NICK Pengajuan SEC - Nicholas Financial, Inc.- Laporan Tahunan, Pernyataan Kuasa, Prospektus

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SEC Filings

All companies that sell securities in the United States must register with the Securities and Exchange Commission (SEC) and file reports on a regular basis. These reports include company annual reports (10K, 10Q), news updates (8K), investor presentations (found in 8Ks), insider trades (form 4), ownership reports (13D, and 13G), and reports related to the specific securities sold, such as registration statements and prospectus. This page shows recent SEC filings related to Nicholas Financial, Inc.

SEC Filings (Chronological Order)

Halaman ini menyediakan daftar lengkap dan kronologis dari Pengajuan SEC, tidak termasuk pengajuan kepemilikan yang kami sediakan di tempat lain.

August 14, 2025	10-Q	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE QUARTERLY PERIOD ENDED JUNE 30, 2025 ☐ TRANSITION REPORT PURSUANT TO S Table of Contents c UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.
August 14, 2025	8-K	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) August 14, 2025 OLD MARKET CAPITAL 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) August 14, 2025 OLD MARKET CAPITAL CORPORATION (Exact name of registrant as specified in its Charter) Delaware 0-26680 59-2506879 (State or Other Jurisdiction of Incorporation or Organ
August 14, 2025	EX-99.1	Old Market Capital Announces 1st Quarter Fiscal Year 2026 Results Exhibit 99.1 FOR IMMEDIATE RELEASE Old Market Capital Contact: Charles Krebs, CFO NASDAQ: OMCC 1601 Dodge St., Suite 3350 Omaha, NE 68102 Ph # (531) 867-3496 Website: www.oldmarketcapital.com Old Market Capital Announces 1st Quarter Fiscal Year 2026 Results August 14, 2025 – Omaha, Nebraska – Old Market Capital Corporation (NASDAQ: OMCC) (the "Company", “we”, “our”) announced its financial results
July 29, 2025	DEF 14A	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. __) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ☑ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☑ Defin
July 21, 2025	EX-10.5	Lease by and between Red Bug, LLC and Amplex Electric, Inc., dated as of March 1, 2023. EXHIBIT 10.5 LEASE This indenture of lease is made and entered into this 1st day of March, 2023 by and between Red Bug, LLC, an Ohio Limited Liability Company hereinafter referred to as Lessor, and Amplex Electric, Inc., an Ohio for-profit corporation, hereinafter referred to as Lessee, WITNESSETH: (1) DEMISE OF PREMISES In consideration of the rents, covenants and conditions hereafter set forth o
July 21, 2025	10-K/A	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K/A (Amendment No. 2) c UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K/A (Amendment No. 2) (Mark One) ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE FISCAL YEAR ENDED MARCH 31, 2025 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE TRANSITION PERIOD FROM to Commission file number: 0-266
July 21, 2025	EX-10.14	Employment Agreement by and between the Company and Dylan Flott, dated as of November 4, 2024. EXHIBIT 10.14 Employment Agreement for DYLAN FLOTT This Agreement is made and effective as of November 4, 2024 (the “Effective Date”) by and between OLD MARKET CAPITAL CORPORATION, a Delaware company (“Employer” or “Company”) and DYLAN FLOTT (“Employee”) and supersedes any prior employment-related agreements or oral representations between Employer and Employee unless otherwise incorporated into t
July 21, 2025	EX-10.4	First Amendment to Lease Agreement by and between Red Bug, LLC and Amplex Electric, Inc., dated May 1, 2025. EXHIBIT 10.4 FIRST AMENDMENT TO LEASE AGREEMENT THIS FIRST AMENDMENT TO LEASE AGREEMENT (this “Amendment”) is made as of this 1st day of May, 2025 (the “Effective Date”) by and between RED BUG, LLC, an Ohio limited liability company (“Lessor”), and AMPLEX ELECTRIC, INC., an Ohio for profit corporation (“Lessee”). PRELIMINARY STATEMENTS Lessor and Lessee entered into that certain Lease Agreement da
July 21, 2025	EX-10.6	First Amendment to Lease Agreement by and between Red Bug, LLC and Amplex Electric, Inc., dated May 1, 2025. EXHIBIT 10.6 FIRST AMENDMENT TO LEASE AGREEMENT THIS FIRST AMENDMENT TO LEASE AGREEMENT (this “Amendment”) is made as of this 1st day of May, 2025 (the “Effective Date”) by and between RED BUG, LLC, an Ohio limited liability company (“Lessor”), and AMPLEX ELECTRIC, INC., an Ohio for profit corporation (“Lessee”). PRELIMINARY STATEMENTS Lessor and Lessee entered into that certain Lease Agreement da
July 21, 2025	EX-21	Subsidiaries of Old Market Capital Corporation Exhibit 21 SUBSIDIARIES OF OLD MARKET CAPITAL CORPORATION Subsidiary State of Incorporation Ownership Percentage Amplex Holdings, Inc. Delaware 60.9% • Amplex Electric, Inc. Ohio 60.9%
July 21, 2025	EX-10.3	Lease by and between Red Bug, LLC and Amplex Electric, Inc., dated as of December 15, 2015. EXHIBIT 10.3 LEASE This indenture of lease is made and entered into this 15th day of December, 2015 by and between Red Bug, LLC, an Ohio Limited Liability Company, hereinafter referred to as Lessor, and Amplex Electric, Inc., an Ohio for profit corporation, hereinafter referred to as Lessee, WITNESSETH: (1) DEMISE OF PREMISES In consideration of the rents, covenants and conditions hereafter set fo
July 17, 2025	8-K	Entry into a Material Definitive Agreement, Financial Statements and Exhibits 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) July 16, 2025 OLD MARKET CAPITAL CORPORATION (Exact name of registrant as specified in its Charter) Delaware 0-26680 59-2506879 (State or Other Jurisdiction of Incorporation or Organization) (Commission File Number) (I.
July 17, 2025	EX-10.1	Subscription Agreement, dated July 16, 2025, between Company and Amplex SUBSCRIPTION AGREEMENT July 16, 2025 To: Old Market Capital Corporation 1601 Dodge St.
June 30, 2025	8-K	Financial Statements and Exhibits, Results of Operations and Financial Condition 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) June 27, 2025 OLD MARKET CAPITAL CORPORATION (Exact name of registrant as specified in its Charter) Delaware 0-26680 59-2506879 (State or Other Jurisdiction of Incorporation or Organization) (Commission File Number) (I.
June 30, 2025	EX-99.1	Old Market Capital Announces 4th Quarter Fiscal Year 2025 Results Exhibit 99.1 FOR IMMEDIATE RELEASE Old Market CC Contact: Charles Krebs NASDAQ: OMCC Old Market Capital Corporation Corporate Headquarters 1601 Dodge St., Suite 3350 Omaha, NE, 68102 CFO Ph # (531) 867-3496 Website: www.oldmarketcapital.com Old Market Capital Announces 4th Quarter Fiscal Year 2025 Results June 27, 2025 – Omaha, Nebraska – Old Market Capital Corporation (NASDAQ: OMCC) (the "Company
June 30, 2025	10-K	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE FISCAL YEAR ENDED MARCH 31, 2025 ☐ TRANSITION REPORT PURSUANT TO SECTION Table of Contents c UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.
June 30, 2025	10-K/A	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K/A c UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K/A (Amendment No. 1) ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE FISCAL YEAR ENDED MARCH 31, 2025 ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE TRANSITION PERIOD FROM to Commission file number: 0-26680 OLD MARKET
February 14, 2025	10-Q	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE QUARTERLY PERIOD ENDED DECEMBER 31, 2024 ☐ TRANSITION REPORT PURSUANT Table of Contents c UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.
February 14, 2025	EX-99.1	Old Market Capital Announces 3rd Quarter Fiscal Year 2025 Results Exhibit 99.1 FOR IMMEDIATE RELEASE Old Market CC Contact: Charles Krebs NASDAQ: OMCC Old Market Capital Corporation Corporate Headquarters 1601 Dodge St., Suite 3350 Omaha, NE, 68102 CFO Ph # (402) 658-0809 Website: www.oldmarketcapital.com Old Market Capital Announces 3rd Quarter Fiscal Year 2025 Results • $3M of revenue and $261K of net income attributed to Amplex Electric, Inc. ("Amplex") durin
February 14, 2025	8-K	Financial Statements and Exhibits, Results of Operations and Financial Condition 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) February 14, 2025 OLD MARKET CAPITAL CORPORATION (Exact name of registrant as specified in its Charter) Delaware 0-26680 59-2506879 (State or Other Jurisdiction of Incorporation or Organization) (Commission File Number) (I.
December 19, 2024	EX-99.1	SUBSCRIPTION AGREEMENT SUBSCRIPTION AGREEMENT December 18, 2024 To: Old Market Capital Corporation 26133 US 19 North, Suite 300 Clearwater, Florida 33763 This Subscription Agreement (this “Agreement”) is entered into by and between Amplex Holdings Inc.
December 19, 2024	8-K	Entry into a Material Definitive Agreement, Financial Statements and Exhibits 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) December 18, 2024 OLD MARKET CAPITAL CORPORATION (Exact name of registrant as specified in its Charter) Delaware 0-26680 59-2506879 (State or Other Jurisdiction of Incorporation or Organization) (Commission File Number) (I.
December 17, 2024	SC 13D/A	OMCC / Old Market Capital Corporation / MAGNOLIA CAPITAL FUND, LP Activist Investment SC 13D/A 1 fp0091410-1sc13da.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 13) Old Market Capital Corporation (Name of Issuer) Common Stock, no par value (Title of Class of Securities) 65373A109 (CUSIP Number) 1601 Dodge Street, Suite 3350 Omaha, Nebraska 68102 (Name, Address and Telephone Number of
November 26, 2024	SC 13D/A	OMCC / Old Market Capital Corporation / MAGNOLIA CAPITAL FUND, LP Activist Investment SC 13D/A 1 fp0091241-1sc13da.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 12) Old Market Capital Corporation (Name of Issuer) Common Stock, no par value (Title of Class of Securities) 65373A109 (CUSIP Number) 1601 Dodge Street, Suite 3350 Omaha, Nebraska 68102 (Name, Address and Telephone Number of
November 22, 2024	10-Q/A	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q/A ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE QUARTERLY PERIOD ENDED SEPTEMBER 30, 2024 ☐ TRANSITION REPORT PURSUA Table of Contents c UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.
November 13, 2024	EX-99.1	Old Market Capital Announces 2nd Quarter Fiscal Year 2025 Results Exhibit 99.1 FOR IMMEDIATE RELEASE Old Market CC Contact: Charles Krebs NASDAQ: OMCC Old Market Capital Corporation Corporate Headquarters 1601 Dodge St., Suite 3350 Omaha, NE 68102 CFO Ph # (402) 658-0809 Website: www.nicholasfinancial.com Future Website: www.oldmarketcapital.com Old Market Capital Announces 2nd Quarter Fiscal Year 2025 Results • Old Market Capital started providing wireless inte
November 13, 2024	10-Q	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE QUARTERLY PERIOD ENDED SEPTEMBER 30, 2024 ☐ TRANSITION REPORT PURSUANT Table of Contents c UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.
November 13, 2024	8-K	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 12, 2024 OLD MARKET CAPITAL 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 12, 2024 OLD MARKET CAPITAL CORPORATION (Exact name of registrant as specified in its Charter) Delaware 0-26680 59-2506879 (State or Other Jurisdiction of Incorporation or Organization) (Commission File Number) (I.
