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): September 30, 2021
(Exact name of Registrant as Specified in Its Charter)
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(State or Other Jurisdiction of Incorporation)
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(Commission File Number)
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(IRS Employer Identification No.)
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(Address of principal executive offices, including zip code)
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(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
(see General Instructions A.2. below):
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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))
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Securities registered pursuant to Section 12(b) of the Act:
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Title of each class
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Trading
Symbol(s)
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Name of each exchange on which registered
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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.
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(a) The 2021 Annual Meeting of Stockholders (the “Annual Meeting”) of AFC Gamma, Inc. (the “Company”) was held on September 30,
2021.
(b) At the Annual Meeting, the Company’s stockholders (i) elected the two Class I director nominees identified in the table below
to the Board of Directors to serve until the Company’s 2024 Annual Meeting of Stockholders and until their respective successors are duly elected and qualified, and (ii) ratified the appointment of CohnReznick LLP as the Company’s independent
registered public accounting firm for the fiscal year ending December 31, 2021.
Set forth below are the final voting tallies for the Annual Meeting:
Election of Directors
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For
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Withhold
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Broker Non-Vote
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Leonard Tannenbaum
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9,053,258
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629,649
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2,148,334
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Thomas Harrison
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7,121,691
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2,561,216
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2,148,334
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Auditor Ratification
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For
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Against
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Abstain
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Broker Non-Vote
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11,827,429
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1,688
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2,124
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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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Date: October 1, 2021
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AFC GAMMA, INC.
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By:
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/s/ Brett Kaufman
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Brett Kaufman
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Chief Financial Officer
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