UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
FORM
CURRENT REPORT
Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934
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(Address of Principal Executive Offices) |
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(Zip Code) |
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:
Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425) |
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Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12) |
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Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b)) |
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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:
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(Nasdaq Global Select Market) |
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 5.07 Submission of Matters to a Vote of Security Holders.
On December 13, 2023, Great Elm Group, Inc. (the “Company”) held its 2023 annual meeting of stockholders (the “Annual Meeting”). The results of the voting at the Annual Meeting were as follows:
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For
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Against
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Abstain
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Broker Non-Votes |
Election of directors: |
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Matthew A. Drapkin |
12,994,815 |
6,791,773 |
12,679 |
6,828,732 |
James H. Hugar |
15,787,604 |
3,998,985 |
12,678 |
6,828,732 |
David Matter |
15,865,625 |
3,920,963 |
12,679 |
6,828,732 |
James P. Parmelee |
14,341,683 |
5,444,905 |
12,679 |
6,828,732 |
Jason W. Reese |
16,468,139 |
3,327,449 |
3,679 |
6,828,732 |
Eric J. Scheyer |
14,408,683 |
5,377,905 |
12,679 |
6,828,732 |
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Ratification of the selection of Grant Thornton LLP to serve as the Company’s independent registered public accounting firm for the fiscal year ending June 30, 2024 |
26,599,621 |
26,300 |
2,078 |
0 |
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Approval, on a non-binding advisory basis, of the compensation of the Company’s named executive officers |
14,230,550 |
4,874,755 |
693,962 |
6,828,732 |
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.
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GREAT ELM GROUP, INC. |
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Date: December 13, 2023 |
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/s/ Keri A. Davis |
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By: Keri A. Davis |
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Title: Chief Financial Officer |
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