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): December 18 , 2023
Prospect Floating Rate and Alternative Income Fund, Inc.
(Exact name of registrant as specified in its charter)
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| Maryland | | 814-00908 | | 45-2460782 |
| (State or other jurisdiction | | (Commission File Number) | | (IRS Employer |
| of incorporation) | | | | Identification No.) |
10 East 40th Street, 42nd Floor, New York, New York 10016
(Address of principal executive offices, including zip code)
(212) 448-0702
(Registrant’s telephone number, including area code)
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:
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| o | | Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425) |
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| o | | Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12) |
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| o | | Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b)) |
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| o | | Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c)) |
Securities registered pursuant to Section 12(b) of the Act:
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| Title of each class | Trading symbol | Name of each exchange on which registered |
| None | None | None |
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).
o 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.o
Item 5.07. Submission of Matters to a Vote of Security Holders.
On December 18, 2023, Prospect Floating Rate and Alternative Income Fund, Inc. (the “Company”) held its Annual Meeting of Stockholders virtually (the “Annual Meeting”). At the Annual Meeting, the Company’s common stockholders voted on one proposal. The proposal is described in detail in the Company’s definitive proxy statement for the Annual Meeting as filed with the Securities and Exchange Commission (the “SEC”) on October 2, 2023. As of September 29, 2023, the record date, 2,407,904 shares of stock were eligible to vote. The final voting results from the Annual Meeting were as follows:
Proposal 1. The Company’s stockholders elected one director of the Company. William J. Gremp shall serve as as a Class I director until the annual meeting of stockholders of the Company in 2026 and until his successor is duly elected and qualifies or until his earlier resignation, removal from office, death or incapacity. The director was re-elected pursuant to the voting results set forth below:
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| Name | | For | | Against | | Abstained | | Broker Non-Votes |
| William J. Gremp | | 764,252 | | 33,975 | | 21,735 | | - |
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 thereunto duly authorized.
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| Dated: December 18, 2023 | | Prospect Floating Rate and Alternative Income Fund, Inc. |
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| | By | | /s/ M. Grier Eliasek |
| | | | M. Grier Eliasek Chief Executive Officer (Principal Executive Officer) |
