0001157523-12-004654.txt : 20120823 0001157523-12-004654.hdr.sgml : 20120823 20120823161908 ACCESSION NUMBER: 0001157523-12-004654 CONFORMED SUBMISSION TYPE: 8-K PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20120822 ITEM INFORMATION: Submission of Matters to a Vote of Security Holders FILED AS OF DATE: 20120823 DATE AS OF CHANGE: 20120823 FILER: COMPANY DATA: COMPANY CONFORMED NAME: INVESTORS CAPITAL HOLDINGS LTD CENTRAL INDEX KEY: 0001001871 STANDARD INDUSTRIAL CLASSIFICATION: INVESTORS, NEC [6799] IRS NUMBER: 043284631 STATE OF INCORPORATION: MA FISCAL YEAR END: 0331 FILING VALUES: FORM TYPE: 8-K SEC ACT: 1934 Act SEC FILE NUMBER: 333-43664 FILM NUMBER: 121052335 BUSINESS ADDRESS: STREET 1: 230 BROADWAY EAST CITY: LYNNFIELD STATE: MA ZIP: 01940 BUSINESS PHONE: 7815938565 MAIL ADDRESS: STREET 1: 230 BROADWAY CITY: LYNNFIELD STATE: MA ZIP: 01940 8-K 1 a50386603.htm INVESTORS CAPITAL HOLDINGS, LTD. 8-K a50386603.htm
 
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):  August 22, 2012


Investors Capital Holdings, Ltd.
(Exact name of registrant as specified in its charter)
 
 
Delaware
333-43664
04-3284631
(State or Other Jurisdiction
(Commission
(IRS Employer
of Incorporation)
 File Number)
Identification No.)
 
 
230 Broadway East
Lynnfield, MA  01940
(Address of Principal Executive Offices) (Zip Code)

Registrant's telephone number, including area code:  (800) 949-1422


 
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:

o   (Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)

o   (Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)

o   (Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17   CFR 240.14d-2(b))

o   (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.

On August 21, 2012 the Registrant held its annual meeting of stockholders at which (i) the following persons were elected as directors to hold office, subject to the provisions of the Registrant’s By-Laws, until the next annual meeting of stockholders and until their respective successors shall have been duly elected and qualified, and (ii) the appointment of Marcum LLP as the independent public accountants for the Registrant for the fiscal year ending March 31, 2013 was ratified by the stockholders with the following voting results, there being 3,613,165 broker non-votes for Proposal #1 and no broker non-votes for Proposal #2:

Proposal #1 ELECTION OF DIRECTORS, TO SERVE AS SUCH UNTIL THE NEXT ANNUAL MEETING OF STOCKHOLDERS AND UNTIL THEIR RESPECTIVE SUCCESSORS ARE DULY ELECTED AND QUALIFIED.
 
 
Directors
For
Withheld
 
Blaise A. Aguirre
2,746,592
19,132
 
William J. Atherton
2,747,723
18,001
 
James D. Crosson
2,637,912
127,812
 
Don E. Ingram
2,735,896
29,828
 
Robert T. Martin
2,747,723
18,001
 
Robert P. Mazzarella
2,747,723
18,001
 
Timothy B. Murphy
2,714,657
51,067

 
 
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Proposal #2 RATIFICATION OF THE APPOINTMENT OF MARCUM LLP AS INDEPENDENT PUBLIC ACCOUNTANTS FOR THE COMPANY’S FISCAL YEAR ENDING MARCH 31, 2013.
 
 
For
Against
Abstain
       
 
6,308,002
67,043
3,844

 

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.
 
 
Investors Capital Holdings, Ltd.
       
 
By
/s/ Timothy B. Murphy
  
   
Timothy B. Murphy, Chief Executive Officer
  
 
Date:  August 22, 2012
 

 
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