Item 5.03 Amendments to Articles of Incorporation or Bylaws; Change in Fiscal
Year.
On
Item 5.07 Submission of Matters to a Vote of Security Holders.
On
At the Annual Meeting, all four of the foregoing stockholder proposals were
approved, based upon an aggregate of 12,460,848 shares of Common Stock
outstanding as of
1. The election of each of
Casamento,Alastair Riddell ,Gregory Oakes andTerry Coelho as directors to hold office for a term of one year, until his or her successor is duly elected and qualified or he or she is otherwise unable to complete his or her term.
The votes were cast for this matter as follows:
Nominees Votes For Votes Withheld Broker Non-Votes James Sapirstein 4,696,139 596,620 2,245,623 Edward J. Borkowski 4,642,213 650,546 2,245,623 Charles J. Casamento 4,560,876 731,883 2,245,623 Alastair Riddell 4,754,585 538,174 2,245,623 Gregory Oakes 4,761,599 531,160 2,245,623 Terry Coelho 4,767,569 525,190 2,245,623
2. The proposal to approve the Certificate of Amendment to increase the total
number of authorized shares of Common Stock by 25,000,000 shares to 50,000,000 shares was approved by a majority of the issued and outstanding shares entitled to vote, based upon the following votes: Votes For Votes Against Abstentions 6,359,895 1,116,860 61,627
3. The proposal to ratify the appointment of
independent registered public accounting firm for the Company's fiscal year endingDecember 31, 2021 was approved by a majority of votes cast, based upon the following votes: Votes For Votes Against Abstentions 7,100,244 251,609 186,529
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4. The proposal to approve the adjournment of the Annual Meeting to the extent
that there are insufficient proxies at the Annual Meeting to approve any one or more of the foregoing proposals was approved by a majority of votes cast, based upon the following votes: Votes For Votes Against Abstentions Broker Non-Votes 4,685,960 503,233 103,566 2,245,623
Item 9.01. Financial Statements and Exhibits.
(d) Exhibits. Exhibit No. Description
3.1 Certificate of Amendment to the Amended and Restated Certificate of Incorporation ofFirst Wave BioPharma, Inc. 104 Cover Page Interactive Data File (embedded within the Inline XBRL document).
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