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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 29, 2022

 

 

LM FUNDING AMERICA, INC.

(Exact name of Registrant as Specified in Its Charter)

 

 

Delaware

001-37605

47-3844457

(State or Other Jurisdiction
of Incorporation)

(Commission File Number)

(IRS Employer
Identification No.)

 

 

 

 

 

1200 West Platt Street

Suite 100

 

Tampa, Florida

 

33606

(Address of Principal Executive Offices)

 

(Zip Code)

 

Registrant’s Telephone Number, Including Area Code: 813 222-8996

 

 

(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))

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


Title of each class

 

Trading
Symbol(s)

 


Name of each exchange on which registered

Common Stock par value $0.001 per share

 

LMFA

 

The NASDAQ Stock Market LLC

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 29, 2022, as previously disclosed, the Company convened its 2022 Annual Meeting of Stockholders (the “Annual Meeting”).

 

The Company’s Proxy Statement included two proposals to be voted on by the stockholders at the Annual Meeting, and details regarding each proposal may be found in the Proxy Statement. On the record date of November 17, 2022, there were 13,091,833 shares of Common Stock outstanding and eligible to vote. At the Annual Meeting, the stockholders: (i) elected the three persons identified below to serve as Class III directors of the Company to hold office until the third annual meeting of stockholders following their election; and (ii) ratified the appointment of Malone Bailey LP as the independent registered public accounting firm of the Company.

 

Proposal 1: Election of directors

The two nominees for election as Class III directors were elected based upon the following votes:

 

 

 

 

Name

Votes For

Votes Withheld

Broker Non-Votes

Andrew L. Graham

2,470,710

731,486

2,309,164

Frederick Mills

2,499,302

702,894

2,309,164

Frank Silcox

3,118,833

83,363

2,309,164

 

Proposal 2: Ratification of independent registered public accounting firm

The appointment of Malone Bailey LP to serve as the Company’s independent registered accounting firm for fiscal year 2022 was ratified as follows:

 

 

 

 

Votes For

Votes Against

Votes Abstain

Broker Non-Votes

5,445,764

57,377

8,414

-

 

 

 

 

 

Item 9.01 Financial Statements and Exhibits.

(d) Exhibits

 

 

 

 

 

 

 

Exhibit

Number

 

Description

 

 

 

 

 

104

 

Cover Page Interactive Data File, formatted in Inline Extensible Business Reporting Language (iXBRL)

 

 

 

 

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.

 

 

 

LM Funding America, Inc

 

 

 

 

Date:

January 2, 2023

By:

/s/ Richard Russell

 

 

 

Richard Russell, CFO

 
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