UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, DC 20549
FORM
CURRENT REPORT
PURSUANT TO SECTION 13 OR 15(D)
OF THE SECURITIES EXCHANGE ACT OF 1934
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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) |
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Securities registered pursuant to Section 12(b) of the Act:
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| (Nasdaq Global Select Market) |
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 2, 2023, Gladstone Capital Corporation (the “Company”) held its 2023 Annual Meeting of Stockholders (the “Annual Meeting”). There were present at the Annual Meeting in person or by proxy, stockholders holding an aggregate of 23,279,946 shares of the Company’s common stock.
The matters considered and voted on by the stockholders at the Annual Meeting and the vote of the stockholders were as follows:
| 1. | The following individuals were elected as directors, Michela A. English and Anthony W. Parker, to serve until the 2026 Annual Meeting of Stockholders and until their successors are elected and qualified, by the following vote: |
| For | Withheld | Broker Non-Votes |
||||||||||
| Michela A. English |
9,558,106 | 715,969 | 13,005,871 | |||||||||
| Anthony W. Parker |
9,435,644 | 838,431 | 13,005,871 | |||||||||
| 2. | The ratification of the selection by the Audit Committee of our Board of Directors of PricewaterhouseCoopers LLP as our independent registered public accounting firm for our fiscal year ending September 30, 2023, by the following vote. |
| For |
Against |
Abstain |
Broker Non-Votes | |||
| 22,604,253 | 499,792 | 175,901 | 0 |
Item 9.01. Financial Statements and Exhibits.
(d) Exhibits.
| Exhibit No. |
Description | |
| 104 | Cover Page Interactive Data File (embedded within the Inline XBRL document). | |
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.
| GLADSTONE CAPITAL CORPORATION (Registrant) | ||||||
| By: | /s/ Nicole Schaltenbrand | |||||
| Nicole Schaltenbrand | ||||||
| February 2, 2023 | Chief Financial Officer and Treasurer | |||||