Current Report Filing (8-k)
January 03 2023 - 08:31AM
Edgar (US Regulatory)
0001640384false00016403842022-12-292022-12-29
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
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Date of Report (Date of earliest event reported):
December 29, 2022
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LM FUNDING AMERICA, INC.
(Exact name of Registrant as Specified in Its Charter)
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Delaware
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001-37605
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47-3844457
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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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1200 West Platt Street
Suite 100
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Tampa,
Florida
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33606
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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:
813
222-8996
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(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:
☐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))
Securities registered pursuant to Section 12(b) of the
Act:
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Title of each class
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Trading
Symbol(s)
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Name of each exchange on which registered
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Common Stock par value $0.001 per share
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LMFA
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The NASDAQ Stock Market LLC
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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 December 29, 2022, as previously disclosed, the Company convened
its 2022 Annual Meeting of Stockholders (the “Annual
Meeting”).
The Company’s Proxy Statement included two proposals to be voted on
by the stockholders at the Annual Meeting, and details regarding
each proposal may be found in the Proxy Statement. On the record
date of November 17, 2022, there were 13,091,833 shares of Common
Stock outstanding and eligible to vote. At the Annual Meeting, the
stockholders: (i) elected the three persons identified below to
serve as Class III directors of the Company to hold office until
the third annual meeting of stockholders following their election;
and (ii) ratified the appointment of Malone Bailey LP as the
independent registered public accounting firm of the
Company.
Proposal 1: Election of directors
The two nominees for election as Class III directors were elected
based upon the following votes:
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Name
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Votes For
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Votes Withheld
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Broker Non-Votes
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Andrew L. Graham
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2,470,710
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731,486
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2,309,164
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Frederick Mills
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2,499,302
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702,894
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2,309,164
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Frank Silcox
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3,118,833
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83,363
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2,309,164
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Proposal 2: Ratification of independent registered public
accounting firm
The appointment of Malone Bailey LP to serve as the Company’s
independent registered accounting firm for fiscal year 2022 was
ratified as follows:
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Votes For
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Votes Against
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Votes Abstain
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Broker Non-Votes
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5,445,764
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57,377
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8,414
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-
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Item 9.01 Financial Statements and Exhibits.
(d) Exhibits
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Exhibit
Number
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Description
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104
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Cover
Page Interactive Data File, formatted in Inline Extensible Business
Reporting Language (iXBRL)
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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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LM Funding America, Inc
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Date:
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January 2, 2023
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By:
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/s/ Richard Russell
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Richard Russell, CFO
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LM Funding America (NASDAQ:LMFA)
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