November 7, 2024	EX-10.1	Reconnect Program Loan and Security Agreement between Amplex Electric, Inc. and the United States of America acting through the Administrator of the Rural Electric Services*. Exhibit 10.1 RUS Project Designation: OH 1701-A72 ReCONNECT PROGRAM LOAN AND SECURITY AGREEMENT dated as of June 20, 2024 between AMPLEX ELECTRIC, INC. and THE UNITED STATES OF AMERICA UNITED STATES DEPARTMENT OF AGRICULTURE RURAL UTILITIES SERVICE ReCONNECT PROGRAM LOAN AND SECURITY AGREEMENT THIS LOAN AND SECURITY AGREEMENT (this "Agreement"), dated as of June 20, 2024, is between AMPLEX ELECTRI
November 7, 2024	8-K	Regulation FD Disclosure, Entry into a Material Definitive Agreement, Financial Statements and Exhibits, Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant 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) September 23, 2024 OLD MARKET CAPITAL CORPORATION (Exact name of registrant as specified in its Charter) Delaware 0-26680 59-2506879 (State or Other Jurisdiction of Incorporation or Organization) (Commission File Number) (I.
November 7, 2024	EX-99.1	Old Market Capital Announces Approval of RUS Loan Exhibit 99.1 FOR IMMEDIATE RELEASE Old Market CC Contact: Charles Krebs NASDAQ: OMCC Old Market Capital Corporation Corporate Headquarters 1601 Dodge St., Suite 3350 Omaha, NE, 68102 CFO Ph # (402) 658-0809 Website: www.nicholasfinancial.com Future Website: www.oldmarketcapital.com Old Market Capital Announces Approval of RUS Loan November 7, 2024 – Omaha, Nebraska – Old Market Capital Corporation
September 27, 2024	EX-99.1	Nicholas Financial Announces Change in Leadership, Change in Corporate HQ, and Name & Ticker Change Exhibit 99.1 FOR IMMEDIATE RELEASE Nicholas Contact: Charles Krebs NASDAQ: NICK Nicholas Financial, Inc. Corporate Headquarters 26133 U.S. Hwy 19 North, Suite 300, Clearwater, Florida 33763 CFO Ph # (402) 658-0809 Web site: www.nicholasfinancial.com Nicholas Financial Announces Change in Leadership, Change in Corporate HQ, and Name & Ticker Change September 27, 2024 – Clearwater, Florida - Nichola
September 27, 2024	EX-3.1	Certificate of Amendment to Certificate of Incorporation Exhibit 3.1 STATE OF DELAWARE Certificate of Amendment OF Certificate of Incorporation OF NICHOLAS FINANCIAL, INC. Nicholas Financial, Inc. (the “Corporation”), a corporation organized and existing under and by virtue of the General Corporation Law of the State of Delaware, does hereby certify: FIRST: That the Board of Directors of the Corporation by unanimous written consent in lieu of a meeting
September 27, 2024	8-K	Regulation FD Disclosure, Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year, Financial Statements and Exhibits, Other Events, Submission of Matters to a Vote of Security Holders 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) September 27, 2024 NICHOLAS FINANCIAL, INC.
September 27, 2024	EX-99.2	September 27, 2024 Exhibit 99.2 September 27, 2024 Hello Old Market Capital Corporation (fka Nicholas Financial, Inc.) Stockholders: A huge Thank You to those that have stuck with us the last few years. There has been a lot going on with the company and we hope to shed some light on our path forward in this brief shareholder letter. Before some thoughts on our future, we owe a great deal of indebtedness to Mike Rost
September 27, 2024	EX-10.1	Employment Agreement dated September 27, 2024 between Nicholas Financial, Inc. and Jeffrey Royal Exhibit 10.1 Employment Agreement for JEFFREY ROYAL This Agreement is made and effective as of September 27, 2024 (the “Effective Date”) by and between NICHOLAS FINANCIAL, INC., a Delaware company (“Employer” or “Company”) and JEFFREY ROYAL (“Employee”) and supersedes any prior employment-related agreements or oral representations between Employer and Employee unless otherwise incorporated into th
August 29, 2024	EX-99.2	AMPLEX ELECTRIC, INC. LUCKEY, OHIO FINANCIAL STATEMENTS BALANCE SHEET DATES AS OF APRIL 30, 2024 AND OCTOBER 31, 2023 AND INCOME STATEMENTS AND CASH FLOWS FOR THE SIX MONTHS ENDED APRIL 30, 2024 AND 2023 REVIEW REPORT OF INDEPENDENT ACCOUNTANTS Bolin Exhibit 99.2 AMPLEX ELECTRIC, INC. LUCKEY, OHIO FINANCIAL STATEMENTS BALANCE SHEET DATES AS OF APRIL 30, 2024 AND OCTOBER 31, 2023 AND INCOME STATEMENTS AND CASH FLOWS FOR THE SIX MONTHS ENDED APRIL 30, 2024 AND 2023 AND REVIEW REPORT OF INDEPENDENT ACCOUNTANTS Bolinger, Segars, Gilbert & Moss, L.L.P. CERTIFIED PUBLIC ACCOUNTANTS LUBBOCK, TEXAS AMPLEX ELECTRIC, INC. LUCKEY, OHIO FINANCIAL STATEMEN
August 29, 2024	EX-99.3	NICHOLAS FINANCIAL, INC. PRO FORMA CONDENSED COMBINED FINANCIAL STATEMENTS EXHIBIT 99.3 NICHOLAS FINANCIAL, INC. PRO FORMA CONDENSED COMBINED FINANCIAL STATEMENTS (Unaudited) Summary of Transaction On June 15, 2024, Nicholas Financial, Inc. (the “Company”) closed the Share Purchase Agreement to acquire (the “Acquisition”) a majority ownership interest in Amplex Electric, Inc. ("Amplex”), which the sellers have agreed to sell, and the Company has agreed to purchase, 51% o
August 29, 2024	EX-99.1	AMPLEX ELECTRIC, INC. LUCKEY, OHIO FINANCIAL STATEMENTS FOR THE YEARS ENDED OCTOBER 31, 2023 AND 2022 REPORT OF CERTIFIED PUBLIC ACCOUNTANTS Exhibit 99.1 AMPLEX ELECTRIC, INC. LUCKEY, OHIO FINANCIAL STATEMENTS FOR THE YEARS ENDED OCTOBER 31, 2023 AND 2022 AND REPORT OF CERTIFIED PUBLIC ACCOUNTANTS Bolinger, Segars, Gilbert & Moss, L.L.P. CERTIFIED PUBLIC ACCOUNTANTS LUBBOCK, TEXAS AMPLEX ELECTRIC, INC. LUCKEY, OHIO FINANCIAL STATEMENTS FOR THE YEARS ENDED OCTOBER 31, 2023 AND 2022 AND REPORT OF CERTIFIED PUBLIC ACCOUNTANTS BOLINGER, SE
August 29, 2024	8-K/A	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K/A (Amendment No. 1) 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 15, 2024 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K/A (Amendment No. 1) 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 15, 2024 NICHOLAS FINANCIAL, INC. (Exact name of registrant as specified in its charter) Delaware 0-26680 59-2506879 (State or other jurisdiction of incorporat
August 27, 2024	EX-99.1	Nicholas Financial, Inc. Receives Nasdaq Notification of Noncompliance with Listing Rule 5250( c )(1) Exhibit 99.1 FOR IMMEDIATE RELEASE Nicholas Contact: Charles Krebs NASDAQ: NICK Nicholas Financial, Inc. Corporate Headquarters 26133 U.S. Hwy 19 North, Suite 300, Clearwater, Florida 33763 CFO Ph # (402) 658-0809 Web site: www.nicholasfinancial.com Nicholas Financial, Inc. Receives Nasdaq Notification of Noncompliance with Listing Rule 5250( c )(1) August 27, 2024 – Clearwater, Florida - Nicholas
August 27, 2024	8-K	Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing 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) August 21, 2024 NICHOLAS FINANCIAL, INC.
August 26, 2024	10-Q	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE QUARTERLY PERIOD ENDED JUNE 30, 2024 ☐ TRANSITION REPORT PURSUANT TO S Table of Contents c UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.
August 23, 2024	DEF 14A	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. __) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ☑ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☑ Defin
August 15, 2024	NT 10-Q	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 12b-25 NOTIFICATION OF LATE FILING UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 12b-25 NOTIFICATION OF LATE FILING (Check One) ☐ Form 10-K ☐ Form 20-F ☐ Form 11-K ☒ Form 10-Q ☐ Form 10-D ☐ Form N-SAR ☐ Form N-CSR For Period Ended: June 30, 2024 ☐ Transition Report on Form 10-K ☐ Transition Report on Form 20-F ☐ Transition Report on Form 11-K ☐ Transition Report on Form 10-Q ☐ Transition Report on For
July 29, 2024	10-K/A	Powers of Attorney (included on signature page hereto) ** UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K/A (Amendment No. 1) (Mark One) ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended March 31, 2024 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE TRANSITION PERIOD FROM TO Commission File Number 0-26
July 1, 2024	EX-4.1	Form of Common Stock Certificate C0000000230 \| M 104598 Number00000000 Nicholas Financial Inc. A DELAWARE CORPORATION THIS CERTIFIES THAT IS THE REGISTERED HOLDER OF SPECIMEN *0* Shares **0***** *0**** **0*** ***0** ****0*** CUSIP 65373A109 ISIN US65373A1097 SEE REVERSE FOR CERTAIN DEFINITIONS FULLY PAID AND NON-ASSESSABLE COMMON SHARES WITH $0.01 PAR VALUE IN THE CAPITAL OF Nicholas Financ
July 1, 2024	10-K	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K (Mark One) ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended March 31, 2024 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE TRANSITION PERIOD FROM TO Commission File Number 0-26680 NICHOLAS FINANCIAL,
July 1, 2024	EX-99.1	Nicholas Financial Announces 4th Quarter Fiscal Year 2024 Results Exhibit 99.1 FOR IMMEDIATE RELEASE Nicholas Contact: Charles Krebs NASDAQ: NICK Nicholas Financial, Inc. Corporate Headquarters 26133 U.S. Hwy 19 North, Suite 300, Clearwater, Florida 33763 CFO Ph # (402) 658-0809 Web site: www.nicholasfinancial.com Nicholas Financial Announces 4th Quarter Fiscal Year 2024 Results July 1, 2024 – Clearwater, Florida - Nicholas Financial, Inc. (NASDAQ: NICK) (the "C
July 1, 2024	8-K	Financial Statements and Exhibits, Results of Operations and Financial Condition 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) July 1, 2024 NICHOLAS FINANCIAL, INC. (Exact name of registrant as specified in its Charter) Delaware 0-26680 59-2506879 (State or Other Jurisdiction of Incorporation or Organization)
July 1, 2024	EX-21	Subsidiaries of Nicholas Financial, Inc. Exhibit 21 EX-21 Subsidiaries of the registrant Nicholas Financial, Inc. Subsidiary State or Province of Incorporation or Organization Subsidiary Ownership Percentage Nicholas Financial, Inc. Florida 100% Nicholas Data Services, Inc. Florida 100% Amplex Electric, Inc. Ohio 56.5%
July 1, 2024	EX-97	Nicholas Recoupment of Incentive Compensation Policy Exhibit 97 NICHOLAS FINANCIAL, INC. POLICY FOR THE RECOVERY OF ERRONEOUSLY AWARDED COMPENSATION 1. Purpose. The purpose of this Nicholas Financial, Inc. Policy for the Recovery of Erroneously Awarded Compensation, as the same may be amended and/or restated from time to time (this “Policy”), is to describe the circumstances in which Executive Officers (as defined below) will be required to repay or
July 1, 2024	EX-4.2	Description of the Registrant’s Securities Exhibit 4.2 DESCRIPTION OF THE REGISTRANT’S SECURITIES REGISTERED PURSUANT TO SECTION 12 OF THE SECURITIES EXCHANGE ACT OF 1934 The following is a description of the common stock of Nicholas Financial, Inc. (the “Company”) and does not purport to be complete. For a complete description of the terms and provisions of the Common Stock, refer to the Company’s Restated Certificate of Incorporation (th
June 21, 2024	8-K	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) May 15, 2024 NICHOLAS FINANCIAL, INC 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) May 15, 2024 NICHOLAS FINANCIAL, INC.
