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): October 19, 2015
PRINCETON CAPITAL CORPORATION
(Exact name of registrant as specified in its charter)
| Maryland | 814-00710 | 46-3516073 | ||
| (State
or other jurisdiction of incorporation) |
(Commission
File Number) |
(IRS
Employer ID Number) |
One Riverway, Suite 2020 Houston, Texas |
77056 | |
| (Address of principal executive offices) | (Zip Code) |
Registrant’s telephone number, including area code: (713) 595-1460
(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:
| ¨ | 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)) |
Item 4.01 Changes in Registrant’s Certifying Accountant
| (a) (1) | Crowe Horwath LLP (“Crowe”) was engaged as the independent registered public accounting firm for Princeton Capital Corporation (the “Company”). On October 19, 2015, Crowe informed the Company that it is resigning as the Company’s independent public accounting firm effective October 19, 2015. Crowe did not conduct any audits of the Company’s financial statements. |
| (2) | The Company has provided a copy of this Form 8-K to Crowe and has requested the Crowe furnish it with a letter addressed to the Securities and Exchange Commission stating whether or not it agrees with the above statements in this item 4.01(a). A copy of such letter, dated October 22, 2015, is filed as Exhibit 16 to this Form 8-K. |
| (b) | The Company’s Audit Committee has directed the Company’s management to prepare and seek requests for proposals from certain independent registered public accounting firms regarding the audit of the Company’s financial statements for its fiscal year ending December 31, 2015. The Company shall file a Form 8-K under Item 4.01(b) of that report at such time as the new independent registered public accounting firm has been engaged, which report shall provide the information required by Item 304(a)(2) of Regulation S-K. |
Item 9.01 Financial Statements and Exhibits
| (d) | Exhibits. |
| Exhibit No. | Description | |
| 16 | Letter from Crowe Horwath LLP dated October 22, 2015. |
| 2 |
SIGNATURE
Pursuant to the requirements of the Securities and Exchange Act of 1934, as amended, the registrant has duly caused this report to be signed on its behalf by the undersigned hereto duly authorized.
| Dated: October 22, 2015 | PRINCETON CAPITAL CORPORATION | |
| By: | /s/ Gregory J. Cannella | |
| Name: | Gregory J. Cannella | |
| Title: | Chief Financial Officer | |
| 3 |
EXHIBIT INDEX
| Exhibit No. | Description | |
| 16 | Letter from Crowe Horwath LLP dated October 22, 2015. |
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