0001587987-21-000103.txt : 20210803 0001587987-21-000103.hdr.sgml : 20210803 20210803161040 ACCESSION NUMBER: 0001587987-21-000103 CONFORMED SUBMISSION TYPE: 8-K PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20210803 ITEM INFORMATION: Submission of Matters to a Vote of Security Holders FILED AS OF DATE: 20210803 DATE AS OF CHANGE: 20210803 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Newtek Business Services Corp. CENTRAL INDEX KEY: 0001587987 IRS NUMBER: 463755188 STATE OF INCORPORATION: MD FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 8-K SEC ACT: 1934 Act SEC FILE NUMBER: 814-01035 FILM NUMBER: 211139830 BUSINESS ADDRESS: STREET 1: 4800 T REX AVENUE STREET 2: SUITE 120 CITY: BOCA RATON STATE: FL ZIP: 33431 BUSINESS PHONE: 212-356-9500 MAIL ADDRESS: STREET 1: 4800 T REX AVENUE STREET 2: SUITE 120 CITY: BOCA RATON STATE: FL ZIP: 33431 8-K 1 specialmeetingresults2021.htm 8-K Document


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

August 3, 2021 (August 3, 2021)
Date of Report (date of Earliest Event Reported)

NEWTEK BUSINESS SERVICES CORP.
(Exact Name of Company as Specified in its Charter)
MARYLAND814-0103546-3755188
(State or Other Jurisdiction of Incorporation or Organization)(Commission File No.)(I.R.S. Employer Identification No.)

4800 T-Rex Avenue, Suite 120, Boca Raton, FL 33431
(Address of principal executive offices and zip code)

(212) 356-9500
(Company’s telephone number, including area code)

(Former name or former address, if changed from last report)

Securities registered pursuant to Section 12(b) of the Act:
Title of each classTrading Symbol(s)Name of each exchange on which registered
Common Stock, par value $0.02 per shareNEWTNasdaq Global Market LLC
5.75% Notes due 2024NEWTLNasdaq Global Market LLC
5.50% Notes due 2026NEWTZNasdaq Global Market LLC

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))

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     o

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. o




ITEM 5.07.      Submission of Matters to a Vote of Security Holders.
     
SPECIAL MEETING: The Special Meeting of Shareholders (the “Special Meeting”) of Newtek Business Services Corp. (the “Company” or the “Registrant”) was held on July 12, 2021 and was adjourned to permit the further solicitation of proxies. The Special Meeting was reconvened on August 3, 2021. The proposals considered at the Special Meeting are described in detail in the Registrant’s definitive proxy statement for the Special Meeting as filed with the Securities and Exchange Commission on June 4, 2021 (the “Special Meeting Proxy”). At the Special Meeting, the Registrant’s shareholders approved the proposals described in the Special Meeting Proxy. A total of 22,509,718 outstanding shares were entitled to vote at the meeting. The tabulation of votes was:

Proposal 1: The Company’s shareholders approved a proposal to authorize the Company to sell shares of its common stock, par value $0.02 per share (“Common Shares”), at a price below the then current net asset value per share of such Common Shares in one or multiple offerings, subject to certain limitations described in the Special Meeting Proxy:

ALL VOTES:
Votes ForVotes AgainstAbstentions
9,957,4552,114,902295,076

VOTES BY NON-AFFILIATED PERSONS:
Votes ForVotes AgainstAbstentions
8,553,9232,114,902295,076

Proposal 2: The Company’s shareholders approved a proposal to adjourn the Meeting, if necessary or appropriate, to solicit additional proxies:
Votes ForVotes AgainstAbstentions
10,545,7741,469,959351,706

Because there were no routine proposals presented at the meeting, there were no broker non-votes with respect to any of the proposals.





SIGNATURES

In accordance with the requirements of the Securities Exchange Act of 1934, the registrant has caused this report to be signed on its behalf by the undersigned, thereunto duly authorized.

                    
NEWTEK BUSINESS SERVICES CORP.
Date: August 3, 2021By:
/S/    BARRY SLOANE        
Barry Sloane
Chief Executive Officer, President and Chairman of the Board