June 21, 2024	EX-10.2	Put-Call Option Agreement, dated as of June 15, 2024, among the Company, Amplex Holdings, Inc. and Mark R. Radabaugh EXHIBIT 10.2 PUT/CALL AGREEMENT This PUT/CALL AGREEMENT (this “Agreement”) is dated as of June 15, 2024 (this “Effective Date”) by and between Nicholas Financial, Inc., a Delaware corporation (“NICK”), Amplex Holdings, Inc., a Delaware corporation (“Amplex Holdings”), and Mark R. Radabaugh (“MR Holder”). RECITALS WHEREAS, NICK, MR Holder, Dale B. Beckmann and Amplex Electric, Inc. (“Amplex”) enter
June 21, 2024	EX-10.1	Employment Agreement, dated as of June 15, 2024, between Amplex and Mark R. Radabaugh EXHIBIT 10.1 EMPLOYMENT AGREEMENT This Employment Agreement (the “Agreement”) by and between Amplex Electric, Inc., an Ohio corporation (the “Company”), and Mark Radabaugh (“Executive”), is hereby entered into and effective as of June 15, 2024. RECITALS The Company desires to assure itself of the services of the Executive upon the completion (the “Closing”) of the transactions contemplated by that
June 21, 2024	EX-10.4	Non-Competition Agreement, dated as of June 15, 2024, between the Company and Mark R. Radabaugh EXHIBIT 10.4 NON-COMPETITION AGREEMENT THIS NON-COMPETITION AGREEMENT (this “Agreement”) is entered into on this 15 day of June, 2024 (the “Effective Date”), by and between Nicholas Financial, Inc., a Delaware corporation (the “Buyer”), and Mark R. Radabaugh (the “Restricted Party”). WHEREAS, Amplex Electric, Inc., an Ohio corporation (the “Company”), Mark R. Radabaugh, Dale B. Beckmann, and the B
June 21, 2024	EX-10.3	Stockholder Agreement, dated as of June 15, 2024, among the Company, Amplex Holdings, Inc. and Mark R. Radabaugh EXHIBIT 10.3 STOCKHOLDERS AGREEMENT THIS STOCKHOLDERS AGREEMENT (this “Agreement”), is made as of June 15, 2024, by and among Amplex Holdings, Inc., a Delaware corporation (the “Company”), Nicholas Financial, Inc., a Delaware corporation (“NICK”), and Mark R. Radabaugh (“MR Holder”), and any other Persons (as defined below) who become Stockholders (as defined below). RECITALS WHEREAS, NICK, MR Hol
June 12, 2024	EX-10.2	Employment Agreement by and between the Company and Charles Krebs, dated as of June 11, 2024 (17) * EXHIBIT 10.2 Employment Agreement This Agreement is made and effective as of June 19, 2024 (the “Effective Date”) by and between NICHOLAS FINANCIAL, INC., a Delaware company (“Employer” or “Company”) and CHARLES KREBS (“Employee”) and supersedes any prior employment-related agreements or oral representations between Employer and Employee unless otherwise incorporated into this Agreement by referen
June 12, 2024	8-K	Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Entry into a Material Definitive Agreement, Financial Statements and Exhibits 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) May 1, 2024 NICHOLAS FINANCIAL, INC.
June 12, 2024	EX-10.1	Amendment to Employment Agreement by and between the Company and Irina Nashtatik, effective as of May 1, 2024 (16) * EXHIBIT 10.1 AMENDMENT TO EMPLOYMENT AGREEMENT This Amendment to Employment Agreement (“Amendment”) is entered into with the intent it be effective as of May 1, 2024 (the “Amendment Effective Date”) by and between NICHOLAS FINANCIAL, INC. (“Company”) and IRINA NASHTATIK (“Employee”). This Amendment amends that certain Employment Agreement between Company and Employee with an effective date of July
May 6, 2024	EX-2.1	Share Purchase Agreement, dated as of May 1, 2024, between Mark R. Radabaugh, Dale B. Beckmann, Amplex Electric, Inc., Nicholas Financial, Inc.* EXHIBIT 2.1 [CERTAIN INFORMATION IDENTIFIED BY [***] HAS BEEN EXCLUDED FROM THIS AGREEMENT BECAUSE IT IS BOTH (I) NOT MATERIAL AND (II) WOULD LIKELY CAUSE COMPETITIVE HARM TO THE REGISTRANT IF PUBLICLY DISCLOSED] SHARE PURCHASE AGREEMENT by and among MARK R. RADABAUGH, as a Seller and the Sellers’ Representative, and DALE B. BECKMANN, as a Seller, AMPLEX ELECTRIC, INC., as the Company, and Nichola
May 6, 2024	EX-99.1	Nicholas Financial Announces Definitive Agreement to Acquire Control of Amplex Electric EXHIBIT 99.1 Nicholas Financial Announces Definitive Agreement to Acquire Control of Amplex Electric May 6, 2024– Clearwater, Florida - Nicholas Financial, Inc. (NASDAQ: NICK) ("Nicholas") today announced that it has entered into a definitive agreement to acquire control of Amplex Electric, an Ohio-based provider of rural broadband services to business and residential customers. Nicholas will imme
May 6, 2024	8-K	Regulation FD Disclosure, Entry into a Material Definitive Agreement, Financial Statements and Exhibits 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) May 1, 2024 NICHOLAS FINANCIAL, INC.
May 1, 2024	8-K	Financial Statements and Exhibits, Completion of Acquisition or Disposition of Assets 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) April 26, 2024 NICHOLAS FINANCIAL, INC.
April 24, 2024	EX-3.2	CERTIFICATE OF INCORPORATION NICHOLAS FINANCIAL, INC. Exhibit 3.2 CERTIFICATE OF INCORPORATION OF NICHOLAS FINANCIAL, INC. I, the undersigned, for the purposes of incorporating and organizing a corporation under the Delaware General Corporation Law (the “DGCL”), do execute this Certificate of Incorporation and do hereby certify as follows as of April 18, 2024: ARTICLE I The name of the corporation is Nicholas Financial, Inc. (the “Corporation”). ARTI
April 24, 2024	8-K	Financial Statements and Exhibits, Other Events 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) April 18, 2024 NICHOLAS FINANCIAL, INC.
April 24, 2024	EX-3.1	CERTIFICATE OF CORPORATE DOMESTICATION OF NICHOLAS FINANCIAL, INC. Exhibit 3.1 CERTIFICATE OF CORPORATE DOMESTICATION OF NICHOLAS FINANCIAL, INC. The undersigned, presently a corporation organized and existing under the laws of British Columbia, Canada, for the purposes of domesticating under the Delaware General Corporation Law (the “DGCL”), does certify as of April 18, 2024 that: 1. The corporation (hereinafter called the “Corporation”) was first formed, incorp
April 24, 2024	EX-3.3	NICHOLAS FINANCIAL, INC. Article 1 REGISTERED OFFICE AND REGISTERED AGENT Exhibit 3.3 NICHOLAS FINANCIAL, INC. BYLAWS Article 1 REGISTERED OFFICE AND REGISTERED AGENT The registered office of the corporation shall be located in the State of Delaware at such place as may be fixed from time to time by the board of directors (the “Board”) upon filing such notices as may be required by law, and the registered agent shall have a business office identical with such registered
April 19, 2024	8-K	Regulation FD Disclosure, Financial Statements and Exhibits, Other Events, Submission of Matters to a Vote of Security Holders 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) April 15, 2024 NICHOLAS FINANCIAL, INC.
March 19, 2024	424B3	NICHOLAS FINANCIAL, INC. PROPOSED DOMESTICATION AND LOAN PORTFOLIO SALE– YOUR VOTE IS VERY IMPORTANT Filed Pursuant to Rule 424(b)(3) Registration No. 333-275704 NICHOLAS FINANCIAL, INC. PROPOSED DOMESTICATION AND LOAN PORTFOLIO SALE– YOUR VOTE IS VERY IMPORTANT March 19, 2024 Dear Shareholders: We are furnishing this management proxy circular to shareholders of Nicholas Financial, Inc. in connection with the solicitation of proxies by our management for use at a Special Meeting of our shareholde
March 4, 2024	8-K	Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Financial Statements and Exhibits 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) March 1, 2024 NICHOLAS FINANCIAL, INC.
February 14, 2024	EX-1	JOINT FILING AGREEMENT EX-1 2 ex1.htm EXHIBIT1 EXHIBIT 1 JOINT FILING AGREEMENT In accordance with Rule 13d-1(f) under the Securities Exchange Act of 1934, as amended, the persons named below agree to the joint filing on behalf of each of them of this Schedule 13G (including amendments thereto) with respect to the Common Stock of Nicholas Financial Inc. and further agree that this Joint Filing Agreement be included as a
February 14, 2024	EX-2	IDENTIFICATION AND CLASSIFICATION OF MEMBERS OF THE GROUP EX-2 3 ex2.htm EXHIBIT 2 EXHIBIT 2 IDENTIFICATION AND CLASSIFICATION OF MEMBERS OF THE GROUP Pelham Investment Partners, LP Part V Capital Management, LLC Edward A. Collery SC Fundamental Value Fund, L.P SC Fundamental LLC SC Fund Management LLC Profit Sharing Plan Peter M. Collery Neil H. Koffler John T. Bird David A. Hurwitz
February 14, 2024	8-K	Financial Statements and Exhibits 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) February 14, 2024 NICHOLAS FINANCIAL, INC.
February 14, 2024	EX-99.1	Notice of Meeting and Record Date April 15, 2024 Exhibit 99.1 Date: February 14, 2024 To: All Canadian Securities Regulatory Authorities Subject: NICHOLAS FINANCIAL,INC. Dear Sir/Madam: We advise of the following with respect to the upcoming Meeting of Security Holders for the subject Issuer: Meeting Type : Special Meeting of Shareholders Record Date for Notice of Meeting : March 11, 2024 Record Date for Voting (if applicable) : March 11, 2024 B
February 14, 2024	SC 13G/A	NICK / Nicholas Financial, Inc. / Pelham Investment Partners, LP - SC 13G/A Passive Investment SC 13G/A 1 nicholas13ga1.htm SC 13G/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1)* Nicholas Financial, Inc. (Name of Issuer) Common Stock (Title of Class of Securities) 65373J209 (CUSIP Number) December 31, 2023 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to de
February 13, 2024	8-K	Financial Statements and Exhibits, Results of Operations and Financial Condition 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) February 13, 2024 NICHOLAS FINANCIAL, INC. (Exact name of registrant as specified in its Charter) British Columbia, Canada 0-26680 59-2506879 (State or Other Jurisdiction of Incorporat
February 13, 2024	10-Q	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE QUARTERLY PERIOD ENDED DECEMBER 31, 2023 ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE TRANSITION PERIOD FROM TO .
