UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM
CURRENT REPORT
Pursuant to Section 13 Or 15(d) of The
Securities Exchange Act of 1934
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Item 5.07 |
Submission of Matters to a Vote of Security Holders |
On February 7, 2023, PennantPark Floating Rate Capital Ltd. (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, 2022. As of November 30, 2022, the record date, 45,345,638 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 two Class III directors of the Company, who will each serve until the 2026 Annual Meeting and until his successor is duly elected and qualifies.
The voting results as of February 7, 2023, as certified by the inspector of election, are set forth below:
Name |
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For |
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Against |
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Abstain |
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Broker Non-Vote |
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||||
Arthur H. Penn |
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7,614,437 |
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2,086,502 |
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212,041 |
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15,412,855 |
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% of Shares Voted |
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76.81 |
% |
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21.05 |
% |
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2.14 |
% |
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N/A |
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José A. Briones, Jr. |
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9,371,795 |
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310,472 |
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230,713 |
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15,412,855 |
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% of Shares Voted |
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94.54 |
% |
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3.13 |
% |
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2.33 |
% |
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N/A |
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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, 2023.
The voting results as of February 7, 2023, as certified by the inspector of election, are set forth below:
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For |
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Against |
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Abstain |
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|||
Shares Voted |
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24,585,673 |
|
|
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326,010 |
|
|
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414,152 |
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% of Shares Voted |
|
|
97.08 |
% |
|
|
1.29 |
% |
|
|
1.64 |
% |
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.
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PennantPark Floating Rate Capital Ltd. |
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Dated: February 10, 2023 |
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/s/ RICHARD T. ALLORTO, Jr. |
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Richard T. Allorto, Jr. Chief Financial Officer & Treasurer |