First Wave BioPharma, Inc. | ||
(Exact name of registrant as specified in its charter)
|
Delaware |
001-37853 |
46-4993860 | ||
(State or other jurisdiction of incorporation)
|
(Commission File Number)
|
(IRS Employer Identification No.)
|
777 Yamato Road, Suite 502
Boca Raton, Florida
|
33431 | |
(Address of principal executive offices)
|
(Zip Code)
|
☐ | 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)) |
Title of each class
|
Trading Symbol(s)
|
Name of each exchange on which
registered
| ||
Common Stock, par value $0.0001 per share |
FWBI |
Nasdaq Capital Market |
Item 5.03 |
Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year.
|
Item 5.07 |
Submission of Matters to a Vote of Security Holders.
|
1. |
The election of each of James Sapirstein, Edward J. Borkowski, Charles J. Casamento, Alastair Riddell, Gregory Oakes and Terry 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.
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Nominees
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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 Mazars USA LLP as the Company's independent registered public accounting firm for the Company's fiscal year ending December 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
|
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
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Broker Non-Votes
| |||
4,685,960
|
503,233
|
103,566
|
2,245,623
|
Item 9.01. |
Financial Statements and Exhibits.
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(d)
| Exhibits. |
Exhibit No. |
Description |
Certificate of Amendment to the Amended and Restated Certificate of Incorporation of First Wave BioPharma, Inc.
| |
104 | Cover Page Interactive Data File (embedded within the Inline XBRL document). |
First Wave BioPharma, Inc.
| ||
January 14, 2022 |
By: | /s/ Daniel Schneiderman |
Name: | Daniel Schneiderman | |
Title: | Chief Financial Officer |
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First Wave BioPharma Inc. published this content on 14 January 2022 and is solely responsible for the information contained therein. Distributed by Public, unedited and unaltered, on 14 January 2022 22:04:09 UTC.