Current Report Filing (8-k)
June 25 2020 - 08:56AM
Edgar (US Regulatory)
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 24, 2020
AERPIO PHARMACEUTICALS, INC.
(Exact name of registrant as specified in its charter)
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Delaware
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001-38560
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61-1547850
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(State or other jurisdiction
of incorporation)
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(Commission
File Number)
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(I.R.S. Employer
Identification No.)
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9987 Carver Road
Cincinnati, OH
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45242
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(Address of principal executive offices)
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(Zip Code)
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Registrants telephone number, including area code (513)
985-1920
Not Applicable
(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:
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Title of each class
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Trading Symbol(s)
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Name of each exchange on which
registered
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Common stock, $0.0001 par value per share
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ARPO
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Nasdaq Capital Market
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Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of
1933 or Rule 12b-2 of the Securities Exchange Act of 1934.
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.
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Submission of Matters to a Vote of Security Holders.
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On June 24, 2020, Aerpio Pharmaceuticals, Inc. (the Company) held its Annual Meeting of Stockholders (the Annual
Meeting). As of April 27, 2020, the record date for the Annual Meeting, there were 40,588,004 outstanding shares of the Companys common stock. The Companys stockholders voted on the following matters, which are described in
detail in the Companys Definitive Proxy Statement filed with the U.S. Securities and Exchange Commission (SEC) on April 27, 2020: (i) to elect Joseph Gardner and Steven Prelack as Class III directors of the Company, each
to serve for a three-year term, expiring at the Companys annual meeting of stockholders in 2023 and until their successors have been elected and qualified, subject to their earlier resignation or removal (Proposal 1), (ii) to
approve a potential amendment to the Companys Amended and Restated Certificate of Incorporation to effect a Reverse Stock Split of the Companys common stock at a ratio of
1-for-15 to 1-for-25, such ratio to be determined in the sole discretion of the Board of
Directors of the Company (Proposal 2) and (iii) to ratify the appointment of Ernst & Young LLP as the Companys independent registered public accounting firm for the fiscal year ending December 31, 2020
(Proposal 3).
The Companys stockholders approved the Class III director nominees recommended for election in
Proposal 1 at the Annual Meeting. The Companys stockholders voted for Class III directors as follows:
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Class III Director Nominee
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For
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Withhold
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Broker Non-Votes
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Joseph Gardner
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18,211,528
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3,846,924
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11,630,079
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Steven Prelack
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17,981,108
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4,077,344
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11,630,079
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The Companys stockholders approved Proposal 2. The votes cast at the Annual Meeting were as follows:
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For
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Against
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Abstain
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Broker
Non-Votes
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30,921,704
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2,410,119
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356,708
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0
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The Companys stockholders approved Proposal 3. The votes cast at the Annual Meeting were as follows:
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For
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Against
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Abstain
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Broker
Non-Votes
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31,879,151
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1,798,126
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11,254
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0
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No other matters were submitted to or voted on by the Companys stockholders at the Annual Meeting.
On June 11, 2020, the Company received a written notification from the Nasdaq Listing Qualifications Staff indicating that the Company has
regained compliance with the $1.00 minimum bid price requirement for continued listing on the Nasdaq Stock Market (the Minimum Bid Price Requirement) and that the matter is now closed. The closing bid price of the Companys common
stock was greater than $1.00 per share for a period of at least ten consecutive trading days prior to the notification. Accordingly, the Company has regained compliance with the Minimum Bid Price Requirement.
On June 24, 2020, the Company issued a press release titled Aerpio Announces Initiation of
28-Day Phase 2 Razuprotafib Glaucoma Trial. A copy of the press release is attached hereto as Exhibit 99.1 and is incorporated into this Item 8.01 by reference.
Item 9.01.
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Financial Statements and Exhibits
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(d) Exhibits
SIGNATURES
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.
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Date: June 25, 2020
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AERPIO PHARMACEUTICALS, INC.
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By:
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/s/ Joseph Gardner, