Form 8-K

 

 

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) September 8, 2016

 

 

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))

 

 

 


Item 5.07 Submission of Matters to a Vote of Security Holders

Nicholas Financial, Inc. held its Annual General Meeting of Shareholders on September 8, 2016. The following tables detail the voting results:

Election of Directors

 

     Shares
Voted For
     Shares Withholding
Authority
   Broker Non-Votes

Ralph Finkenbrink

     3,262,159       143,512    2,356,151

Kevin Bates

     3,235,220       170,451    2,356,151

The directors whose terms of office as directors continued after the meeting were Scott Fink, Robin Hastings, and Todd Pfister.

Ratification of Appointment of Dixon Hughes Goodman, LLP as Independent Auditors

 

Shares

Voted For

  

Shares

Abstaining

  

Shares Voted Against

  

Broker Non-Votes

5,746,860

   10,400    4,562    —  

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

 

Shares

Voted For

  

Shares

Abstaining

  

Shares Voted Against

  

Broker Non-Votes

3,322,742

   5,677    77,252    2,356,151


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: September 13, 2016

   

/s/ Ralph T. Finkenbrink

    Ralph T. Finkenbrink
    Chairman, President, Chief Executive Officer
    (Principal Executive Officer)

Date: September 13, 2016

   

/s/ Katie MacGillivary

    Katie MacGillivary
   

Vice President, Chief Financial Officer

(Principal Financial Officer and Accounting Officer)