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): June 15, 2017

 

 

Fidus Investment Corporation

(Exact name of registrant as specified in its charter)

 

 

 

Maryland		814-00861		27-5017321
(State or other jurisdiction		(Commission		(I.R.S. Employer
of incorporation)		File Number)		Identification No.)
1603 Orrington Avenue, Suite 1005, Evanston, Illinois				60201
(Address of principal executive offices)				(Zip Code)

Registrant’s telephone number, including area code: 847-859-3940

Not Applicable

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 (17 CFR §230.405) or Rule 12b-2 of the Securities Exchange Act of 1934 (17 CFR §240.12b-2).

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.  ☐

 

 

 

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Item 5.07.

Submission of Matters to a Vote of Security Holders.

Results of Annual Meeting of Stockholders

Fidus Investment Corporation’s (the “Company”) 2017 annual meeting of stockholders (the “Annual Meeting”) was originally called to order on June 1, 2017 and was adjourned in order to obtain a sufficient number of votes to hold the Annual Meeting. On June 15, 2017, the Company reconvened the Annual Meeting at its offices located at 1603 Orrington Avenue, Suite 1005, Evanston, Illinois 60201. The issued and outstanding shares of common stock of the Company entitled to vote at the Annual Meeting consisted of the 22,446,076 shares of common stock outstanding on the record date, March 10, 2017. The common stockholders of the Company voted on two proposals at the Annual Meeting, both of which were approved. The final voting results from the Annual Meeting were as follows:

Proposal 1 — Election of Two Class III Directors

The following individuals, constituting all the nominees named in the Company’s definitive proxy statement on Schedule 14A filed with the Securities and Exchange Commission on March 15, 2017 (the “Proxy Statement”), were elected as Class III directors to serve until the 2020 annual meeting of stockholders and until their successors have been duly elected and qualified. The following votes were taken in connection with this proposal:

 

		FOR				WITHHELD
Raymond L. Anstiss, Jr.			9,571,159				1,716,175
Edward H. Ross			10,784,616				502,718

Proposal 2 — Approval to Sell or Otherwise Issue Shares of Common Stock Below Net Asset Value

A proposal to authorize the Company, pursuant to approval of the Board of Directors of the Company, to sell or otherwise issue shares of its common stock during the next year at a price below the Company’s then current net asset value per share, subject to certain conditions as set forth in the Proxy Statement (including that the cumulative number of shares sold pursuant to such authority does not exceed 25% of its then outstanding common stock immediately prior to each such sale) was approved. The following votes were taken in connection with this proposal:

 

FOR		AGAINST		ABSTAIN
9,477,412		1,484,576		325,341

This proposal was also approved by the Company’s non-affiliated stockholders by a vote of 9,189,520 shares for, 1,484,576 shares against and 325,341 abstained. The number of votes cast in favor of this proposal represents a majority of outstanding voting securities of the Company, as defined under the Investment Company Act of 1940, and a majority of outstanding securities not held by affiliated persons.

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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 hereunto duly authorized.

 

Date: June 15, 2017				Fidus Investment Corporation
				By:		/s/ Shelby E. Sherard
						Shelby E. Sherard
						Chief Financial Officer,
						Chief Compliance Officer and Secretary