pnnt-8k_20210209.htm

 

 

 

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

February 9, 2021

Date of Report (Date of earliest event reported)

 

 

PennantPark Investment Corporation

(Exact name of registrant as specified in its charter)

 

 

 

Maryland

814-00736

20-8250744

(State or other jurisdiction of incorporation)

(Commission File Number)

(IRS Employer Identification No.)

 

 

590 Madison Avenue, 15th Floor, New York, NY

10022

(Address of principal executive offices)

(Zip Code)

 

 

212-905-1000

(Registrant’s telephone number, including area code)

 

 

Securities registered pursuant to Section 12(b) of the Act:

 

Title of Each Class

Trading Symbol(s)

Name of Each Exchange on Which Registered

Common Stock, par value $0.001 per share

PNNT

The Nasdaq Stock Market LLC

5.50% Notes due 2024

PNNTG

The Nasdaq Stock Market LLC

 

 

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.

 

 


 

 

 

 

Item 5.07

Submission of Matters to a Vote of Security Holders

On February 9, 2021, PennantPark Investment Corporation (the “Company”) held its annual meeting of stockholders (the “Annual Meeting”) and submitted two matters to the vote of its stockholders. The proposals are described in detail in the Company’s definitive proxy statement filed with the Securities and Exchange Commission on December 8, 2020. As of December 1, 2020, the record date, 67,045,105 shares of common stock were eligible to vote. A summary of the matters voted upon by the stockholders is set forth below.

 

Proposal 1. The Company’s stockholders elected three directors of the Company; one Class I director who will serve until the 2023 Annual Meeting and until his successor is duly elected and qualifies, and two Class II directors each of whom will serve until the 2024 Annual Meeting and until his successor is duly elected and qualifies.

The voting results as of February 9, 2021, as certified by the inspector of election, are set forth below:

 

Name

 

For

 

 

Against

 

 

Abstain

 

 

Broker Non-Vote

 

Class I

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

Marshall Brozost

 

 

17,742,456

 

 

 

11,898,470

 

 

 

445,321

 

 

 

21,005,443

 

% of Shares Voted

 

 

58.97

%

 

 

39.55

%

 

 

1.48

%

 

N/A

 

Class II

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

Adam Bernstein

 

 

17,349,506

 

 

 

12,292,726

 

 

 

444,015

 

 

 

21,005,443

 

% of Shares Voted

 

 

57.67

%

 

 

40.86

%

 

 

1.48

%

 

N/A

 

Jeffrey Flug

 

 

23,165,906

 

 

 

6,495,319

 

 

 

425,022

 

 

 

21,005,443

 

% of Shares Voted

 

 

77.00

%

 

 

21.59

%

 

 

1.41

%

 

N/A

 

 

 

Proposal 2. The Company’s stockholders ratified the selection of RSM US LLP to serve as the Company’s independent registered public accounting firm for the year ending September 30, 2021.

The voting results as of February 9, 2021, as certified by the inspector of election, are set forth below:

 

 

 

For

 

 

Against

 

 

Abstain

 

Shares Voted

 

 

49,934,000

 

 

 

675,077

 

 

 

482,613

 

% of Shares Voted

 

 

97.73

%

 

 

1.32

%

 

 

0.95

%

 



 

 

 

SIGNATURE

Pursuant to the requirements of the Securities Exchange Act of 1934, as amended, the Registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.

 

 

 

 

 

 

 

 

 

 

 

 

 

 

PennantPark Investment Corporation

 

 

 

 

Date: February 12, 2021

 

 

 

 

 

/s/ AVIV EFRAT

 

 

 

 

 

 

Aviv Efrat

Chief Financial Officer & Treasurer