February 13, 2024	EX-99.1	Nicholas Financial Announces 3rd Quarter Fiscal Year 2024 Results Exhibit 99.1 FOR IMMEDIATE RELEASE Nicholas Contact: Irina Nashtatik NASDAQ: NICK Nicholas Financial, Inc. Corporate Headquarters 26133 U.S. Hwy 19 North, Suite 300, Clearwater, Florida 33763 CFO Ph # (727)-726-0763 Web site: www.nicholasfinancial.com Nicholas Financial Announces 3rd Quarter Fiscal Year 2024 Results February 13, 2024 – Clearwater, Florida - Nicholas Financial, Inc. (NASDAQ: NICK)
February 12, 2024	SC 13G/A	NICK / Nicholas Financial, Inc. / TCW GROUP INC - SC 13G/A Passive Investment SC 13G/A 1 tm243945d3sc13ga.htm SC 13G/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 7 )* NICHOLAS FINANCIAL INC. (Name of Issuer) Common Stock (Title of Class of Securities) 65373J209 (CUSIP Number) 12/31/2023 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designat
February 9, 2024	SC 13G/A	NICK / Nicholas Financial, Inc. / DIMENSIONAL FUND ADVISORS LP - SEC SCHEDULE 13G Passive Investment SC 13G/A 1 SEC13GFiling.htm SEC SCHEDULE 13G UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 2 )* Nicholas Financial Inc (Name of Issuer) Common Stock (Title of Class of Securities) 65373J209 (CUSIP Number) December 29, 2023 (Date of Event Which Requires Filing of this Statement) Check the appropriate box
February 7, 2024	CORRESP	NICHOLAS FINANCIAL, INC. 26133 US Hwy 19 North, Suite 300 Clearwater, Florida 33763 NICHOLAS FINANCIAL, INC. 26133 US Hwy 19 North, Suite 300 Clearwater, Florida 33763 February 7, 2024 VIA EDGAR Securities and Exchange Commission Division of Corporation Finance Judiciary Plaza 450 Fifth Street N.W. Washington, D.C. 20549-0306 Attention: Aisha Adegbuyi and Christian Windsor Re: Nicholas Financial, Inc. Registration Statement on Form S-4 File No. 333-275704 Ladies and Gentlemen: Pu
February 6, 2024	CORRESP	NICHOLAS FINANCIAL, INC. 26133 US Hwy 19 North, Suite 300 Clearwater, Florida 33763 NICHOLAS FINANCIAL, INC. 26133 US Hwy 19 North, Suite 300 Clearwater, Florida 33763 February 6, 2024 VIA EDGAR Securities and Exchange Commission Division of Corporation Finance Judiciary Plaza 450 Fifth Street N.W. Washington, D.C. 20549-0306 Attention: Aisha Adegbuyi and Christian Windsor Re: Nicholas Financial, Inc. Registration Statement on Form S-4 File No. 333-275704 Ladies and Gentlemen: Pu
January 29, 2024	S-4/A	As filed with the Securities and Exchange Commission on January 29, 2024 As filed with the Securities and Exchange Commission on January 29, 2024 Registration No.
January 29, 2024	CORRESP	January 29, 2024 January 29, 2024 Securities and Exchange Commission Judiciary Plaza 450 Fifth Street, N.
January 10, 2024	CORRESP	January 10, 2024 January 10, 2024 Securities and Exchange Commission Judiciary Plaza 450 Fifth Street, N.
January 10, 2024	S-4/A	As filed with the Securities and Exchange Commission on January 10, 2024 As filed with the Securities and Exchange Commission on January 10, 2024 Registration No.
November 22, 2023	EX-3.5	Form of Bylaws of Nicholas Financial, Inc Exhibit 3.5 Form of Bylaws of Nicholas Financial, Inc. NICHOLAS FINANCIAL, INC. BYLAWS ARTICLE 1 Registered Office and Registered Agent The registered office of the corporation shall be located in the State of Delaware at such place as may be fixed from time to time by the board of directors (the “Board”) upon filing such notices as may be required by law, and the registered agent shall have a bus
November 22, 2023	EX-3.4	Form of Certificate of Incorporation of Nicholas Financial, Inc. Exhibit 3.4 Form of Certificate of Incorporation oF Nicholas Financial, Inc. CERTIFICATE OF INCORPORATION OF NICHOLAS FINANCIAL, INC. I, the undersigned, for the purposes of incorporating and organizing a corporation under the Delaware General Corporation Law (the “DGCL”), do execute this Certificate of Incorporation and do hereby certify as follows: Article I The name of the corporation is Nichol
November 22, 2023	S-4	As filed with the Securities and Exchange Commission on November 22, 2023 As filed with the Securities and Exchange Commission on November 22, 2023 Registration No.
November 22, 2023	EX-3.3	Form of Certificate of Domestication Exhibit 3.3 [FORM OF CERTIFICATE OF CORPORATE DOMESTICATION OF NICHOLAS FINANCIAL, INC.] CERTIFICATE OF CORPORATE DOMESTICATION OF NICHOLAS FINANCIAL, INC. The undersigned, presently a corporation organized and existing under the laws of British Columbia, Canada, for the purposes of domesticating under the Delaware General Corporation Law (the “DGCL”), does certify that: 1. The corporation (herein
November 22, 2023	EX-FILING FEES	Filing Fee Table Exhibit 107 Calculation of Filing Fee Tables Form S-4 (Form Type) Nicholas Financial, Inc.
November 20, 2023	8-K	Entry into a Material Definitive Agreement, Financial Statements and Exhibits, Costs Associated with Exit or Disposal Activities 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 14, 2023 NICHOLAS FINANCIAL, INC.
November 17, 2023	EX-2.1	Master Asset Purchase Agreement dated November 13, 2023, by and between Westlake Services, LLC dba Westlake Financial, a California limited liability company, Nicholas Financial, Inc., a Florida corporation and Nicholas Financial, Inc., a British Columbia corporation (17) Exhibit 2.1 [certain information identified by [***] has been excluded from this agreement because it is both (i) not material and (ii) would likely cause competitive harm to the registrant if publicly disclosed] MASTER ASSET PURCHASE AGREEMENT THIS MASTER ASSET PURCHASE AGREEMENT, dated as of November 13, 2023 (“Effective Date”), is between Westlake Services, LLC dba Westlake Financial, a Califor
November 17, 2023	8-K	Entry into a Material Definitive Agreement, Financial Statements and Exhibits 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 13 , 2023 NICHOLAS FINANCIAL, INC.
November 14, 2023	8-K	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) November 13, 2023 NICHOLAS FINANCI 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) November 13, 2023 NICHOLAS FINANCIAL, INC. (Exact name of registrant as specified in its Charter) British Columbia, Canada 0-26680 59-2506879 (State or Other Jurisdiction of Incorporat
November 14, 2023	10-Q	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE QUARTERLY PERIOD ENDED SEPTEMBER 30, 2023 ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE TRANSITION PERIOD FROM TO .
November 14, 2023	EX-99.1	Nicholas Financial Announces Master Asset Purchase Agreement And Reports 2nd Quarter Fiscal Year 2024 Results Exhibit 99.1 FOR IMMEDIATE RELEASE Nicholas Contact: Irina Nashtatik NASDAQ: NICK Nicholas Financial, Inc. Corporate Headquarters 26133 U.S. Hwy 19 North, Suite 300, Clearwater, Florida 33763 CFO Ph # (727)-726-0763 Web site: www.nicholasfinancial.com Nicholas Financial Announces Master Asset Purchase Agreement And Reports 2nd Quarter Fiscal Year 2024 Results November 14, 2023 – Clearwater, Florid
August 29, 2023	8-K	Submission of Matters to a Vote of Security Holders 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) August 24, 2023 NICHOLAS FINANCIAL, INC.
August 16, 2023	8-K	Financial Statements and Exhibits, Results of Operations and Financial Condition 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) August 16, 2023 NICHOLAS FINANCIAL, INC.
August 16, 2023	EX-99.1	Nicholas Financial Reports 1st Quarter Fiscal Year 2024 Results Exhibit 99.1 FOR IMMEDIATE RELEASE Nicholas Contact: Irina Nashtatik NASDAQ: NICK Nicholas Financial, Inc. Corporate Headquarters 26133 US HWY 19 North Suite 300 Clearwater, FL 33763 CFO Ph # (727)-726-0763 Web site: www.nicholasfinancial.com Nicholas Financial Reports 1st Quarter Fiscal Year 2024 Results • We substantially completed our restructuring plan and returned to profitability, recognizin
August 16, 2023	10-Q	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE QUARTERLY PERIOD ENDED June 30, 2023 ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE TRANSITION PERIOD FROM TO .
August 15, 2023	8-K	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) August 10, 2023 NICHOLAS FINANCIAL, 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) August 10, 2023 NICHOLAS FINANCIAL, INC.
August 15, 2023	NT 10-Q	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 12b-25 NOTIFICATION OF LATE FILING UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 12b-25 NOTIFICATION OF LATE FILING (Check One) ☐ Form 10-K ☐ Form 20-F ☐ Form 11-K ☒ Form 10-Q ☐ Form 10-D ☐ Form N-SAR ☐ Form N-CSR For Period Ended: June 30, 2023 ☐ Transition Report on Form 10-K ☐ Transition Report on Form 20-F ☐ Transition Report on Form 11-K ☐Transition Report on Form 10-Q ☐ Transition Report on Form
August 15, 2023	EX-10	Employment Agreement between Nicholas Financial Inc and Michael Rost dated August 10, 2023 AMENDMENT TO EMPLOYMENT AGREEMENT This Amendment to Employment Agreement (“Amendment”) is entered into with the intent it be effective as of August 10, 2023 (the “Amendment Effective Date”) by and between NICHOLAS FINANCIAL, INC.
August 15, 2023	EX-99.1	Nicholas Financial Announces Extension of Chief Executive Officer's Employment Agreement Exhibit 99.1 FOR IMMEDIATE RELEASE Nicholas Contact: Irina Nashtatik NASDAQ: NICK Nicholas Financial, Inc. Corporate Headquarters 26133 US Highway 19 North Suite 300 Clearwater, FL 33763 CFO Ph # (727)-726-0763 Web site: www.nicholasfinancial.com Nicholas Financial Announces Extension of Chief Executive Officer's Employment Agreement August 15, 2023 – Clearwater, Florida - Nicholas Financial, Inc.
