Current Report Filing (8-k)
May 29 2019 - 4:51PM
Edgar (US Regulatory)
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): May 29, 2019 (May 28, 2019)
PRINCETON
CAPITAL CORPORATION
(Exact
name of registrant as specified in its charter)
Maryland
|
|
814-00710
|
|
46-3516073
|
(State
or other jurisdiction
of incorporation)
|
|
(Commission
File Number)
|
|
(IRS
Employer
ID Number)
|
800
Turnpike Street
Suite
300
North
Andover, Massachusetts
|
|
01845
|
(Address
of principal executive offices)
|
|
(Zip
Code)
|
Registrant’s
telephone number, including area code: (978) 794-3366
(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. ☐
Securities
registered pursuant to Section 12(b) of the Act:
Title
of each class
|
|
Trading
Symbol(s)
|
|
Name
of each exchange on which registered
|
None
|
|
None
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None
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Item
5.07.
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Submission
of Matters to a Vote of Security Holders
|
On
May 28, 2019, Princeton Capital Corporation, a Maryland corporation (the “Company”) held its 2019 Annual Meeting of
Stockholders (the “2019 Annual Meeting”). At the 2019 Annual Meeting, the stockholders voted on (i) the election of
Darren Stainrod, Mark DiSalvo, Martin Laidlaw, and Greg Bennett to the Company’s Board of Directors, (ii) the ratification
of the selection of WithumSmith&Brown, PC (“WithumSmith”) as the Company’s independent registered public
accounting firm for the year ending December 31, 2019, and (iii) the approval of the adjournment of the Annual Meeting, if necessary
or appropriate, to solicit additional proxies.
The
stockholders re-elected all four nominees for director, ratified the selection of WithumSmith for the year ending December 31,
2019, and approved the adjournment of the Annual Meeting to solicit additional proxies, however it was not necessary.
The
full results of the matters voted on at the 2019 Annual Meeting are set forth below:
Proposal
No. 1 – Election of Directors:
Nominee
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|
Votes For
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|
Votes Withheld
|
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Broker
Non-Votes
|
|
|
|
|
|
|
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Darren Stainrod
|
|
115,728,537
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8,650
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497,328
|
|
|
|
|
|
|
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Mark S. DiSalvo
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115,728,537
|
|
8,650
|
|
497,328
|
|
|
|
|
|
|
|
Martin Laidlaw
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|
115,728,537
|
|
8,650
|
|
497,328
|
|
|
|
|
|
|
|
Greg Bennett
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|
115,728,537
|
|
8,650
|
|
497,328
|
Proposal
No. 2 – Ratification of the Selection of WithumSmith&Brown, PC as the Company’s Independent Registered Public
Accounting Firm for the Fiscal Year Ending December 31, 2019:
Votes For
|
|
Votes Against
|
|
Abstentions
|
|
|
|
|
|
116,234,513
|
|
0
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2
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There
were no broker non-votes for Proposal 2.
Proposal
No. 3 – To Approve the Adjournment of the Annual Meeting, if Necessary or Appropriate, to Solicit Additional Proxies:
Votes For
|
|
Votes Against
|
|
Abstentions
|
|
Broker Non-Votes
|
|
|
|
|
|
|
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116,206,624
|
|
0
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27,890
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|
0
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No
other proposals were submitted to a vote of the Company’s stockholders.
SIGNATURE
Pursuant
to the requirements of the Securities and Exchange Act of 1934, as amended, the Company has duly caused this report to be signed
on its behalf by the undersigned hereto duly authorized.
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PRINCETON
CAPITAL CORPORATION
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|
|
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Dated:
May 29, 2019
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By:
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/s/
Gregory J. Cannella
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Name:
Gregory J. Cannella
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|
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Title:
Chief Financial Officer
|
2
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