Form 8-K - Current report
September 29 2023 - 3:10PM
Edgar (US Regulatory)
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2023-09-28
2023-09-28
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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):
September 28, 2023
NeuBase Therapeutics, Inc.
(Exact Name of Registrant as Specified in Its
Charter)
Delaware |
|
001-35963 |
|
46-5622433 |
(State
or Other Jurisdiction
of Incorporation) |
|
(Commission
File Number) |
|
(I.R.S.
Employer
Identification No.) |
350
Technology Drive, Pittsburgh,
PA |
|
15219 |
(Address
of Principal Executive Offices) |
|
(Zip Code) |
|
(412)
763-3350 |
|
|
(Registrant’s
Telephone Number, Including Area Code) |
|
|
N/A |
|
|
(Former
Name or Former Address, if Changed Since
Last Report) |
|
Check the appropriate box below if the Form 8-K filing is intended
to simultaneously satisfy the filing obligation of the registrant under any of the following provisions:
¨ | Written
communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425) |
¨ | Soliciting
material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12) |
¨ | Pre-commencement
communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b)) |
¨ | Pre-commencement
communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c)) |
Securities registered pursuant to Section 12(b) of the Act:
Title
of each class |
Trading
Symbol(s) |
Name
of each exchange on which registered |
Common
Stock, par value $0.0001 per share |
NBSE |
The
Nasdaq Stock Market LLC |
Indicate by check mark whether the registrant is an emerging growth
company as defined in Rule 405 of the Securities Act of 1933 (17 CFR § 230.405) or Rule 12b-2 of the Securities Exchange Act
of 1934 (17 CFR § 240.12b-2).
Emerging growth company ¨
If an emerging growth company, indicate
by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial
accounting standards provided pursuant to Section 13(a) of the Exchange Act. ¨
Item 5.07. |
Submission of Matters to a Vote of Security Holders. |
On September 28, 2023, NeuBase
Therapeutics, Inc. (the “Company”) held its 2023 Annual Meeting of Stockholders (the “2023 Annual Meeting”). A
total of 1,297,309 shares of the Company’s common stock, par value $0.0001 per share (the “Common Stock”), or 59.61%
of the Common Stock issued and outstanding as of the record date for the 2023 Annual Meeting, were represented virtually or by proxy at
the 2023 Annual Meeting.
At the 2023 Annual Meeting,
the Company’s stockholders considered four proposals, each of which is described in more detail in the Company’s definitive
proxy statement on Schedule 14A filed with the U.S. Securities and Exchange Commission on August 11, 2023 and as amended on September
18, 2023 (the “Proxy Statement”).
Set forth below is a brief
description of each matter voted upon at the 2023 Annual Meeting and the voting results with respect to each matter.
Proposal
No. 1: To elect one Class III director, Franklyn G. Prendergast, M.D., Ph.D., nominated by our Board of Directors (the "Board"),
to serve until our 2026 Annual Meeting of Stockholders and until his successor is duly elected and qualified:
Nominee |
|
|
For |
|
|
Withheld |
|
|
Broker Non-Votes |
|
Franklyn G. Prendergast, M.D., Ph.D. |
|
|
|
817,648 |
|
|
|
119,696 |
|
|
|
359,965 |
|
Proposal
No. 2: To ratify the selection of Marcum LLP as our independent registered public accounting firm for the fiscal year ending
December 31, 2023.
For |
|
|
Against |
|
|
Abstentions |
|
|
1,287,910 |
|
|
|
7,724 |
|
|
|
1,675 |
|
Proposal
No. 3: To approve, on an advisory basis, the compensation paid to the Company’s Named Executive Officers, as disclosed
pursuant to Item 402 of Regulation S-K, including the compensation tables and narrative discussion within the section of the Proxy Statement
entitled “Executive Compensation.”
For |
|
|
Against |
|
|
Abstentions |
|
|
Broker Non-Votes |
|
|
736,354 |
|
|
|
197,368 |
|
|
|
3,622 |
|
|
|
359,965 |
|
Proposal
No. 4: To approve an amendment and restatement of the Company’s Amended and Restated Certificate of Incorporation, as
amended (the “Certificate of Incorporation”), to (i) eliminate the monetary liability of certain of the Company’s officers
for breach of duty of care, to the extent permitted under Section 102(b)(7) of the General Corporation Law of the State of Delaware, and
(ii) integrate the provisions of the Certificate of Incorporation in the form attached as Appendix A to the Proxy Statement.
For | | |
Against | | |
Abstentions | | |
Broker Non-Votes | |
| 734,414 | | |
| 201,416 | | |
| 1,514 | | |
| 359,965 | |
SIGNATURE
Pursuant to the requirements
of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto
duly authorized.
|
NEUBASE THERAPEUTICS, INC. |
|
(Registrant) |
|
|
Date: September 29, 2023 |
By: |
/s/ Todd P. Branning |
|
|
Todd P. Branning |
|
|
Chief Financial Officer |
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