July 27, 2023	DEF 14A	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. __) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ☑ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)
July 24, 2023	EX-99.3	POWER OF ATTORNEY EXHIBIT 3 POWER OF ATTORNEY The undersigned, Peter M. Collery (hereinafter referred to as “P. Collery”) does hereby make, constitute and appoint the person listed below as P. Collery’s true and lawful agent and attorney-in-fact (hereinafter referred to as the “Attorney”) to act in the name and on behalf of P. Collery for and with respect to the matters hereinafter described. Name of Attorney: Edwa
July 24, 2023	EX-2	IDENTIFICATION AND CLASSIFICATION OF MEMBERS OF THE GROUP EXHIBIT 2 IDENTIFICATION AND CLASSIFICATION OF MEMBERS OF THE GROUP Pelham Investment Partners, LP Part V Capital Management, LLC Edward A. Collery SC Fundamental Value Fund, L.P SC Fundamental LLC SC Fund Management LLC Profit Sharing Plan Peter M. Collery Neil H. Koffler John T. Bird David A. Hurwitz
July 24, 2023	EX-99.6	POWER OF ATTORNEY EXHIBIT 6 POWER OF ATTORNEY The undersigned, David A. Hurwitz (hereinafter referred to as “Hurwitz”) does hereby make, constitute and appoint the person listed below as Hurwitz’s true and lawful agent and attorney-in-fact (hereinafter referred to as the “Attorney”) to act in the name and on behalf of Hurwitz for and with respect to the matters hereinafter described. Name of Attorney: Edward A. Col
July 24, 2023	EX-1	JOINT FILING AGREEMENT EX-1 2 ex1.htm EXHIBIT1 EXHIBIT 1 JOINT FILING AGREEMENT In accordance with Rule 13d-1(f) under the Securities Exchange Act of 1934, as amended, the persons named below agree to the joint filing on behalf of each of them of this Schedule 13G (including amendments thereto) with respect to the Common Stock of Nicholas Financial Inc. and further agree that this Joint Filing Agreement be included as a
July 24, 2023	EX-99.4	POWER OF ATTORNEY EXHIBIT 4 POWER OF ATTORNEY The undersigned, Neil H. Koffler (hereinafter referred to as “Koffler”) does hereby make, constitute and appoint the person listed below as Koffler’s true and lawful agent and attorney-in-fact (hereinafter referred to as the “Attorney”) to act in the name and on behalf of Koffler for and with respect to the matters hereinafter described. Name of Attorney: Edward A. Coll
July 24, 2023	SC 13G	NICK / Nicholas Financial, Inc. / Pelham Investment Partners, LP - SCHEDULE 13G Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 Nicholas Financial, Inc. (Name of Issuer) Common Stock (Title of Class of Securities) 65373J209 (CUSIP Number) July 24, 2023 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Schedule is filed: o
July 24, 2023	EX-99.5	POWER OF ATTORNEY EXHIBIT 5 POWER OF ATTORNEY The undersigned, John T. Bird (hereinafter referred to as “Bird”) does hereby make, constitute and appoint the person listed below as Bird’s true and lawful agent and attorney-in-fact (hereinafter referred to as the “Attorney”) to act in the name and on behalf of Bird for and with respect to the matters hereinafter described. Name of Attorney: Edward A. Collery Attorney
June 29, 2023	EX-99.1	Date: June 29, 2023 Exhibit 99.1 Date: June 29, 2023 To: All Canadian Securities Regulatory Authorities Subject: NICHOLAS FINANCIAL,INC. Dear Sir/Madam: We advise of the following with respect to the upcoming Meeting of Security Holders for the subject Issuer: Meeting Type : Annual General Meeting Record Date for Notice of Meeting : July 20, 2023 Record Date for Voting (if applicable) : July 20, 2023 Beneficial Owner
June 29, 2023	8-K	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) June 29, 2023 NICHOLAS FINANCIAL, IN 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) June 29, 2023 NICHOLAS FINANCIAL, INC.
June 27, 2023	10-K	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K (Mark One) ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended March 31, 2023 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE TRANSITION PERIOD FROM TO Commission File Number 0-26680 NICHOLAS FINANCIAL,
June 27, 2023	EX-21	Subsidiaries of Nicholas Financial, Inc. (18) Exhibit 21 EX-21 Subsidiaries of the registrant Nicholas Financial, Inc. Subsidiary State or Province of Incorporation or Organization Subsidiary Ownership Percentage Nicholas Financial, Inc. Florida 100% Nicholas Data Services, Inc. Florida 100%
June 21, 2023	8-K	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) June 21, 2023 NICHOLAS FINANCIAL, 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) June 21, 2023 NICHOLAS FINANCIAL, INC. (Exact name of registrant as specified in its Charter) British Columbia, Canada 0-26680 59-2506879 (State or Other Jurisdiction of Incorporation
June 21, 2023	EX-99.1	Nicholas Financial Reports 4th Quarter Fiscal Year 2023 Results Exhibit 99.1 FOR IMMEDIATE RELEASE Nicholas Contact: Irina Nashtatik NASDAQ: NICK Nicholas Financial, Inc. Corporate Headquarters 26133 U.S. Hwy 19 North, Suite 300, Clearwater, Florida 33763 CFO Ph # (727)-726-0763 Web site: www.nicholasfinancial.com Nicholas Financial Reports 4th Quarter Fiscal Year 2023 Results • The Company continues implementation of the restructuring plan to strategically re
February 14, 2023	EX-10	Loan and Security Agreement, dated as of January 18, 2023, by and between Westlake Capital Finance, LLC, a California limited liability company, as lender, and Nicholas Financial, Inc., a Florida corporation and Nicholas Data Services, Inc., a Florida corporation, as borrowers (5) EX-10 3 nick-ex102.htm EX-10.2 *Portions of this exhibit have been redacted in accordance with Item 601(b)(10) of Regulation S-K. The information is both not material and is the type that the registrant treats as private or confidential. Confidential information would cause competitive harm to the registrant if publicly disclosed. [] indicates that information has been redacted. ** LOAN AND
February 14, 2023	EX-10	Servicing Agreement among Nicholas Financial, Inc., Nicholas Data Services, Inc. and Westlake Portfolio Management, LLC ***Portions of this exhibit have been redacted in accordance with Item 601(b)(10) of Regulation S-K.
February 14, 2023	10-Q	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE QUARTERLY PERIOD ENDED December 31, 2022 ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE TRANSITION PERIOD FROM TO .
February 10, 2023	SC 13G/A	NICK / Nicholas Financial, Inc. / DIMENSIONAL FUND ADVISORS LP - SEC SCHEDULE 13G Passive Investment SC 13G/A 1 SEC13GFiling.htm SEC SCHEDULE 13G UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1 )* Nicholas Financial Inc (Name of Issuer) Common Stock (Title of Class of Securities) 65373J209 (CUSIP Number) December 30, 2022 (Date of Event Which Requires Filing of this Statement) Check the appropriate box
February 9, 2023	8-K	Financial Statements and Exhibits, Results of Operations and Financial Condition 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) February 9, 2023 NICHOLAS FINANCIAL, INC.
February 9, 2023	EX-99.1	Nicholas Financial Reports 3rd Quarter Fiscal Year 2023 Results Exhibit 99.1 FOR IMMEDIATE RELEASE Nicholas Contact: Irina Nashtatik NASDAQ: NICK Nicholas Financial, Inc. Corporate Headquarters 2454 McMullen-Booth Rd. Building C, Suite 501 Clearwater, FL 33759 CFO Ph # (727)-726-0763 Web site: www.nicholasfinancial.com Nicholas Financial Reports 3rd Quarter Fiscal Year 2023 Results • On November 3, 2022, the Company announced a change in operating strategy and
January 25, 2023	SC 13G/A	NICK / Nicholas Financial, Inc. / TCW GROUP INC - SC 13G/A Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No.
January 24, 2023	8-K	Entry into a Material Definitive Agreement, Termination of a Material Definitive Agreement, Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant, Other Events 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): January 18, 2023 NICHOLAS FINANCIAL, INC.
December 12, 2022	8-K	Entry into a Material Definitive Agreement, Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant 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): December 6, 2022 NICHOLAS FINANCIAL, INC.
November 14, 2022	10-Q	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE QUARTERLY PERIOD ENDED September 30, 2022 ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE TRANSITION PERIOD FROM TO .
November 4, 2022	8-K	Financial Statements and Exhibits, Results of Operations and Financial Condition 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 4, 2022 NICHOLAS FINANCIAL, INC.
November 4, 2022	EX-99.1	Nicholas Financial Reports 2nd Quarter Fiscal Year 2023 Results Exhibit 99.1 FOR IMMEDIATE RELEASE Nicholas Contact: Irina Nashtatik NASDAQ: NICK Nicholas Financial, Inc. Corporate Headquarters 2454 McMullen-Booth Rd. Building C, Suite 501 Clearwater, FL 33759 CFO Ph # (727)-726-0763 Web site: www.nicholasfinancial.com Nicholas Financial Reports 2nd Quarter Fiscal Year 2023 Results ? Originations in new Contracts purchased for the three months ended September
November 3, 2022	8-K	Entry into a Material Definitive Agreement, Financial Statements and Exhibits, Costs Associated with Exit or Disposal Activities, Other Events 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 3, 2022 NICHOLAS FINANCIAL, INC.
November 3, 2022	EX-99.1	Nicholas Financial Announces Change in Operating Structure and Servicing Agreement with Westlake Portfolio Management Exhibit 99.1 FOR IMMEDIATE RELEASE Nicholas Contact: Irina Nashtatik NASDAQ: NICK Nicholas Financial, Inc. Corporate Headquarters 2454 McMullen-Booth Rd. Building C, Suite 501 Clearwater, FL 33759 CFO Ph # (727)-726-0763 Web site: www.nicholasfinancial.com Nicholas Financial Announces Change in Operating Structure and Servicing Agreement with Westlake Portfolio Management November 03, 2022 ? Clear
October 27, 2022	8-K	Triggering Events That Accelerate or Increase a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement 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): October 20, 2022 NICHOLAS FINANCIAL, INC.
September 15, 2022	EX-10.1	Employment Agreement between the Corporation and Michael Rost, dated as of August 10, 2023 (13) * Exhibit 10.1 EMPLOYMENT AGREEMENT THIS AGREEMENT (this ?Agreement?) is entered into as of the 14 day of September, 2022 by NICHOLAS FINANCIAL, INC., a British Columbia corporation (the ?Company?), and MICHAEL ROST (the ?Employee?). WITNESSETH: WHEREAS, the Employee desires to be employed by the Company on the terms and conditions hereinafter set forth. NOW, THEREFORE, in consideration of the mutua
September 15, 2022	EX-99.1	Nicholas Financial Announces Chief Executive Officer's Employment Agreement Exhibit 99.1 FOR IMMEDIATE RELEASE Nicholas Contact: Irina Nashtatik NASDAQ: NICK Nicholas Financial, Inc. Corporate Headquarters 2454 McMullen-Booth Rd. Building C, Suite 501 Clearwater, FL 33759 CFO Ph # (727)-726-0763 Web site: www.nicholasfinancial.com Nicholas Financial Announces Chief Executive Officer's Employment Agreement September 15, 2022 ? Clearwater, Florida - Nicholas Financial, Inc.
September 15, 2022	8-K	Regulation FD Disclosure, Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Financial Statements and Exhibits 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) September 14, 2022 NICHOLAS FINANCIAL, INC.
August 30, 2022	8-K	Regulation FD Disclosure, Financial Statements and Exhibits 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) August 30, 2022 NICHOLAS FINANCIAL, INC.
August 30, 2022	8-K	Submission of Matters to a Vote of Security Holders 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) August 30, 2022 NICHOLAS FINANCIAL, INC.
August 30, 2022	8-K	Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers 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) August 30, 2022 NICHOLAS FINANCIAL, INC.
August 30, 2022	EX-99.1	FORWARD LOOKING STATEMENTS The statements contained in this Presentation that are not purely historical are forward-looking statements within the meaning of Section 27A of the Securities Act of 1933 and Section 31E of the Securities Exchange Act of 1 Nicholas Financial, Inc. (NASDAQ: NICK) Annual General Shareholders Meeting ? August 30, 2022, Charlotte, NC Exhibit 99.1 FORWARD LOOKING STATEMENTS The statements contained in this Presentation that are not purely historical are forward-looking statements within the meaning of Section 27A of the Securities Act of 1933 and Section 31E of the Securities Exchange Act of 1934, including statements re
August 25, 2022	DEFR14A	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. 1) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. 1) Filed by the Registrant ? Filed by a Party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ? Defi
August 17, 2022	8-K	Financial Statements and Exhibits, Changes in Registrant's Certifying Accountant 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) August 15, 2022 NICHOLAS FINANCIAL, INC.
August 17, 2022	EX-16.1	Letter from RSM US LLP to the Securities and Exchange Commission dated August 17, 2022 EX-16.1 2 nick-ex161.htm EX-16.1 Exhibit 16.1 August 17, 2022 Securities and Exchange Commission Washington, D.C. 20549 5444 Wade Park Boulevard Suite 350 Raleigh, NC 27607 T +1 919 781 1055 F +1 919 781 9270 www.rsmus.com Commissioners: We have read Nicholas Financial, Inc’s statements included under Item 4.01(a) of its Form 8-K filed on August 17, 2022 and we agree with such statements concernin
August 10, 2022	10-Q	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 10-Q ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE QUARTERLY PERIOD ENDED June 30, 2022 ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE TRANSITION PERIOD FROM TO .
