Current Report Filing (8-k)
July 30 2018 - 4:04PM
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):
July
27, 2018
OXFORD
SQUARE CAPITAL CORP.
(Exact
name of registrant as specified in its charter)
Maryland
|
000-50398
|
20-0188736
|
(State or other jurisdiction of incorporation)
|
(Commission File
Number)
|
(I.R.S. Employer
Identification No.)
|
|
|
|
8
Sound Shore Drive, Suite 255
Greenwich,
CT 06830
(Address
of principal executive offices and zip code)
Registrant’s
telephone number, including area code:
(203) 983-5275
Check
the appropriate box below if the Form 8-K 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
July 27, 2018, Oxford Square Capital Corp. (the
“Company”
) held its Annual Meeting of Stockholders (the
“Meeting”
). Set forth below are the proposals voted upon at the Meeting, as set forth in the Company’s
Definitive Proxy Statement on Schedule 14A, filed with the U.S. Securities and Exchange Commission on June 26, 2018, and the final
voting tabulation reported by the Company’s inspector of elections.
The
Company’s Board of Directors fixed the close of business on June 20, 2018 as the record date for identifying those stockholders
entitled to notice of, and to vote at, the Meeting. A total of 49,702,768 shares of the Company’s common stock
were entitled to vote at the Meeting. A quorum of the stockholders was present at the Meeting. The final voting results for each
of the proposals were as follows:
Proposal
1.
Stockholders elected two nominees for directors, who will each serve for a three-year
term to expire at the 2021 Annual Meeting of Stockholders based on the following votes
:
Name
|
|
For
|
|
|
Withheld
|
|
|
Broker Non-
Votes
|
|
Jonathan
H. Cohen
|
|
|
15,347,178
|
|
|
|
597,370
|
|
|
|
—
|
|
George
Stelljes III
|
|
|
13,250,540
|
|
|
|
2,694,008
|
|
|
|
—
|
|
Proposal
2.
Stockholders ratified the appointment of PricewaterhouseCoopers LLP to serve as the Company’s independent registered
public accounting firm for the fiscal year ending December 31, 2018 based on the following votes:
For
|
|
Against
|
|
Abstain
|
|
Broker
Non-Votes
|
|
44,203,112
|
|
|
492,657
|
|
|
389,323
|
|
|
—
|
|
|
|
|
|
|
|
|
|
|
|
The
Company had also solicited votes for the adjournment of the Meeting, if necessary or appropriate, to solicit additional proxies
(
“Proposal 3”
). However, since it was not necessary to adjourn the Meeting to solicit additional votes
on the first two proposals, a vote was not taken on Proposal 3.
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.
Date: July 30, 2018
|
OXFORD SQUARE CAPITAL CORP.
|
|
|
|
|
|
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By:
|
/s/ Saul
B. Rosenthal
|
|
|
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Saul B. Rosenthal
|
|
|
|
President
|
|
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