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): June 20, 2017 (June 15, 2017)
Alcentra Capital Corporation
(Exact name of registrant as specified in its charter)
| Maryland | 1-36447 | 46-2961489 | ||
|
(State or other jurisdiction of incorporation or organization) |
(Commission File Number) |
(IRS Employer Identification Number) |
200 Park Avenue,
7th Floor
New York, NY 10166
(Address of principal executive offices)
Registrant’s telephone number, including area code (212) 922-8240
Not Applicable
(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)) |
Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (17 CFR §230.405) or Rule 12b-2 of the Securities Exchange Act of 1934 (17 CFR §240.12b-2).
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. |
Alcentra Capital Corporation (the “Company”) held its 2017 Annual Meeting of Shareholders (the “Annual Meeting”) on June 15, 2017. At the Annual Meeting, the Company submitted two proposals to the vote of the shareholders which are described in more detail in the Company’s proxy statement dated April 27, 2017. As of May 8, 2017, the record date for the Annual Meeting, 13,437,059 shares of the Company’s common stock were outstanding and entitled to vote.
On June 15, 2017, the following proposals were submitted to the vote of the shareholders:
| (1) | the proposal to elect two directors of the Company; and |
| (2) | the proposal to ratify the appointment of KPMG LLP as the Company’s independent registered public accounting firm for the fiscal year ending December 31, 2017. |
Of the shares eligible to be voted, 9,901,975 were submitted in connection with these proposals.
A summary of the matters voted upon by shareholders is set forth below:
| Proposal 1. | The Company’s shareholders elected Paul J. Echausse, to serve for a term of three years, or until his successor is duly elected and qualified. |
| For | Withheld | Broker Non-Votes | |||||
| 5,058,686 | 70,206 | 4,773,083 | |||||
| The Company’s shareholders elected Steven H. Reiff, to serve for a term of three years, or until his successor is duly elected and qualified. |
| For | Withheld | Broker Non-Votes | |||||
| 5,059,128 | 69,764 | 4,773,083 | |||||
|
|
Proposal 2. | The Company’s shareholders voted to approve the proposal to ratify the appointment of KPMG LLP as the Company’s independent registered public accounting firm for the fiscal year ending December 31, 2017. |
All Stockholders
| Votes For | Votes Against | Abstain | Broker Non-Votes | |||
| 9,826,018 | 62,332 | 13,625 | 0 |
A third proposal included in the Company’s
proxy statement was to vote to approve the adjournment of the Annual Meeting, if necessary or appropriate, to solicit additional
proxies. Because Proposals 1 and 2 received sufficient votes and the Company did not need to solicit additional proxies and therefore
the Company’s shareholders did not need to vote on the third proposal.
SIGNATURE
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: June 20, 2017 | ALCENTRA CAPITAL CORPORATION | |
| By: | /s/ Ellida McMillan | |
|
Name: Ellida McMillan Title: Chief Financial Officer and Chief | ||