August 3, 2022	SC 13D/A	NICK / Nicholas Financial, Inc. / MAGNOLIA CAPITAL FUND, LP Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 11) Nicholas Financial, Inc. (Name of Issuer) Common Stock, no par value per share (Title of Class of Securities) 65373J209 (CUSIP Number) Adam K. Peterson 1601 Dodge Street, Suite 3300 Omaha, NE 68102 (402) 509-8456 (Name, Address and Telephone Number of Pe
July 29, 2022	DEF 14A	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. __) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ? Filed by a Party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)
July 29, 2022	EX-99.1	Nicholas Financial Reports 1st Quarter Fiscal Year 2023 Results Exhibit 99.1 FOR IMMEDIATE RELEASE Nicholas Contact: Irina Nashtatik NASDAQ: NICK Nicholas Financial, Inc. Corporate Headquarters 2454 McMullen-Booth Rd. Building C, Suite 501 Clearwater, FL 33759 CFO Ph # (727)-726-0763 Web site: www.nicholasfinancial.com Nicholas Financial Reports 1st Quarter Fiscal Year 2023 Results ? Originations year-over-year on new Contracts purchased for the three months e
July 29, 2022	8-K	Financial Statements and Exhibits, Results of Operations and Financial Condition 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) July 29, 2022 NICHOLAS FINANCIAL, INC.
July 22, 2022	EX-10.1	Employment Agreement between the Corporation and Irina Nashtatik, dated as of July 21, 2022 (14) * Exhibit 10.1 EMPLOYMENT AGREEMENT THIS AGREEMENT (this ?Agreement?) is entered into as of the 21 day of July, 2022 by NICHOLAS FINANCIAL, INC., a British Columbia corporation (the ?Company?), and IRINA NASHTATIK (the ?Employee?). WITNESSETH: WHEREAS, the Employee desires to be employed by the Company on the terms and conditions hereinafter set forth. NOW, THEREFORE, in consideration of the mutual
July 22, 2022	EX-99.1	Nicholas Financial Announces Extension of Chief Financial Officer's Employment Agreement Exhibit 99.1 FOR IMMEDIATE RELEASE Nicholas Contact: Irina Nashtatik NASDAQ: NICK Nicholas Financial, Inc. Corporate Headquarters 2454 McMullen-Booth Rd. Building C, Suite 501 Clearwater, FL 33759 CFO Ph # (727)-726-0763 Web site: www.nicholasfinancial.com Nicholas Financial Announces Extension of Chief Financial Officer's Employment Agreement July 22, 2022 ? Clearwater, Florida - Nicholas Financi
July 22, 2022	8-K	Regulation FD Disclosure, Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Financial Statements and Exhibits 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) July 21, 2022 NICHOLAS FINANCIAL, INC.
July 18, 2022	8-K	Costs Associated with Exit or Disposal Activities 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) July 18, 2022 NICHOLAS FINANCIAL, INC.
June 24, 2022	EX-21	Subsidiaries of Nicholas Financial, Inc. Exhibit 21 EX-21 Subsidiaries of the registrant Nicholas Financial, Inc. Subsidiary State or Province of Incorporation or Organization Subsidiary Ownership Percentage Nicholas Financial, Inc. Florida 100% Nicholas Data Services, Inc. Florida 100% NF Funding I, LLC Delaware 100%
June 24, 2022	10-K	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K (Mark One) ? ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended March 31, 2022 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE TRANSITION PERIOD FROM TO Commission File Number 0-26680 NICHOLAS FINANCIAL,
June 23, 2022	EX-99.1	Date: June 23, 2022 Exhibit 99.1 Date: June 23, 2022 To: All Canadian Securities Regulatory Authorities Subject: NICHOLAS FINANCIAL,INC. Dear Sir/Madam: We advise of the following with respect to the upcoming Meeting of Security Holders for the subject Issuer: Meeting Type : Annual General Meeting Record Date for Notice of Meeting : July 26, 2022 Record Date for Voting (if applicable) : July 26, 2022 Beneficial Owner
June 23, 2022	8-K	Financial Statements and Exhibits 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) June 23, 2022 NICHOLAS FINANCIAL, INC.
May 25, 2022	8-K	Regulation FD Disclosure, Financial Statements and Exhibits 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) May 25, 2022 NICHOLAS FINANCIAL, INC.
May 25, 2022	EX-99.1	Nicholas Financial, Inc. 2022 Letter to Shareholders Exhibit 99.1 Nicholas Financial, Inc. 2022 Letter to Shareholders To the Shareholders of Nicholas Financial, Inc., For the fiscal year ended March 31, 2022, Nicholas Financial, Inc. (?NICK?) earned net income of $3.0mm. Book value per share grew 3.2% during the twelve months, increasing from $14.95 to $15.42. The Board of Directors, fellow shareholders owning over 35% of shares outstanding, and ma
May 24, 2022	EX-99.1	Nicholas Financial Reports 4th Quarter Fiscal Year 2022 Results Exhibit 99.1 FOR IMMEDIATE RELEASE Nicholas Contact: Irina Nashtatik NASDAQ: NICK Nicholas Financial, Inc. Corporate Headquarters 2454 McMullen-Booth Rd. Building C, Suite 501 Clearwater, FL 33759 CFO Ph # (727)-726-0763 Web site: www.nicholasfinancial.com Nicholas Financial Reports 4th Quarter Fiscal Year 2022 Results ? Originations on new Contracts purchased in the fourth quarter of fiscal year
May 24, 2022	8-K	Financial Statements and Exhibits, Results of Operations and Financial Condition 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) May 24, 2022 NICHOLAS FINANCIAL, INC.
May 17, 2022	8-K/A	Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 Amendment No.
May 10, 2022	EX-99.1	Nicholas Financial Announces Appointment of Interim CEO Exhibit 99.1 FOR IMMEDIATE RELEASE Nicholas Contact: Irina Nashtatik NASDAQ: NICK Nicholas Financial, Inc. Corporate Headquarters 2454 McMullen-Booth Rd. Building C, Suite 501 Clearwater, FL 33759 CFO Ph # (727)-726-0763 Web site: www.nicholasfinancial.com Nicholas Financial Announces Appointment of Interim CEO May 10, 2022 ? Clearwater, Florida - Nicholas Financial, Inc. (NASDAQ: NICK) announced
May 10, 2022	8-K	Regulation FD Disclosure, Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Financial Statements and Exhibits 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) May 10, 2022 NICHOLAS FINANCIAL, INC.
May 10, 2022	EX-10.1	Separation and General Release Agreement between the Corporation and Douglas W. Marohn, dated as of May 9, 2022 (15)* Exhibit 10.1 SEPARATION AND GENERAL RELEASE AGREEMENT This SEPARATION AND GENERAL RELEASE AGREEMENT (the ?Agreement?) is entered into and effective as of May 9, 2022 (the ?Effective Date?), by and between Nicholas Financial, Inc. (the ?Company?), and Douglas Marohn (?Executive?). Company and Executive are sometimes hereinafter referred to individually as a ?Party? and together as the ?Parties.? WH
February 9, 2022	SC 13G/A	NICK / Nicholas Financial, Inc. / TCW GROUP INC - SC 13G/A Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No.
February 9, 2022	10-Q	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 10-Q ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE QUARTERLY PERIOD ENDED December 31, 2021 ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE TRANSITION PERIOD FROM TO .
February 8, 2022	SC 13G	NICK / Nicholas Financial, Inc. / DIMENSIONAL FUND ADVISORS LP - SEC SCHEDULE 13G Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* Nicholas Financial Inc (Name of Issuer) Common Stock (Title of Class of Securities) 65373J209 (CUSIP Number) December 31, 2021 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this S
January 31, 2022	8-K	Financial Statements and Exhibits, Results of Operations and Financial Condition 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) January 31, 2022 NICHOLAS FINANCIAL, INC.
January 31, 2022	EX-99.1	Nicholas Financial Reports 3rd Quarter Fiscal Year 2022 Results Exhibit 99.1 FOR IMMEDIATE RELEASE Nicholas Contact: Irina Nashtatik NASDAQ: NICK Nicholas Financial, Inc. Corporate Headquarters 2454 McMullen-Booth Rd. Building C, Suite 501 Clearwater, FL 33759 CFO Ph # (727)-726-0763 Web site: www.nicholasfinancial.com Nicholas Financial Reports 3rd Quarter Fiscal Year 2022 Results ? Portfolio Yield for the three months ended December 31, 2021 increased to 27.
January 13, 2022	EX-10.1	Nicholas Financial’s Houston, Texas Grand Opening Exhibit 10.1 Nicholas Financial Hello HOUSTON Texas JOIN US FOR OUR Grand Opening Celebration!! Eat Bar-B-Que See Live Longhorns Play Casino Games You're Invited to Nicholas Financial's Houston, Texas Grand Opening Date: Time: Location: January 13th 2022 3:00 to 7:00pm 9630 N. Sam Houston Pkwy E, Suite F For more Info call: Humble, TX 77396 281-601-1926 Official Ribbon Cutting at 4:00pm - Refreshm
January 13, 2022	EX-10.1	EX-10.1
January 13, 2022	EX-99.1	Nicholas Financial’s Houston, Texas Grand Opening. Exhibit 99.1 FOR IMMEDIATE RELEASE Nicholas Contact: Doug Marohn NASDAQ: NICK Nicholas Financial, Inc. Corporate Headquarters 2454 McMullen-Booth Rd. Building C, Suite 501 Clearwater, FL 33759 President & CEO Ph # (727)-726-0763 Web site: www.nicholasfinancial.com Nicholas Financial?s Houston, Texas Grand Opening. January 13, 2022 ? Clearwater, Florida - Nicholas Financial, Inc. (NASDAQ: NICK) ? a
January 13, 2022	8-K	Financial Statements and Exhibits, Other Events 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) January 13, 2022 NICHOLAS FINANCIAL, INC.
November 12, 2021	10-Q	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 10-Q ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE QUARTERLY PERIOD ENDED September 30, 2021 ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE TRANSITION PERIOD FROM TO .
November 8, 2021	EX-10.1	Loan and Security Agreement, dated as of November 5, 2021, by and among Wells Fargo Bank, N.A., as agent, the lenders that are parties thereto, and Nicholas Financial, Inc. and Nicholas Data Services, Inc., as borrowers Execution Version LOAN AND SECURITY AGREEMENT By and among WELLS FARGO BANK, N.A. as Agent THE LENDERS THAT ARE PARTIES HERETO as Lenders NICHOLAS FINANCIAL, INC. NICHOLAS DATA SERVICES, INC. as Borrowers 116549.01103/127129470v.6 Exhibit 10.1 1 116549.01103/127129470v.6 TABLE OF CONTENTS Page ARTICLE 1 DEFINITIONS ...................................................................................
November 8, 2021	8-K	Entry into a Material Definitive Agreement, Financial Statements and Exhibits, Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant 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 5, 2021 NICHOLAS FINANCIAL, INC.
November 8, 2021	EX-99.1	Nicholas Financial Enters into a New $175 Million Senior Secured Credit Facility Exhibit 99.1 FOR IMMEDIATE RELEASE Nicholas Contact: Doug Marohn NASDAQ: NICK Nicholas Financial, Inc. Corporate Headquarters 2454 McMullen-Booth Rd. Building C, Suite 501 Clearwater, FL 33759 CFO Ph # (727)-726-0763 Web site: www.nicholasfinancial.com Nicholas Financial Enters into a New $175 Million Senior Secured Credit Facility On November 5, 2021, Nicholas Financial, Inc announced that it ent
October 29, 2021	EX-99.1	Nicholas Financial Reports 2nd Quarter Fiscal Year 2022 Results Exhibit 99.1 FOR IMMEDIATE RELEASE Nicholas Contact: Irina Nashtatik NASDAQ: NICK Nicholas Financial, Inc. Corporate Headquarters 2454 McMullen-Booth Rd. Building C, Suite 501 Clearwater, FL 33759 CFO Ph # (727)-726-0763 Web site: www.nicholasfinancial.com Nicholas Financial Reports 2nd Quarter Fiscal Year 2022 Results ? Income year-over-year before income taxes for the three months ended Septembe
October 29, 2021	8-K	Financial Statements and Exhibits, Results of Operations and Financial Condition, Other Events 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) October 29, 2021 NICHOLAS FINANCIAL, INC.
