s independent registered public accounting firm for the year ending September 30, 2021.

The voting results as of February 9, 2021, as certified by the inspector of election, are set forth below:

 

 

 

For

 

 

Against

 

 

Abstain

 

Shares Voted

 

 

24,877,910

 

 

 

213,803

 

 

 

248,138

 

% of Shares Voted

 

 

98.18

%

 

 

0.84

%

 

 

0.98

%

 



 

 

 

SIGNATURE

Pursuant to the requirements of the Securities Exchange Act of 1934, as amended, the Registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.

 

 

 

 

 

 

PennantPark Floating Rate Capital Ltd.

 

 

Dated: February 12, 2021

 

/s/ AVIV EFRAT

 

 

Aviv Efrat

Chief Financial Officer & Treasurer

 

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