UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, DC 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) August 23, 2018

 

 

NICHOLAS FINANCIAL, INC.

(Exact name of registrant as specified in its Charter)

 

 

 

British Columbia, Canada   0-26680   8736-3354

(State or Other Jurisdiction of

Incorporation or Organization)

 

(Commission

File Number)

 

(I.R.S. Employer

Identification No.)

2454 McMullen Booth Road, Building C

Clearwater, Florida

  33759
(Address of Principal Executive Offices)   (Zip Code)

(727) 726-0763

(Registrant’s telephone number, Including area code)

Not applicable

(Former name, former address and former fiscal year, 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 (see General Instruction A.2. below):

 

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

Nicholas Financial, Inc. held its Annual General Meeting of Shareholders on August 23, 2018. The following tables detail the voting results:

Election of Directors

 

    

Shares

Voted For

  

Shares Withholding

Authority

  

Broker Non-Votes

Robin J. Hastings

   4,807,660    116,978    1,117,652

Jeffrey Royal

   4,828,312    96,326    1,117,652

Douglas Marohn

   4,853,670    70,968    1,117,652

The directors whose terms of office as directors continued after the meeting were Adam Peterson and Jeremy Zhu.

Ratification of Appointment of RSM US, LLP as Independent Auditors

 

Shares

Voted For

  

Shares

Abstaining

  

Shares Voted Against

  

Broker Non-Votes

5,874,356

   76,928    91,006    —  

Advisory Vote on Executive Compensation (“Say on Pay”)

 

Shares

Voted For

  

Shares

Abstaining

  

Shares Voted Against

  

Broker Non-Votes

3,858,146

   495,576    570,916    1,117,652


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.

 

     

NICHOLAS FINANCIAL, INC.

(Registrant)

Date: August 24, 2018      

/s/ Kelly M. Malson

     

Kelly M. Malson

Chief Financial Officer