true000100004500010000452022-05-092022-05-09

 

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, DC 20549

 

 

Amendment No. 1 to

FORM 8-K/A

 

CURRENT REPORT

PURSUANT TO SECTION 13 OR 15(d)

OF THE SECURITIES EXCHANGE ACT OF 1934

Date of Report (Date of earliest event reported) May 9, 2022

 

NICHOLAS FINANCIAL, INC.

(Exact name of registrant as specified in its Charter)

 

 

 

 

 

 

 

British Columbia, Canada

 

0-26680

 

59-2506879

(State or Other Jurisdiction of

Incorporation or Organization)

 

(Commission

File Number)

 

(I.R.S. Employer

Identification No.)

 

2454 McMullen Booth Road, Building C

Clearwater, Florida

 

 

33759

(Address of Principal Executive Offices)

 

 

(Zip Code)

(727) 726-0763

(Registrant’s telephone number, Including area code)

Not applicable

(Former name, former address and former fiscal year, 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 (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))

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

 

NICK

 

NASDAQ

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. ☐

 

 

Explanatory Note

 

This Amendment No. 1 to Current Report on Form 8-K filed by Nicholas Financial, Inc. (the “Company”) amends and supplements the Current Report on Form 8-K filed by the Company on May 10, 2022 to report on prior compensation earned by the Company’s interim Chief Executive Officer, Michael Rost, in compliance with Item 5.02(c)(2) of Form 8-K and Item 404(a) of Regulation S-K.

 

Item 5.02 Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers

 

During the periods shown below, Michael Rost earned the following compensation from the Company in his role as Vice President of Branch Operations and Divisional Vice President, respectively:

 

Time Period Dollar Amount of Compensation Earned

April 1, 2021 through May 9, 2022 $238,752

April 1, 2020 through March 31, 2021 $196,823

April 1, 2019 through March 31, 2020 $173,267

 

 

 

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.

 

 

 

 

 

 

 

NICHOLAS FINANCIAL, INC.

 

 

 

(Registrant)

 

 

 

 

 

 

 

 

Date: May 16, 2022

 

 

/s/ Irina Nashtatik

 

 

 

Irina Nashtatik

 

 

 

Chief Financial Officer

(Principal Financial Officer)

 
Grafico Azioni Nicholas Financial Inc Bc (NASDAQ:NICK)
Storico
Da Mag 2024 a Giu 2024 Clicca qui per i Grafici di Nicholas Financial Inc Bc
Grafico Azioni Nicholas Financial Inc Bc (NASDAQ:NICK)
Storico
Da Giu 2023 a Giu 2024 Clicca qui per i Grafici di Nicholas Financial Inc Bc