UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 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): May 18, 2017

 

SUNWORKS, INC.

(Exact name of registrant as specified in its charter)

 

Delaware 001-36868 01-0592299

(State or other jurisdiction

of incorporation or organization)

(Commission

File Number)

IRS Employer

Identification No.)

 

1030 Winding Creek Road, Suite 100

Roseville, CA

95678
(Address of Principal Executive Offices) (Zip Code)

 

(916) 409-6900

(Registrant’s telephone number, including area code)

 

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

 

[  ] Soliciting material pursuant to Rule 14a-12 under the Exchange Act

 

[  ] 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))

 

 

 

 
 

 

Item 5.07 Submission of Matters to a Vote of Security Holders

 

On May 18, 2017, Sunworks, Inc. (the “Company”) held its Annual Meeting of Stockholders (the “Annual Meeting”). A total of 16,495,322 shares of common stock and 1,506,024 shares of Series B Preferred Stock constituting a quorum, were represented in person or by valid proxies at the Annual Meeting. The final results for each of the matters submitted to a vote of stockholders at the Annual Meeting, as set forth in the Definitive Proxy Statement, filed with the Securities and Exchange Commission on April 10, 2017, are as follows:

 

Proposal 1. At the Annual Meeting, the terms of all eight (8) members of the Board of Directors expired. All of the eight (8) nominees for director were elected to serve until the next annual meeting of stockholders or until their respective successors have been duly elected and qualified, or until such director’s earlier resignation, removal or death. The result of the votes to elect the eight (8) directors was as follows:

 

Directors  For  Withheld  Broker
Non-Votes
James B. Nelson   7,252,212    339,140    8,903,970 
Abe Emard   7,225,143    366,209    8,903,970 
Charles Cargile   7,282,033    309,319    8,903,970 
Frank L. Hunt   6,946,999    644,353    8,903,970 
John D. Van Slooten   7,313,753    277,599    8,903,970 
Brigham Tomco   6,896,041    695,311    8,903,970 
Shane Mace   6,899,299    692,053    8,903,970 
Rhone Resch   7,389,644    201,708    8,903,970 

 

Proposal 2. At the Annual Meeting, the stockholders approved the appointment of Liggett & Webb, P.A. as the Company’s independent auditors for the fiscal year ending December 31, 2017. The result of the votes to approve Liggett & Webb, P.A. was as follows:

 

For  Against  Abstain
 15,600,525    627,921    266,876 

 

 
 

 

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 thereunto duly authorized.

 

  SUNWORKS, INC.
   
Date: May 18, 2017 By: /s/ Charles F. Cargile
  Name: Charles F. Cargile
  Title: Chief Executive Officer