Current Report Filing (8-k)
December 21 2020 - 4:07PM
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): December 21, 2020 (December 18, 2020)
PRINCETON CAPITAL CORPORATION
(Exact name of registrant as specified in
its charter)
Maryland
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814-00710
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46-3516073
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(State or other jurisdiction
of incorporation)
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(Commission
File Number)
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(IRS Employer
ID Number)
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800 Turnpike Street
Suite 300
North Andover, Massachusetts
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01845
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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: (978) 794-3366
(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. ☐
Securities registered pursuant to Section 12(b)
of the Act:
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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None
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None
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None
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Item 5.07.
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Submission of Matters to a Vote of Security Holders
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On December 18, 2020, Princeton
Capital Corporation, a Maryland corporation (the “Company”) held its 2020 Annual Meeting of Stockholders (the “2020
Annual Meeting”). At the 2020 Annual Meeting, the stockholders voted on (i) the election of Darren Stainrod, Mark DiSalvo,
Martin Laidlaw, and Greg Bennett to the Company’s Board of Directors, (ii) the ratification of the selection of WithumSmith&Brown,
PC (“WithumSmith”) as the Company’s independent registered public accounting firm for the year ending December
31, 2020, and (iii) the approval of the adjournment of the Annual Meeting, if necessary or appropriate, to solicit additional proxies.
The stockholders re-elected
all four nominees for director, ratified the selection of WithumSmith for the year ending December 31, 2020, and approved the adjournment
of the Annual Meeting to solicit additional proxies, however it was not necessary.
The full results of the matters
voted on at the 2020 Annual Meeting are set forth below:
Proposal No. 1 – Election
of Directors:
Nominee
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Votes
For
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Votes Withheld
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Broker
Non-Votes
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Darren Stainrod
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115,748,474
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9,608
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437,070
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Mark S. DiSalvo
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115,748,474
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9,608
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437,070
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Martin Laidlaw
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115,748,474
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9,608
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437,070
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Greg Bennett
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115,748,474
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9,608
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437,070
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Proposal No. 2 – Ratification
of the Selection of WithumSmith&Brown, PC as the Company’s Independent Registered Public Accounting Firm for the Fiscal
Year Ending December 31, 2020:
Votes For
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Votes Against
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Abstentions
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116,154,639
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31,659
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8,853
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There were no broker non-votes
for Proposal 2.
Proposal No. 3 – To
Approve the Adjournment of the Annual Meeting, if Necessary or Appropriate, to Solicit Additional Proxies:
Votes For
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Votes Against
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Abstentions
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Broker Non-Votes
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116,192,436
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63
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2,653
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0
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No other proposals were submitted
to a vote of the Company’s stockholders.
SIGNATURE
Pursuant to the requirements of the
Securities and Exchange Act of 1934, as amended, the Company has duly caused this report to be signed on its behalf by the undersigned
hereto duly authorized.
Dated: December 21, 2020
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PRINCETON CAPITAL CORPORATION
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By:
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/s/ Gregory J. Cannella
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Name: Gregory J. Cannella
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Title: Chief Financial Officer
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