October 8, 2021	8-K	Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers 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) October 7, 2021 NICHOLAS FINANCIAL, INC.
September 30, 2021	8-K	Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers 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) September 30, 2021 NICHOLAS FINANCIAL, INC.
September 2, 2021	8-K	Regulation FD Disclosure, Financial Statements and Exhibits 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) September 2, 2021 NICHOLAS FINANCIAL, INC.
September 2, 2021	EX-99.1	FORWARD LOOKING STATEMENTS The statements contained in this Presentation that are not purely historical are forward-looking statements within the meaning of Section 27A of the Securities Act of 1933 and Section 31E of the Securities Exchange Act of 1 NICHOLAS FINANCIAL, INC. (NASDAQ: NICK) Presentation to: Annual General Shareholders Meeting ? September 2, 2021, Charlotte, NC Exhibit 99.1 FORWARD LOOKING STATEMENTS The statements contained in this Presentation that are not purely historical are forward-looking statements within the meaning of Section 27A of the Securities Act of 1933 and Section 31E of the Securities Exchange Act of 1934, incl
September 2, 2021	8-K	Submission of Matters to a Vote of Security Holders 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) September 2, 2021 NICHOLAS FINANCIAL, INC.
August 19, 2021	SC 13D/A	NICK / Nicholas Financial, Inc. / MAGNOLIA CAPITAL FUND, LP Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 10) Nicholas Financial, Inc. (Name of Issuer) Common Stock, no par value per share (Title of Class of Securities) 65373J209 (CUSIP Number) Adam K. Peterson 1601 Dodge Street, Suite 3300 Omaha, NE 68102 (402) 509-8456 (Name, Address and Telephone Number of Pe
August 12, 2021	10-Q	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 10-Q ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE QUARTERLY PERIOD ENDED June 30, 2021 ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE TRANSITION PERIOD FROM TO .
August 12, 2021	SC 13D/A	NICK / Nicholas Financial, Inc. / MAGNOLIA CAPITAL FUND, LP Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 9) Nicholas Financial, Inc. (Name of Issuer) Common Stock, no par value per share (Title of Class of Securities) 65373J209 (CUSIP Number) Adam K. Peterson 1601 Dodge Street, Suite 3300 Omaha, NE 68102 (402) 509-8456 (Name, Address and Telephone Number of Per
July 30, 2021	8-K	Financial Statements and Exhibits, Results of Operations and Financial Condition 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) July 30, 2021 NICHOLAS FINANCIAL, INC.
July 30, 2021	EX-99.1	Nicholas Financial Reports 1st Quarter Fiscal Year 2022 Results Exhibit 99.1 FOR IMMEDIATE RELEASE Nicholas Contact: Irina Nashtatik NASDAQ: NICK Nicholas Financial, Inc. Corporate Headquarters 2454 McMullen-Booth Rd. Building C, Suite 501 Clearwater, FL 33759 CFO Ph # (727)-726-0763 Web site: www.nicholasfinancial.com Nicholas Financial Reports 1st Quarter Fiscal Year 2022 Results ? Income year-over-year before income taxes for the three months ended June 30,
July 30, 2021	DEFR14A	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. 1_) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. 1) Filed by the Registrant ? Filed by a Party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e
July 29, 2021	DEF 14A	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. __) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ? Filed by a Party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)
June 29, 2021	EX-99.1	Date: June 29, 2021 Exhibit 99.1 Date: June 29, 2021 510 Burrard St, 3rd Floor Vancouver BC, V6C 3B9 www.computershare.com To: All Canadian Securities Regulatory Authorities Subject: NICHOLAS FINANCIAL,INC. Dear Sir/Madam: We advise of the following with respect to the upcoming Meeting of Security Holders for the subject Issuer: Meeting Type : Annual General Meeting Record Date for Notice of Meeting : July 29, 2021 R
June 29, 2021	8-K	Current Report 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) June 29, 2021 NICHOLAS FINANCIAL, INC.
June 22, 2021	EX-21	Subsidiaries of Nicholas Financial, Inc. Exhibit 21 EX-21 Subsidiaries of the registrant Nicholas Financial, Inc. Subsidiary State or Province of Incorporation or Organization Subsidiary Ownership Percentage Nicholas Financial, Inc. Florida 100% Nicholas Data Services, Inc. Florida 100% NF Funding I, LLC Delaware 100%
June 22, 2021	10-K	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K (Mark One) ? ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended March 31, 2021 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE TRANSITION PERIOD FROM TO Commission File Number 0-26680 NICHOLAS FINANCIAL,
June 11, 2021	SC 13D/A	NICK / Nicholas Financial, Inc. / MAGNOLIA CAPITAL FUND, LP Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 8) Nicholas Financial, Inc. (Name of Issuer) Common Stock, no par value per share (Title of Class of Securities) 65373J209 (CUSIP Number) Adam K. Peterson 1601 Dodge Street, Suite 3300 Omaha, NE 68102 (402) 509-8456 (Name, Address and Telephone Number of Per
June 11, 2021	8-K	Other Events 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) June 11, 2021 NICHOLAS FINANCIAL, INC.
June 11, 2021	EX-10.1	Nicholas Financial’s Boise, Idaho Grand Opening Exhibit 10.1 NFI Nicholas Financial Boise Idaho Grand Opening Celebration!!NFI You?re Invited to Nicholas Financial?s Boise, Idaho Grand Opening Date: June 15th 2021 Time: 3:00 to 5:00 pm Location: 950 Fairview, Suite 170 Meridian, ID 83646 For more Info call: 208-314-5769 Official Ribbon Cutting at 4:00 pm - Refreshments will be served Proudly Serving Dealers in FL, AL, AZ, GA, ID, IL, IN, KS, KY
June 11, 2021	EX-99.1	Nicholas Financial’s Boise, Idaho Grand Opening. Exhibit 99.1 FOR IMMEDIATE RELEASE Nicholas Contact: Doug Marohn NASDAQ: NICK Nicholas Financial, Inc. Corporate Headquarters 2454 McMullen-Booth Rd. Building C, Suite 501 Clearwater, FL 33759 President & CEO Ph # (727)-726-0763 Web site: www.nicholasfinancial.com Nicholas Financial?s Boise, Idaho Grand Opening. June 11, 2021 ? Clearwater, Florida - Nicholas Financial, Inc. (NASDAQ: NICK) ? an ind
June 2, 2021	8-K	Financial Statements and Exhibits, Results of Operations and Financial Condition 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) June 2, 2021 NICHOLAS FINANCIAL, INC.
June 2, 2021	EX-99.1	Nicholas Financial Reports 4th Quarter and Fiscal Year 2021 Results Exhibit 99.1 FOR IMMEDIATE RELEASE Nicholas Contact: Irina Nashtatik NASDAQ: NICK Nicholas Financial, Inc. Corporate Headquarters 2454 McMullen-Booth Rd. Building C, Suite 501 Clearwater, FL 33759 CFO Ph # (727)-726-0763 Web site: www.nicholasfinancial.com Nicholas Financial Reports 4th Quarter and Fiscal Year 2021 Results ? Income year-over-year before income taxes for the three months ended Marc
March 8, 2021	EX-99.1	Nicholas Financial’s Salt Lake City Grand Opening. Exhibit 99.1 FOR IMMEDIATE RELEASE Nicholas Contact: Doug Marohn NASDAQ: NICK Nicholas Financial, Inc. Corporate Headquarters 2454 McMullen-Booth Rd. Building C, Suite 501 Clearwater, FL 33759 President & CEO Ph # (727)-726-0763 Web site: www.nicholasfinancial.com Nicholas Financial’s Salt Lake City Grand Opening. March 8, 2021 – Clearwater, Florida - Nicholas Financial, Inc. (NASDAQ: NICK) – an i
March 8, 2021	EX-10.1	Nicholas Financial’s Salt Lake City Grand Opening Exhibit 10.1
March 8, 2021	8-K	Other Events 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) March 8, 2021 NICHOLAS FINANCIAL, INC.
February 12, 2021	SC 13G/A	SCHEDULE 13G UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 3 )* Nicholas Financial Inc (Name of Issuer) Common Stock (Title of Class of Securities) 65373J209 (CUSIP Number) December 31, 2020 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this
February 11, 2021	10-Q	Quarterly Report - 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE QUARTERLY PERIOD ENDED December 31, 2020 ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE TRANSITION PERIOD FROM TO .
February 8, 2021	SC 13G/A	UNITED STATES UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No.
February 3, 2021	EX-99.1	Nicholas Financial Reports 3rd Quarter Fiscal Year 2021 Results Exhibit 99.1 FOR IMMEDIATE RELEASE Nicholas Contact: Irina Nashtatik NASDAQ: NICK Nicholas Financial, Inc. Corporate Headquarters 2454 McMullen-Booth Rd. Building C, Suite 501 Clearwater, FL 33759 CFO Ph # (727)-726-0763 Web site: www.nicholasfinancial.com Nicholas Financial Reports 3rd Quarter Fiscal Year 2021 Results • Income year-over-year before income taxes for the three months ended December
February 3, 2021	8-K	Financial Statements and Exhibits, Results of Operations and Financial Condition 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) February 3, 2021 NICHOLAS FINANCIAL, INC.
January 25, 2021	EX-10.1	Nicholas Financial’s Milwaukee Grand Opening Exhibit 10.1 Nicholas Financial – Milwaukee Grand Opening
January 25, 2021	EX-99.1	Nicholas Financial’s Milwaukee Grand Opening. Exhibit 99.1 FOR IMMEDIATE RELEASE Nicholas Contact: Doug Marohn NASDAQ: NICK Nicholas Financial, Inc. Corporate Headquarters 2454 McMullen-Booth Rd. Building C, Suite 501 Clearwater, FL 33759 CEO Ph # (727)-726-0763 Web site: www.nicholasfinancial.com Nicholas Financial’s Milwaukee Grand Opening. January 25, 2021 – Clearwater, Florida - Nicholas Financial, Inc. (NASDAQ: NICK) – an industry leadin
January 25, 2021	8-K	Other Events - 8-K 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) January 25, 2021 NICHOLAS FINANCIAL, INC.
December 11, 2020	EX-99.1	Nicholas Financial’s Columbia Grand Opening. Exhibit 99.1 FOR IMMEDIATE RELEASE Nicholas Contact: Doug Marohn NASDAQ: NICK Nicholas Financial, Inc. Corporate Headquarters 2454 McMullen-Booth Rd. Building C, Suite 501 Clearwater, FL 33759 President & CEO Ph # (727)-726-0763 Web site: www.nicholasfinancial.com Nicholas Financial’s Columbia Grand Opening. December 11, 2020 – Clearwater, Florida - Nicholas Financial, Inc. (NASDAQ: NICK) – an ind
December 11, 2020	8-K	Other Events - 8-K 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) December 11, 2020 NICHOLAS FINANCIAL, INC.
December 11, 2020	EX-10.1	Nicholas Financial’s Columbia Grand Opening Exhibit 10.1 Nicholas Financial – Columbia Grand Opening
December 11, 2020	8-K	Other Events - 8-K 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) December 11, 2020 NICHOLAS FINANCIAL, INC.
