Current Report Filing (8-k)
March 01 2019 - 4:48PM
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): February 27, 2019
Castle
Brands Inc.
(Exact
name of registrant as specified in its charter)
Florida
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001-32849
|
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41-2103550
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(State
or other jurisdiction
of incorporation)
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(Commission
File Number)
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(I.R.S.
Employer
Identification No.)
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122
East 42nd Street, Suite 5000,
New
York, New York
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10168
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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: (646) 356-0200
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:
[ ]
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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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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.
Castle
Brands Inc., a Florida corporation (the “Company”), held its 2018 annual meeting of shareholders (the “Annual
Meeting”) on February 27, 2019. A total of 151,694,418 shares of common stock of the Company were present or represented
at the meeting, constituting a quorum.
Listed
below are the matters voted upon and the final results of such voting:
1.
All of the nominees for director were elected, each to hold office until the next annual meeting of shareholders and until their
successors are duly elected and qualified, as follows:
Name
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For
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Withheld
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Broker Non-Votes
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Mark Andrews
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104,236,301
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4,029,929
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43,428,188
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John F. Beaudette
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104,369,106
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3,897,124
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43,428,188
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Henry C. Beinstein
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103,779,563
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4,486,667
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43,428,188
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Phillip Frost, M.D.
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101,701,630
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6,564,600
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43,428,188
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Dr. Richard M. Krasno
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103,900,109
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4,366,121
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43,428,188
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Richard J. Lampen
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102,829,758
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5,436,472
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43,428,188
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Steven D. Rubin
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101,299,564
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6,966,666
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43,428,188
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Mark Zeitchick
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102,691,468
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5,574,762
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43,428,188
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2.
The appointment of EisnerAmper LLP as the Company’s independent registered public accounting firm for fiscal 2019 was ratified,
as follows:
For
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Against
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Abstain
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Broker Non-Votes
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147,289,699
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3,228,310
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1,176,409
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0
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3.
The compensation of the Company’s named executive officers was approved, on an advisory basis, as follows:
For
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Against
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Abstain
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Broker Non-Votes
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102,627,319
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5,462,123
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176,788
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43,428,188
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4.
The Company’s shareholders approved, on an advisory basis, the holding of future advisory votes on say on pay every year,
as follows:
One Year
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Two Years
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Three Years
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Abstain
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104,972,926
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81,212
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1,131,784
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2,080 ,308
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In
accordance with its prior recommendation that an advisory vote on the compensation of the Company’s named executive officers
occur every year and the shareholder voting results at the Annual Meeting, in which one year received a majority of the votes
cast, the board of directors of the Company has determined that future advisory votes on the compensation of the Company’s
named executive officers will occur every year until the next advisory vote regarding frequency.
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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Castle
Brands Inc.
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March 1
,
2019
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By:
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/s/
Alfred J. Small
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Name:
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Alfred
J. Small
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Title:
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Senior
Vice President, Chief Financial Officer, Treasurer & Secretary
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