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EX-99.1 - EXHIBIT 99.1 - Logan Ridge Finance Corp.v378070_ex99-1.htm

 

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):

 

May 13, 2014 (May 8, 2014)

 

CAPITALA FINANCE CORP.

(Exact name of registrant as specified in its charter)

 

 

Maryland   814-01022   90-0945675
(State or other jurisdiction of incorporation)   (Commission File Number)        (I.R.S. Employer Identification No.)

 

4201 Congress St., Suite 360

Charlotte, NC 28209

(Address of principal executive offices and zip code)

 

Registrant’s telephone number, including area code: (704) 376-5502

 

 

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 2.02.Results of Operations and Financial Condition

 

On May 12, 2014, Capitala Finance Corp. (the “Company”) issued a press release announcing its financial results for the quarter ended March 31, 2014, the text of which is attached hereto as Exhibit 99.1.

 

The information disclosed under this Item 7.01, including Exhibit 99.1 hereto, is being furnished and shall not be deemed “filed” for purposes of Section 18 of the Securities Exchange Act of 1934 and shall not be deemed incorporated by reference into any filing made under the Securities Act of 1933, except as expressly set forth by specific reference in such filing.

 

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

 

The Company held its Annual Meeting of Shareholders on May 8, 2014 and submitted two matters to the vote of the shareholders. A summary of the matters voted upon by shareholders is set forth below.

 

1. Shareholders elected one nominee for director who will serve for a three-year term to expire at the 2017 Annual Meeting of Shareholders based on the following votes:

 

Name  Votes For   Votes Withheld   Broker Non-Votes 
                
R. Charles Moyer   6,325,529    39,415    2,303,435 

 

2. Shareholders ratified the appointment of Ernst & Young LLP as the Company’s independent registered public accounting firm for the fiscal year ending December 31, 2014 based on the following votes:

 

Votes For   Votes Against   Abstentions   Broker Non-Votes 
                  
 8,662,943    2,700    2,736     

 

Item 9.01Financial Statements and Exhibits.

 

(a)Not applicable.

 

(b)Not applicable.

 

(c)Not applicable.

 

(d)Exhibits.

 

 

  Exhibit No.   Description
       
  99.1   Press release dated May 12, 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: May 13, 2014 CAPITALA FINANCE CORP.  
         
         
    By: /s/ Stephen A. Arnall  
      Stephen A. Arnall  
      Chief Financial Officer