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UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

WASHINGTON, DC 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): November 17, 2023

 

The Marygold Companies, Inc.

(Exact name of registrant as specified in its charter)

 

Nevada   000-29913   90-1133909
(State or other jurisdiction   (Commission   (IRS Employer
of incorporation)   File Number)   Identification No.)

 

120 Calle Iglesia, Unit B, San Clemente, CA   92672
(Address of principal executive offices)   (Zip Code)

 

Registrant’s telephone number, including area code: (949)-429-5370

 

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 (17CFR 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, $0.001 par value   MGLD   NYSE American 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 l2b-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.

 

The Company’s 2023 annual meeting of shareholders (the “Annual Meeting”) was held on November 17, 2023. On November 17, 2023, Issuer Direct, the inspector of election for the Annual Meeting (“ID”), delivered its certification of final voting results for the Annual Meeting to the Company. The final voting results reflect that out of a total of 40,370,659 shares outstanding and eligible to vote as of September 18, 2023, the record date, 23,397,772 shares were voted in person or represented by proxies. The final voting results for the shares voted, and the results for each proposal presented to the shareholders, are as set forth below:

 

Management Proposals:

 

1. Election to the Board of the following 9 director nominees:

 

   For   Withheld  

Broker

Non-Votes

 
Nicholas D. Gerber   23,397,644    128    0 
Stuart Crumbaugh   23,397,623    149    0 
David W. Neibert   23,397,644    128    0 
Scott Schoenberger   23,317,739    80,033    0 
James Alexander   23,397,647    125    0 
Matt Gonzalez   23,397,644    128    0 
Erin Grogan   23,317,810    79,962    0 
Joya Delgado Harris   23,317,810    79,962    0 
Derek Mullins   23,397,644    128    0 

 

The following 9 directors were elected at the Annual Meeting. Nicholas D. Gerber, Stuart Crumbaugh, David W. Neibert, Scott Schoenberger, James Alexander, Matt Gonzalez, Erin Grogan, Joya Delgado Harris, and Derek Mullins. In addition, ID has advised the Company that there were zero broker non-votes on proposal 1.

 

2. Approval, on an advisory basis, of the compensation of the Company’s named executive officers as disclosed in the Company’s 2023 proxy statement:

 

For   Votes Against   Abstentions  

Broker

Non-Votes

 
 23,392,520    5,235    17    0 

 

ID has advised the Company that there were zero broker non-votes on proposal 2.

 

3. Ratification of the appointment of BPM, LLP as the Company’s independent registered public accounting firm for the fiscal ending June 30, 2024.

 

For   Votes Against   Abstentions  

Broker

Non-Votes

 
 25,924,439    79,778    0    2,606,445 

 

ID has advised the Company that there were 2,606,445 broker non-votes on proposal 3.

 

 
 

 

SIGNATURES

 

Pursuant to the requirements of the Securities and Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.

 

Date: November 21, 2023 THE MARYGOLD COMPANIES, INC.
   
  By: /s/ Nicholas D. Gerber
  Name:  Nicholas D. Gerber
  Title: Chief Executive Officer

 

 

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Entity Tax Identification Number 90-1133909
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Entity Address, Address Line One 120 Calle Iglesia
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