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): December 4, 2018
First Capital Investment Corporation
(Exact Name of Registrant as Specified in Its Charter)
| Maryland | 814-01137 | 47-1709055 |
| (State or other jurisdiction of incorporation or organization) |
(Commission File Number) |
(I.R.S.
Employer Identification No.) |
410 Park Avenue
14th Floor
New York, NY 10022
(Address of principal executive offices)
(212) 601-2769
(Registrant’s telephone number, including area code)
N/A
(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 (§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. ☐ | ||
| Item 5.02 | Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers. |
Resignation of Reid Maclellan as Chief Operating Officer of the Company
On December 4, 2018, Reid Maclellan, the Chief Operating Officer (“COO”) of the Company, submitted his resignation as officer thereof, effective as of October 15, 2018. The departure of Dr. Maclellan was not related to any disagreement with the Company’s operations, policies or practices.
Appointment of David Lessen as Chief Operating Officer of the Company
As of December 4, 2018, the Board appointed David Lessen as COO of the Company. Such appointment is effective as of October 15, 2018. Dr. Lessen is also the current Chief Financial Officer, Treasurer and Secretary of the Company.
SIGNATURE
Pursuant to the requirements of the Securities Exchange Act of 1934, as amended, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.
Dated: December 7, 2018 |
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| First Capital Investment Corporation | |||
| /s/ Derek Taller | |||
| Derek Taller | |||
| President & Chief Executive Officer | |||