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 25, 2014
FULL CIRCLE CAPITAL CORPORATION
(Exact name of registrant as specified in
its charter)
Maryland |
814-00809
|
27-2411476 |
(State or other jurisdiction of incorporation) |
(Commission File umber) |
(I.R.S. Employer Identification No.) |
|
|
|
800 Westchester Ave., Suite S-620
Rye Brook, NY 10573
(Address of principal
executive offices and zip code)
Registrant’s
telephone number, including area code: (914) 220-6300
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))
Item 5.02 Departure of Directors or Certain Officers; Election
of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers.
On July 29, 2014, Full Circle Capital Corporation
(the “Company”) issued a press release announcing that the Company’s Board of Directors has expanded its size
to include six directors and has appointed Terence “Tad” Flynn to serve as a director until the 2015 Annual Meeting
of Stockholders scheduled to take place in January 2015. All of the foregoing actions are effective as of July 25, 2014.
A copy of the press release is included as
Exhibit 99.1 to this current report on Form 8-K and is incorporated by reference herein.
Item 9.01 Financial Statements and Exhibits.
Exhibit No. |
Description |
|
|
99.1 |
Press Release dated July 29, 2014 |
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 29, 2104 |
FULL CIRCLE CAPITAL CORPORATION |
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By: /s/ John E. Stuart_______________________ |
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John E. Stuart |
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Co-Chief Executive Officer |
Exhibit 99.1
Full Circle Capital Appoints Tad Flynn
to Board of Directors
RYE BROOK, NY, July 29, 2014 – Full
Circle Capital Corporation (NASDAQ:FULL) (“Full Circle Capital”) announced today that it has appointed Terence “Tad”
Flynn to its Board of Directors, thereby expanding the Board of Directors to six members. Mr. Flynn will also serve on Full Circle
Capital’s Audit Committee, Nominating and Corporate Governance Committee, and Compensation Committee.
“Tad Flynn brings a strong set
of skills, experience and insight to Full Circle Capital’s Board of Directors. We look forward to his
contributions to Full Circle Capital as we continue to expand our platform and capabilities,” commented Gregg
J. Felton, President and Co-Chief Executive Officer of Full Circle Capital.
Mr. Flynn, 53, is a Managing Director at
Houlihan Lokey, where he currently serves as Head of Asset Management Services. Previously, he co-founded the firm’s Capital
Markets practice. Mr. Flynn is based in Houlihan Lokey’s New York office. Before joining Houlihan Lokey in 2009, Mr. Flynn
was the head of the Alternative Capital Markets Group at UBS, where he headed the firm’s efforts in raising private alternative
capital for public and private clients. Prior to taking on this mandate, he was a Managing Director in the Equity Capital Markets
Group, having joined UBS in 2001. From 1998 to 2001, Mr. Flynn founded and ran Phoenix Media Group, a hybrid old-new media music
firm focused on the aggregation of copyrighted material.
From 1993 to 1998, Mr. Flynn served in
various roles at Salomon Brothers, where he established the corporate equity derivative group and managed the combined convertible
capital markets and corporate equity derivative group. In 1995, he was named the deputy head of Salomon’s Global Equity Derivatives.
Mr. Flynn began his career at Bankers Trust in 1983 in the corporate finance department and subsequently became a member of its
derivatives group and founded the municipal derivative effort. While at Bankers Trust, in 1986, he joined the emerging markets
group, and from 1987 through 1989, he ran the corporate finance arm of emerging markets. In 1990, he rejoined Bankers Trust’s
derivatives group focusing on equity derivatives. Mr. Flynn also currently serves on the board of directors of Lone Pine Resources,
Inc., a Calgary-based energy firm. Mr. Flynn received a B.A. with honors in Economics from Harvard College in 1983.
About Full Circle Capital
Full Circle Capital Corporation (NASDAQ:
FULL) is a Rye Brook, New York based closed-end investment company that has elected to be treated as a business development company
under the Investment Company Act of 1940. Full Circle Capital lends to and invests in senior secured loans and, to a lesser extent,
mezzanine loans and equity securities issued by lower middle-market companies that operate in a diverse range of industries. Full
Circle Capital’s investment objective is to generate both current income and capital appreciation through debt and equity
investments. For additional information visit the company’s website, www.fccapital.com.
Forward-Looking Statements
This press release contains forward-looking
statements which relate to future events or Full Circle Capital's future performance or financial condition. Any statements that
are not statements of historical fact (including statements containing the words "believes," "plans," "anticipates,"
"expects," "estimates" and similar expressions) should also be considered to be forward-looking statements.
These forward-looking statements are not guarantees of future performance, condition or results and involve a number of risks and
uncertainties. Actual results may differ materially from those in the forward-looking statements as a result of a number of factors,
including those described from time to time in Full Circle Capital's filings with the Securities and Exchange Commission. Full
Circle Capital undertakes no duty to update any forward-looking statements made herein.
Company Contacts: |
Investor Relations Contacts: |
John Stuart, Co-Chief Executive Officer |
Stephanie Prince |
Gregg J. Felton, Co-Chief Executive Officer |
Jody Burfening |
Full Circle Capital Corporation |
Lippert/Heilshorn & Associates |
914-220-6300 |
212-838-3777 |
info@fccapital.com |
sprince@lhai.com
|
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