0001213900-20-043796.txt : 20201221 0001213900-20-043796.hdr.sgml : 20201221 20201221160709 ACCESSION NUMBER: 0001213900-20-043796 CONFORMED SUBMISSION TYPE: 8-K PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20201218 ITEM INFORMATION: Submission of Matters to a Vote of Security Holders FILED AS OF DATE: 20201221 DATE AS OF CHANGE: 20201221 FILER: COMPANY DATA: COMPANY CONFORMED NAME: PRINCETON CAPITAL CORP CENTRAL INDEX KEY: 0000845385 IRS NUMBER: 463516073 STATE OF INCORPORATION: MD FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 8-K SEC ACT: 1934 Act SEC FILE NUMBER: 814-00710 FILM NUMBER: 201404435 BUSINESS ADDRESS: STREET 1: 800 TURNPIKE STREET STREET 2: SUITE 300 CITY: NORTH ANDOVER STATE: MA ZIP: 01845 BUSINESS PHONE: 978-794-3366 MAIL ADDRESS: STREET 1: 800 TURNPIKE STREET STREET 2: SUITE 300 CITY: NORTH ANDOVER STATE: MA ZIP: 01845 FORMER COMPANY: FORMER CONFORMED NAME: REGAL ONE Corp DATE OF NAME CHANGE: 20090730 FORMER COMPANY: FORMER CONFORMED NAME: REGAL ONE CORP DATE OF NAME CHANGE: 19930929 8-K 1 ea131928-8k_princetoncap.htm CURRENT REPORT

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): December 21, 2020 (December 18, 2020)

PRINCETON CAPITAL CORPORATION

(Exact name of registrant as specified in its charter)

Maryland		814-00710		46-3516073
(State or other jurisdiction of incorporation)		(Commission File Number)		(IRS Employer ID Number)

800 Turnpike Street

Suite 300

North Andover, Massachusetts

01845

(Address of principal executive offices)

(Zip Code)

Registrant’s telephone number, including area code: (978) 794-3366

(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 (§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. ☐

Securities registered pursuant to Section 12(b) of the Act:

Title of each class		Trading Symbol(s)		Name of each exchange on which registered
None		None		None

Item 5.07.

Submission of Matters to a Vote of Security Holders

On December 18, 2020, Princeton Capital Corporation, a Maryland corporation (the “Company”) held its 2020 Annual Meeting of Stockholders (the “2020 Annual Meeting”). At the 2020 Annual Meeting, the stockholders voted on (i) the election of Darren Stainrod, Mark DiSalvo, Martin Laidlaw, and Greg Bennett to the Company’s Board of Directors, (ii) the ratification of the selection of WithumSmith&Brown, PC (“WithumSmith”) as the Company’s independent registered public accounting firm for the year ending December 31, 2020, and (iii) the approval of the adjournment of the Annual Meeting, if necessary or appropriate, to solicit additional proxies.

The stockholders re-elected all four nominees for director, ratified the selection of WithumSmith for the year ending December 31, 2020, and approved the adjournment of the Annual Meeting to solicit additional proxies, however it was not necessary.

The full results of the matters voted on at the 2020 Annual Meeting are set forth below:

Proposal No. 1 – Election of Directors:

Nominee	Votes For	Votes Withheld	Broker Non-Votes
Darren Stainrod	115,748,474	9,608	437,070

Mark S. DiSalvo	115,748,474	9,608	437,070

Martin Laidlaw	115,748,474	9,608	437,070

Greg Bennett	115,748,474	9,608	437,070

Proposal No. 2 – Ratification of the Selection of WithumSmith&Brown, PC as the Company’s Independent Registered Public Accounting Firm for the Fiscal Year Ending December 31, 2020:

Votes For		Votes Against		Abstentions
116,154,639		31,659		8,853

There were no broker non-votes for Proposal 2.

Proposal No. 3 – To Approve the Adjournment of the Annual Meeting, if Necessary or Appropriate, to Solicit Additional Proxies:

Votes For				Votes Against				Abstentions				Broker Non-Votes
	116,192,436				63				2,653				0

No other proposals were submitted to a vote of the Company’s stockholders.

SIGNATURE

Pursuant to the requirements of the Securities and Exchange Act of 1934, as amended, the Company has duly caused this report to be signed on its behalf by the undersigned hereto duly authorized.

Dated: December 21, 2020

	PRINCETON CAPITAL CORPORATION

	By:	/s/ Gregory J. Cannella
		Name: Gregory J. Cannella
		Title: Chief Financial Officer