UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM8-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): June 24, 2020 (June 22, 2020)
THL Credit, Inc.
(Exact name of registrant as specified in its charter)
Delaware | 814-00789 | 27-0344947 | ||
(State or other jurisdiction of incorporation or organization) | (Commission File Number) | (IRS Employer Identification Number) |
500 Boylston Street, Suite 1200
Boston, MA 02116
(Address of principal executive offices)
Registrant’s telephone number, including areacode (800) 450-4424
Not Applicable
(Former name or former address, if changed since last report)
Check the appropriate box below if theForm 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 toRule 14a-12 under the Exchange Act (17CFR 240.14a-12) |
☐ | Pre-commencement communications pursuant toRule 14d-2(b) under the Exchange Act (17CFR 240.14d-2(b)) |
☐ | Pre-commencement communications pursuant toRule 13e-4(c) under the Exchange Act (17CFR 240.13e-4(c)) |
Securities registered pursuant to 12(b) of the Act:
Title of Each Class | Trading Symbols | Name of Each Exchange on Which Registered | ||
Common Stock, par value $0.001 per share | TCRD | NASDAQ Global Select Market | ||
6.75% Senior Notes due 2022 | TCRZ | The New York Stock Exchange | ||
6.125% Senior Notes due 2023 | TCRW | The New York Stock Exchange |
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 Rule12b-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. |
THL Credit, Inc. (the “Company”) held its annual meeting of stockholders (the “Annual Meeting”) on June 22, 2020. There were present at the Annual Meeting, in person or by proxy, stockholders holding an aggregate of 29,026,739 shares of the Company’s common stock, out of a total number of 35,298,410 shares of the Company’s common stock issued and outstanding and entitled to vote at the Annual Meeting. There were no brokernon-votes for Proposals 2 and 3. Following are descriptions of the matters voted on at the Annual Meeting and the final results of such voting:
Proposal 1 — Election of Directors
The following individuals, constituting all of the nominees named in the Company’s Proxy Statement, were elected as directors to serve until the 2021 Annual Meeting of Stockholders or until their successors are duly elected and qualified. The following votes were taken in connection with this proposal:
Director | For | Withheld | Broker Non-vote | |||||||||
Christopher J. Flynn | 18,583,052 | 637,823 | 9,805,864 | |||||||||
Edmund P. Giambastiani, Jr. | 18,387,970 | 832,905 | 9,805,864 | |||||||||
Nancy Hawthorne | 18,300,461 | 920,414 | 9,805,864 | |||||||||
James D. Kern | 18,412,089 | 808,786 | 9,805,864 | |||||||||
Deborah McAneny | 18,575,035 | 645,840 | 9,805,864 | |||||||||
Jane Musser Nelson | 18,576,175 | 644,700 | 9,805,864 |
Proposal 2 — Ratification of Appointment of PricewaterhouseCoopers LLP as Independent Registered Public Accounting Firm
The proposal to ratify the appointment of PricewaterhouseCoopers LLP as the Company’s independent registered public accounting firm for the fiscal year ending December 31, 2020 was approved. The following votes were taken in connection with this proposal
For | Against | Abstain | ||
28,426,815 | 318,567 | 281,357 |
Proposal 3 — Approval of Adjournment of the Annual Meeting to Solicit Additional Proxies
A proposal to approve the adjournment of the Annual Meeting, if necessary or appropriate, to solicit additional proxies was approved. A vote was not taken on this proposal as there were sufficient votes present to conduct the business of the Annual Meeting. The vote, prior to the Annual Meeting, to approve such proposal was as follows:
For | Against | Abstain | ||
27,966,645 | 889,850 | 170,244 |
SIGNATURE
Pursuant to the requirements of the Securities Exchange Act of 1934, as amended, the Registrant has duly caused this Current Report onForm 8-K to be signed on its behalf by the undersigned hereunto duly authorized.
THL CREDIT, INC. | ||||
Date: June 24, 2020 | By: | /S/ TERRENCE W. OLSON | ||
Name: | Terrence W. Olson | |||
Title: | Chief Financial Officer, Chief Operating Officer & Treasurer |