8-K 1 arcc-03052021x8xk.htm 8-K Document


Pursuant to Section 13 or 15(d) of the

Securities Exchange Act of 1934
Date of report (Date of earliest event reported) March 2, 2021
(Exact Name of Registrant as Specified in Charter)
Maryland 814-00663 33-1089684
(State or Other Jurisdiction
of Incorporation)
File Number)
 (IRS Employer
Identification No.)
245 Park Avenue, 44th Floor, New York, NY 10167
(Address of Principal Executive Offices) (Zip Code)
Registrant’s telephone number, including area code (212) 750-7300
(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 (see General Instruction A.2. below):
o  Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)
o  Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)
o  Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))
o  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 classTrading symbolName of each exchange on which registered
Common stock, $0.001 par valueARCCNASDAQ Global Select Market
6.875% Senior Notes due 2047AFCThe New York Stock Exchange

Indicate by check mark whether the registrant is an emerging growth company as defined in 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 5.02 Departure of Directors or Principal Officers; Election of Directors; Appointment of Certain Officers;
Compensatory Arrangements of Certain Officers.
On March 2, 2021 Steve Bartlett notified Ares Capital Corporation (the “Company”) that he would not stand for reelection as a director of the Company when his current term expires at the Company’s 2021 Annual Meeting of Stockholders (the “Annual Meeting”). Mr. Bartlett is expected to continue to serve the remainder of his term until the date of the Annual Meeting. Mr. Bartlett has served on the Company’s Board of Directors (the “Board”) since 2012 and currently serves as a member of the Audit Committee and Co-Investment Committee of the Board. Mr. Bartlett’s decision to resign was based on a desire to pursue other opportunities and not the result of any disagreement relating to the Company’s operations, policies or practices.

The Company appreciates and thanks Mr. Bartlett for his service and commitment as a director and will continue to benefit from his perspectives and insights as a director and committee member until his term expires at the Annual Meeting.


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.
Date:  March 5, 2021  
 By:/s/ Penni F. Roll
 Name:Penni F. Roll
 Title:Chief Financial Officer