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): | September 11, 2018 |
VII Peaks Co-Optivist Income BDC II, Inc.
(Exact name of registrant as specified in its charter)
| Maryland | 0-54615 | 45-2918121 | ||
| (State or other jurisdiction | (Commission File No.) | (I.R.S. Employer | ||
| of incorporation) | Identification No.) |
|
4 Orinda Way, Suite 125-A Orinda, California |
94563 |
| (Address of principal executive offices) | (Zip Code) |
Registrant's telephone number, including area code: (855) 889-1778
Not Applicable
(Former name or 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 (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)) |
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. ¨
Section 8 – Other Events
Item 8.01 Results of Operations and Financial Condition.
On September 11, 2018, the Board of Directors of the Company held an in-person meeting at which the independent Board members unanimously voted to reapprove the investment advisory agreement between VII Peaks Capital, LLC (the “Manager”) and the Company.
Section 5 – Corporate Governance and Management
Item 5.07 Submission of Matters to a Vote of Security Holders.
The Company held its Adjourned Annual Meeting of Stockholders on September 13, 2018 (the “Annual Meeting”). At the Annual Meeting, our stockholders elected the person listed below to serve as a director for a term of three- year expiring at the 2020 Annual Meeting of Stockholders and until a successor is duly elected and qualified.
Item 1: The election of one director for a three-year term expiring at the 2020 Annual Meeting
| Units For | Units Against | Units Abstained | Total Units | |
| Robert Winspear | 2,022,745 | 47,516 | 113,034 | 2,183,295 |
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.
| VII Peaks Co-Optivist Income BDC II, Inc. | ||
| September 14, 2018 | ||
| By: | /s/ Gurpreet S. Chandhoke | |
| Gurpreet S. Chandhoke | ||
| Chairman of the Board of Directors, Chief Executive Officer and President | ||