December 11, 2020	EX-10.1	Nicholas Financial’s Columbia Grand Opening Exhibit 10.1 Nicholas Financial – Columbia Grand Opening
December 11, 2020	EX-99.1	Nicholas Financial’s Columbia Grand Opening. Exhibit 99.1 FOR IMMEDIATE RELEASE Nicholas Contact: Doug Marohn NASDAQ: NICK Nicholas Financial, Inc. Corporate Headquarters 2454 McMullen-Booth Rd. Building C, Suite 501 Clearwater, FL 33759 President & CEO Ph # (727)-726-0763 Web site: www.nicholasfinancial.com Nicholas Financial’s Columbia Grand Opening. December 11, 2020 – Clearwater, Florida - Nicholas Financial, Inc. (NASDAQ: NICK) – an ind
November 13, 2020	8-K	Other Events - 8-K 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 13, 2020 NICHOLAS FINANCIAL, INC.
November 13, 2020	EX-99.1	Nicholas Financial’s Las Vegas Grand Opening. Exhibit 99.1 FOR IMMEDIATE RELEASE Nicholas Contact: Doug Marohn NASDAQ: NICK Nicholas Financial, Inc. Corporate Headquarters 2454 McMullen-Booth Rd. Building C, Suite 501 Clearwater, FL 33759 CEO Ph # (727)-726-0763 Web site: www.nicholasfinancial.com Nicholas Financial’s Las Vegas Grand Opening. November 13, 2020 – Clearwater, Florida - Nicholas Financial, Inc. (NASDAQ: NICK) – an industry leadi
November 13, 2020	EX-10.1	Nicholas Financial’s Las Vegas Grand Opening Exhibit 10.1 Nicholas Financial – Las Vegas Grand Opening
November 12, 2020	10-Q	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE QUARTERLY PERIOD ENDED September 30, 2020 ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE TRANSITION PERIOD FROM TO .
October 30, 2020	EX-99.1	Nicholas Financial Reports 2nd Quarter Fiscal Year 2021 Results Exhibit 99.1 FOR IMMEDIATE RELEASE Nicholas Contact: Irina Nashtatik NASDAQ: NICK Nicholas Financial, Inc. Corporate Headquarters 2454 McMullen-Booth Rd. Building C, Suite 501 Clearwater, FL 33759 CFO Ph # (727)-726-0763 Web site: www.nicholasfinancial.com Nicholas Financial Reports 2nd Quarter Fiscal Year 2021 Results • Income year-over-year before income taxes for the three months ended Septembe
October 30, 2020	8-K	Financial Statements and Exhibits, Results of Operations and Financial Condition - 8-K 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) October 30, 2020 NICHOLAS FINANCIAL, INC.
August 27, 2020	EX-99.1	Nicholas Financial, Inc. 2020 Annual Shareholder General Meeting NICHOLAS FINANCIAL, INC ask that Registered Shareholders limit their questions to two (2) per person at a time to ensure all Registered Shareholders who wish to have questions have the time to do so.
August 27, 2020	8-K	Regulation FD Disclosure, Financial Statements and Exhibits, Submission of Matters to a Vote of Security Holders - 8-K 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) August 27, 2020 NICHOLAS FINANCIAL, INC.
August 7, 2020	10-Q	Quarterly Report - 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE QUARTERLY PERIOD ENDED June 30, 2020 ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE TRANSITION PERIOD FROM TO .
July 31, 2020	DEFR14A	- DEFR14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. 1) Filed by the Registrant ☑ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e
July 30, 2020	8-K	Financial Statements and Exhibits, Results of Operations and Financial Condition 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) July 30, 2020 NICHOLAS FINANCIAL, INC.
July 30, 2020	EX-99.1	Nicholas Financial Reports 1st Quarter Fiscal Year 2021 Results Exhibit 99.1 FOR IMMEDIATE RELEASE Nicholas Contact: Irina Nashtatik NASDAQ: NICK Nicholas Financial, Inc. Corporate Headquarters 2454 McMullen-Booth Rd. Building C, Suite 501 Clearwater, FL 33759 CFO Ph # (727)-726-0763 Web site: www.nicholasfinancial.com Nicholas Financial Reports 1st Quarter Fiscal Year 2021 Results • Income year-over-year before income taxes for the three months ended June 30,
July 30, 2020	DEF 14A	- DEF 14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ☑ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)
July 14, 2020	EX-2	IDENTIFICATION AND CLASSIFICATION OF MEMBERS OF THE GROUP EXHIBIT 2 IDENTIFICATION AND CLASSIFICATION OF MEMBERS OF THE GROUP SC Fundamental Value Fund, L.P SC Fundamental LLC SC Fund Management Profit Sharing Plan Peter M. Collery Edward A. Collery Neil H. Koffler John T. Bird David A. Hurwitz
July 14, 2020	SC 13G/A	NICK / Nicholas Financial, Inc. / SC Fundamental Value Fund, L.P. - SC 13G/A Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G/A (Amendment No. 4) Under the Securities Exchange Act of 1934 Nicholas Financial, Inc. (Name of Issuer) Common Stock (Title of Class of Securities) 65373J209 (CUSIP Number) July 13, 2020 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this S
July 14, 2020	EX-1	JOINT FILING AGREEMENT EXHIBIT 1 JOINT FILING AGREEMENT In accordance with Rule 13d-1(f) under the Securities Exchange Act of 1934, as amended, the persons named below agree to the joint filing on behalf of each of them of this Schedule 13G (including amendments thereto) with respect to the Common Stock of Nicholas Financial Inc.
July 9, 2020	EX-10.1	Employment Agreement between Nicholas Financial, Inc. and Irina Nashtatik, dated as of July 7, 2020 Exhibit 10.1 EMPLOYMENT AGREEMENT THIS AGREEMENT (this “Agreement”) is entered into as of the 7 day of July 2020 by NICHOLAS FINANCIAL, INC., a British Columbia, Canada corporation (the “Company”), and IRINA NASHTATIK (the “Employee”). WITNESSETH: WHEREAS, the Employee desires to be employed by the Company on the terms and conditions hereinafter set forth. NOW, THEREFORE, in consideration of the m
July 9, 2020	EX-99.1	Nicholas Financial, Inc. Announces Irina Nashtatik as Chief Financial Officer (CFO). Exhibit 99.1 FOR IMMEDIATE RELEASE Nicholas Contact: Doug Marohn NASDAQ: NICK Nicholas Financial, Inc. Corporate Headquarters 2454 McMullen-Booth Rd. Building C, Suite 501 Clearwater, FL 33759 CEO Ph # (727)-726-0763 Web site: www.nicholasfinancial.com Nicholas Financial, Inc. Announces Irina Nashtatik as Chief Financial Officer (CFO). July 9, 2020 – Clearwater, Florida – On July 7, 2020, Nicholas
July 9, 2020	EX-10.2	Employment Agreement between Nicholas Financial, Inc. and Douglas Marohn, dated as of July 8, 2020 Exhibit 10.2 EMPLOYMENT AGREEMENT THIS AGREEMENT (this “Agreement”) is entered into as of the 8 day of July, 2020 by NICHOLAS FINANCIAL, INC., a British Columbia, Canada corporation (the “Company”), and DOUGLAS MAROHN (the “Employee”). W I T N E S S E T H: WHEREAS, the Employee desires to be employed by the Company on the terms and conditions hereinafter set forth. NOW, THEREFORE, in consideration
July 9, 2020	8-K	Regulation FD Disclosure, Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Financial Statements and Exhibits 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) July 7, 2020 NICHOLAS FINANCIAL, INC.
June 29, 2020	8-K	Financial Statements and Exhibits Filed by e3 Filing, Computershare 1-800-973-3274 - Gold Standard Ventures Corp. - Form 8-K 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) June 29, 2020 NICHOLAS FINANCIAL, INC. (Exact name of registrant as specified in its Charter)
June 29, 2020	EX-99.1	Date: June 29, 2020 Exhibit 99.1 Exhibit 99.1 Date: June 29, 2020 510 Burrard St, 3rd Floor Vancouver BC, V6C 3B9 www.computershare.com To: All Canadian Securities Regulatory Authorities NASDAQ Exchange Subject: NICHOLAS FINANCIAL, INC. Dear Sir/Madam: We advise of the following with respect to the upcoming Meeting of Security Holders for the subject Issuer: Meeting Type : Annual General Meeting Record Date for Notic
June 22, 2020	EX-10.22.2	Purchase and Sale Agreement, dated January 30, 2020, by and between Platinum Auto Finance of Tampa Bay, LLC (7) Exhibit 10.22.2 BULK RECEIVABLES PURCHASE AND SALE AGREEMENT (LIMITED RECOURSE) This Bulk Receivables Purchase and Sale Agreement (Limited Recourse) is entered into this 30th day of January, 2020 (the "Closing Date"), between Nicholas Financial, Inc., a Florida Corporation ("Buyer"), and Platinum Auto Finance of Tampa Bay, LLC, a Florida limited liability company ("Seller"). WHEREAS, Seller wishes
June 22, 2020	EX-4.2	Description of the Registrant’s Securities Exhibit 4.2 Description of Securities General The following description of the common shares, without par value (the “common shares”) and preference shares, without par value (the “preference shares”) of Nicholas Financial, Inc. (the “Company,” “we,” “us,” and “our”) summarizes material rights of our common shares and preference shares, as contained in our Notice of Articles and Articles and any a
June 22, 2020	EX-10.22.3	Purchase and Sale Agreement, dated February 20, 2020, by and between Platinum Auto Finance of Tampa Bay, LLC (8) Exhibit 10.22.3 BULK RECEIVABLES PURCHASE AND SALE AGREEMENT (LIMITED RECOURSE) This Bulk Receivables Purchase and Sale Agreement (Limited Recourse), (the "Bulk Agreement") is entered into this 20th day of February, 2020 (the "Closing Date"), between Nicholas Financial, Inc., a Florida Corporation ("Buyer"), and Platinum Auto Finance of Tampa Bay, LLC, a Florida limited liability company and Finan
June 22, 2020	EX-10.22.1	Purchase and Sale Agreement, dated December 11, 2019, by and between Platinum Auto Finance of Tampa Bay, LLC (6) Exhibit 10.22.1 BULK RECEIVABLES PURCHASE AND SALE AGREEMENT (LIMITED RECOURSE) This Bulk Receivables Purchase and Sale Agreement (Limited Recourse) is entered into this 11th day of December, 2019 (the "Closing Date"), between Nicholas Financial, Inc., a Florida Corporation ("Buyer"), and Platinum Auto Finance of Tampa Bay, LLC, a Florida limited liability company ("Seller"). WHEREAS, Seller wishe
June 22, 2020	10-K	Annual Report - 10-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K (Mark One) ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended March 31, 2020 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE TRANSITION PERIOD FROM TO Commission File Number 0-26680 NICHOLAS FINANCIAL,
June 4, 2020	EX-10.1	Note dated May 27, 2020 by the Company in favor of Fifth Third Bank (11) Exhibit 10.1 U.S. Small Business Administration NOTE SBA Loan # PPP 14482078-04 SBA Loan Name Nicholas Financial, Inc. Date May 22, 2020 Loan Amount $3,243,900.00 Interest Rate 1.00%; Fixed Rate Borrower Nicholas Financial. Inc. a Florida corporation Operating Company N/A Lender Fifth Third Bank, National Association. a federally chartered institution 1. PROMISE TO PAY: In return for the Loan, Bor
June 4, 2020	8-K	Entry into a Material Definitive Agreement, Financial Statements and Exhibits, Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant, Results of Operations and Financial Condition 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) June 4, 2020 NICHOLAS FINANCIAL, INC.

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