FORM 8-K

 

 

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)):

May 1, 2013

 

 

Rand Capital Corporation

(Exact Name of Registrant as Specified in Its Charter)

 

 

 

New York   814-00235   16-0961359

(State or Other Jurisdiction

of Incorporation)

 

(Commission

File Number)

 

(IRS Employer

Identification Number)

2200 Rand Building

Buffalo, New York 14203

(Address of Principal Executive Offices) (Zip Code)

(716) 853-0802

(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 (see General Instruction A.2. below):

 

¨ 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))

 

 

 


ITEM 5.07 Submission of Matters to a Vote of Security Holders

The 2013 Annual Meeting of Shareholders of Rand Capital Corporation (the “Company”) was held on May 1, 2013. Proxies were solicited pursuant to the Company’s proxy statement filed on March 22, 2013 with the Securities and Exchange Commission under Section 14(a) of the Securities Exchange Act of 1934. There was no solicitation in opposition to the Company’s solicitation. Set forth below is a brief description of each matter voted on at the meeting and the final voting results.

Proposal 1. The election of six directors to hold office until the next annual meeting of shareholders and until their successors have been elected and qualified. In accordance with the results below, each nominee as listed in the proxy statement was re-elected to serve as a director. [There were no votes abstained with respect to any director nominee.]

 

     Votes For      Votes Withheld      Broker Non-Votes  

Allen F. Grum

     2,321,522         18,345         3,709,480   

Erland E. Kailbourne

     2,320,320         19,547         3,709,480   

Ross B. Kenzie

     2,316,453         23,414         3,709,480   

Reginald B. Newman II

     2,321,520         18,347         3,709,480   

Jayne K. Rand

     2,321,522         18,345         3,709,480   

Robert M. Zak

     2,320,522         19,345         3,709,480   

Proposal 2. Advisory vote on executive compensation. In accordance with the results below, the compensation was approved (on a non-binding basis).

 

Votes For    Votes Against    Abstentions    Broker Non-Votes
2,291,643    42,976    5,248    3,709,480

Proposal 3. The ratification of the selection of Freed Maxick CPAs, P.C. as the Company’s independent registered public accounting firm for the year ending December 31, 2013. In accordance with the results below, the selection of Freed Maxick CPAs, P.C. was ratified.

 

Votes For    Votes Against    Abstentions    Broker Non-Votes
6,006,072    6,178    37,097   

 

1


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.

 

    Rand Capital Corporation
Date: May 1, 2013     By  

/s/ Daniel P. Penberthy

      Name:   Daniel P. Penberthy
      Title:  

Executive Vice President/ Chief Financial

Officer

 

2