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): February 17, 2021
Energy Services of America Corporation
(Exact Name of Registrant as Specified in its Charter)
| Delaware (State or other Jurisdiction of Incorporation) | 001-32998 (Commission File Number) | 20-4606266 (I.R.S. Employer Identification No.) |
| 75 West 3rd Ave., Huntington, West Virginia | 25701 | |
| (Address of Principal Executive Offices) | (Zip Code) |
Registrant’s telephone number, including area code: (304) 522-3868
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 (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)) |
Securities registered pursuant to Section 12(b) of the Act:
| Title of each class | Ticker symbol(s) | Name of each exchange on which registered |
| Not Applicable | Not Applicable | Not Applicable |
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 5.07 | Submission of Matters to a Vote of Security Holders. |
On February 17, 2021, Energy Services of America Corporation (the “Company”) held its Annual Meeting of Stockholders. At the Annual Meeting, stockholders considered the election of directors, the ratification of Arnett Carbis Toothman LLP as the Company’s independent registered public accountants and an advisory, non-binding resolution with respect to executive compensation. A breakdown of the votes cast is set forth below.
1. The election of directors.
| For | Withheld | Broker Non-Votes | ||||||||||
| Marshall T. Reynolds | 6,273,853 | 192,508 | 2,901,771 | |||||||||
| Jack M. Reynolds | 6,276,405 | 189,956 | 2,901,771 | |||||||||
| Neal W. Scaggs | 6,310,599 | 155,762 | 2,901,771 | |||||||||
| Joseph L. Williams | 6,336,330 | 130,031 | 2,901,771 | |||||||||
| Douglas V. Reynolds | 6,330,248 | 136,113 | 2,901,771 | |||||||||
| Frank S. Lucente | 6,367,015 | 99,346 | 2,901,771 | |||||||||
| Daniel J. Mannes | 6,445,011 | 21,350 | 2,901,771 | |||||||||
| Samuel G. Kapourales | 6,451,032 | 15,329 | 2,901,771 | |||||||||
| Charles Abraham | 6,309,385 | 156,926 | 2,901,771 | |||||||||
| Bruce H. Elliott | 6,449,935 | 16,426 | 2,901,771 | |||||||||
2. The ratification of the appointment of Arnett Carbis Toothman LLP as the Company’s independent registered public auditing firm for the year ending September 30, 2021.
| For | Against | Abstain | ||||||||
| 9,336,587 | 19,394 | 12,151 | ||||||||
3. An advisory, non-binding resolution with respect to our executive compensation.
| For | Against | Abstain | ||||||||
| 6,280,792 | 180,777 | 4,792 | ||||||||
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.
| ENERGY SERVICES OF AMERICA CORPORATION | ||
| DATE: February 18, 2021 | By: | /s/Charles P. Crimmel |
| Charles P. Crimmel | ||
| Chief Financial Officer | ||