GLADSTONE CAPITAL CORP

Regulatory Filings • Feb 6, 2020

8-K 1 f8k_020620.htm FORM 8-K

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UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

WASHINGTON, DC 20549

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FORM 8-K

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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 6, 2020

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Gladstone Capital Corporation

(Exact name of Registrant as Specified in Charter)

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Maryland	814-00237	54-2040781
(State or other jurisdiction of incorporation)	(Commission File Number)	(IRS Employer Identification No.)

1521 Westbranch Drive, Suite 100 McLean, Virginia	22102
(Address of principal executive offices)	(Zip Code)

Registrant’s telephone number, including area code: (703) 287-5800

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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:

| Title of each class | Trading symbol | Name of each exchange on which
registered |
| --- | --- | --- |
| Common Stock, $0.001 par value per share | GLAD | Nasdaq Global Select Market |
| 6.125% Notes due 2023, $25.00 par value per note | GLADD | Nasdaq Global Select Market |
| 5.375% Notes due 2024, $25.00 par value per note | GLADL | Nasdaq Global Select Market |

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. ☐

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Item 5.07. Submission of Matters to a Vote of Security Holders.

On February 6, 2020, Gladstone Capital Corporation (the “Company”) held its 2020 Annual Meeting of Stockholders (the “Annual Meeting”). There were present at the Annual Meeting in person or by proxy, stockholders holding an aggregate of 24,579,085 shares of the Company’s common stock.

The matters considered and voted on by the stockholders at the annual meeting and the vote of the stockholders were as follows:

1. The following individuals were elected as directors, Michela A. English and Anthony W. Parker, to serve until the 2023 Annual Meeting of Stockholders and until their successors are elected and qualified, by the following vote:

Michela A. English	9,034,203	268,918	15,275,964
Anthony W. Parker	8,849,392	453,729	15,275,964

1. 1. The ratification of the selection by the Audit Committee of our Board of Directors of PricewaterhouseCoopers LLP as our independent registered public accounting firm for our fiscal year ending September 30, 2020, by the following vote.

For	Against	Abstain	Broker Non-Votes
24,045,758	301,117	232,210	0

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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.

By:	/s/ Nicole Schaltenbrand
	Nicole Schaltenbrand
February 6, 2020	Chief Financial Officer and Treasurer

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