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 28, 2019
NICHOLAS FINANCIAL, INC.
(Exact name of registrant as specified in its Charter)
| British Columbia, Canada | 0-26680 | 8736-3354 |
| (State or Other Jurisdiction of Incorporation or Organization) | (Commission File Number) | (I.R.S. Employer Identification No.) |
| 2454 McMullen Booth Road, Building C Clearwater, Florida |
33759 |
| (Address of Principal Executive Office) | (Zip Code) |
(727) 726-0763
(Registrant’s telephone number, Including area code)
Not applicable
(Former name, former address and former fiscal year, 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 (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))
Securities registered pursuant to Section 12(b) of the Act:
| Title of each class | Trading Symbol(s) | Name of each exchange on which registered |
| Common Stock | NICK | NASDAQ |
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).
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 9.01 | Financial Statements and Exhibits |
| Exhibit # | Description |
| 99.1 | Notice of Meeting and Record Date - August 29, 2019 |
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.
| NICHOLAS FINANCIAL, INC. | ||
| (Registrant) | ||
| Date: June 28, 2019 | By: | /s/ Kelly M. Malson |
| Name: | Kelly M. Malson |
|
| Title: | Chief Financial Officer (Principal Financial Officer) |
|
 | |
| Date: June 28, 2019 | 510 Burrard St, 3rd Floor |
| Vancouver BC, V6C 3B9 | |
| www.computershare.com |
To: All Canadian and US Securities Regulatory Authorities
Subject: NICHOLAS FINANCIAL, INC.
Dear Sir/Madam:
We advise of the following with respect to the upcoming Meeting of Security Holders for the subject Issuer:
| Meeting Type : | Annual General Meeting |
| Record Date for Notice of Meeting : | July 24, 2019 |
| Record Date for Voting (if applicable) : | July 24, 2019 |
| Beneficial Ownership Determination Date : | July 24, 2019 |
| Meeting Date : | August 29, 2019 |
| Meeting Location (if available) : | Clearwater, FL |
| Issuer sending proxy related materials directly to NOBO: | Yes |
| Issuer paying for delivery to OBO: | No |
| Notice and Access (NAA) Requirements: |
| NAA for Beneficial Holders | No | |
| NAA for Registered Holders | No |
| Voting Security Details: | ||
| Description | CUSIP Number | ISIN |
| COMMON | 65373J209 | CA65373J2092 |
Sincerely,
Computershare
Agent for NICHOLAS FINANCIAL, INC.