8-K 1 d582539d8k.htm 8-K 8-K





Washington, D.C. 20549







Pursuant to section 13 or 15(d)

of the Securities Exchange Act of 1934

Date of Report (Date of Earliest Event Reported): June 17, 2021




(Exact name of registrant as specified in its charter)




Delaware   814-00789   27-0344947

(State or other jurisdiction of

incorporation or organization)



File Number)


(IRS Employer

Identification Number)

500 Boylston St., Suite 1200,

Boston, MA 02116

(Address of principal executive offices)

Registrant’s telephone number, including area code (800) 450-4424

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


Title of Each Class





Name of Each Exchange

on Which Registered

Common Stock, par value $0.001 per share   FCRD   NASDAQ Global Select Market
6.125% Senior Notes due 2023   FCRW   The New York Stock Exchange



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))

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 1.02. Termination of Material Definitive Agreement.

On June 21, 2021 (the “Redemption Date”), First Eagle Alternative Capital BDC, Inc. (the “Company”) completed the redemption in full of all of the $60 million aggregate principal amount of its issued and outstanding 6.75% Notes due 2022 (the “Notes”) at a redemption price of 100% of the outstanding principal amount of the Notes being redeemed, plus accrued and unpaid interest to, but excluding, the Redemption Date of approximately $0.38 per $25 principal amount of the Notes being redeemed. As a result, the Indenture, dated as of November 18, 2014, as supplemented by the Second Supplemental Indenture, dated as of December 14, 2015 (the “Indenture”), between the Company, as issuer, and U.S. Bank National Association, as trustee, relating to the Notes, was satisfied and discharged and the Company has no further obligations under the Notes or the Indenture with respect to the Notes.

Item 5.07.

Submission of Matters to a Vote of Security Holders.

The Company held its Annual Meeting on June 17, 2021. There were present at the Annual Meeting, in person or by proxy, stockholders holding an aggregate of 26,033,725 shares of the Company’s common stock, out of a total number of 30,109,384 shares of the Company’s common stock issued and outstanding and entitled to vote at the Annual Meeting. There were no broker non-votes for Proposals 2 and 4. Following are descriptions of the matters voted on at the Annual Meeting and the final results of such voting:

Proposal 1 — Election of Directors

The following individuals, constituting all of the nominees named in the Company’s Proxy Statement, were elected as directors to serve until the 2022 Annual Meeting of Stockholders or until their successors are duly elected and qualified. The following votes were taken in connection with this proposal:



   For      Withheld      Broker Non-vote  

Christopher J. Flynn

     15,468,739        694,172        9,870,814  

Edmund P. Giambastiani, Jr.

     15,243,504        919,407        9,870,814  

Nancy Hawthorne

     15,175,244        987,667        9,870,814  

James D. Kern

     15,300,448        862,463        9,870,814  

Deborah McAneny

     15,446,879        716,032        9,870,814  

Jane Musser Nelson

     15,470,053        692,858        9,870,814  

Proposal 2 — Ratification of Appointment of PricewaterhouseCoopers LLP as Independent Registered Public Accounting Firm

The proposal to ratify the appointment of PricewaterhouseCoopers LLP as the Company’s independent registered public accounting firm for the fiscal year ending December 31, 2021 was approved. The following votes were taken in connection with this proposal







25,112,026   521,709   399,990

Proposal 3 — Approval of an Amendment to Third Amended and Restated Certificate of Incorporation

A proposal to approve an amendment to our Third Amended and Restated Certificate of Incorporation (“Charter”) to remove the ability of the continuing directors to remove any director for cause and allow stockholders to remove directors, with or without cause, by the holders of a majority of shares then entitled to vote was approved. The following votes were taken in connection with this proposal.








Broker Non-vote

15,210,798   807,071   145,042   9,870,814

Proposal 4 — Approval of Adjournment of the Annual Meeting to Solicit Additional Proxies

A proposal to approve the adjournment of the Annual Meeting, if necessary or appropriate, to solicit additional proxies was approved. A vote was not taken on this proposal as there were sufficient votes present to conduct the business of the Annual Meeting. The vote, prior to the Annual Meeting, to approve such proposal was as follows:







24,598,296   1,114,553   320,876




Pursuant to the requirements of the Securities Exchange Act of 1934, as amended, the Registrant has duly caused this Current Report on Form 8-K to be signed on its behalf by the undersigned hereunto duly authorized.


Date: June 22, 2021     By:  


    Name:   Terrence W. Olson

Chief Financial Officer, Chief

Operating Officer & Treasurer