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 18, 2014
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 |
August 18, 2014 - Clearwater, Florida. - Nicholas Financial, Inc. (Nasdaq, NICK), held the Company’s Annual General Meeting of Shareholders on August 12, 2014. The following tables detail the voting results:
Election of Directors
| Shares Voted For |
Shares Abstaining |
Shares Withholding Authority |
Broker Non-Votes | |||||||||||||
| Ralph Finkenbrink |
6,239,460 | — | 130,409 | 3,167,279 | ||||||||||||
| Kevin Bates |
5,865,324 | — | 504,545 | 3,167,279 | ||||||||||||
| Stephen Bragin |
4,520,333 | — | 1,849,536 | 3,167,279 | ||||||||||||
The directors whose terms of office as directors continued after the meeting were Scott Fink, and Alton R. Neal.
Appointment of Dixon Hughes Goodman, LLP as Independent Auditors
| Shares Voted For |
Shares Abstaining |
Shares Withholding Authority |
Broker Non-Votes | |||||||||||
| 9,527,171 | — | 9,977 | — | |||||||||||
Vote on Executive Compensation (“Say on Pay”)
| Shares Voted For |
Shares Abstaining |
Shares Voted Against | Broker Non-Votes | |||||||||||
| 6,198,888 | 151,275 | 19,706 | 3,167,279 | |||||||||||
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 18, 2014 | /s/ Ralph T. Finkenbrink | |||
| Ralph T. Finkenbrink | ||||
| Chairman, President, Chief Executive Officer | ||||
| (Principal Executive Officer) | ||||
| Date: August 18, 2014 | /s/ Katie MacGillivary | |||
| Katie MacGillivary | ||||
| Vice President, Chief Financial Officer | ||||
| (Principal Financial Officer and Accounting Officer) | ||||