SEC Info - Charles & Colvard Ltd. - ‘8-K’ for 11/17/22

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Charles & Colvard Ltd. – ‘8-K’ for 11/17/22

On: Monday, 11/21/22, at 4:14pm ET · For: 11/17/22 · Accession #: 1104659-22-120759 · File #: 0-23329

  As Of               Filer                 Filing    For·On·As Docs:Size             Issuer                      Filing Agent

11/21/22  Charles & Colvard Ltd.            8-K:5      11/17/22   10:194K                                   Toppan Merrill/FA

Current Report — Form 8-K

Filing Table of Contents

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 7: EXCEL       IDEA Workbook of Financial Reports                  XLSX      8K 
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 4: EX-101.PRE  XBRL Presentations -- cthr-20221117_pre              XML     64K 
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‘8-K’ — Current Report

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UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

FORM i 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): i November 17, 2022

i Charles & Colvard, Ltd.

(Exact name of registrant as specified in its charter)

i North Carolina

i 000-23329

i 56-1928817

(State or other jurisdiction of

incorporation)

(Commission File

Number)

(I.R.S. Employer

Identification No.)

i 170 Southport Drive
i Morrisville, i North Carolina	i 27560
(Address of principal executive offices)	(Zip Code)

( i 919) i 468-0399

(Registrant’s telephone number, including area code)

N/A

(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:

i ¨	Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)

i ¨	Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)

i ¨	Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))

i ¨	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
i Common Stock, no par value per share	i CTHR	The i 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 (17 CFR 230.405) or Rule 12b-2 of the Securities Exchange Act of 1934 (17 CFR 240.12b-2).

Emerging growth company i ¨

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.

Charles & Colvard, Ltd. (the “Company”) held its Annual Meeting of Shareholders on November 17, 2022 (the “Annual Meeting”). The shareholders considered three proposals, each of which is described in more detail in the definitive proxy statement for the Company’s 2022 Annual Meeting of Shareholders filed with the Securities and Exchange Commission on September 30, 2022 (the “Proxy Statement”).

Proposal 1: To elect five nominees described in the Proxy Statement to the Company’s Board of Directors. The votes were cast as follows:

	For	Withheld	Broker Non-Votes
Anne M. Butler	13,849,495	1,984,582	7,366,432
Benedetta Casamento	14,634,391	1,199,686	7,366,432
Neal I. Goldman	14,559,742	1,274,335	7,366,432
Don O’Connell	15,133,442	700,635	7,366,432
Ollin B. Sykes	14,731,245	1,102,832	7,366,432

All director nominees were duly elected.

Proposal 2: To ratify the appointment of BDO USA, LLP as the Company’s independent registered public accounting firm for the fiscal year ending June 30, 2023. The votes were cast as follows:

For		Against		Abstain
22,947,317		26,102		227,090

Proposal 2 was approved.

Proposal 3: To vote, on an advisory (nonbinding) basis, to approve executive compensation. The votes were cast as follows:

For		Against		Abstain		Broker Non-Votes
11,692,450		1,453,476		2,688,150		7,366,433

Proposal 3 was approved.

C: 2

SIGNATURE

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.

	Charles & Colvard, Ltd.

November 21, 2022	By:	/s/ *Clint J. Pete*
		Clint J. Pete
		Chief Financial Officer

Dates Referenced Herein and Documents Incorporated by Reference

This ‘8-K’ Filing	Date	Other Filings

	6/30/23
Filed on:	11/21/22
For Period end:	11/17/22	DEF 14A
	9/30/22	10-Q, DEF 14A, DEFA14A
		List all Filings

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Filing Submission 0001104659-22-120759 – Alternative Formats (Word / Rich Text, HTML, Plain Text, et al.)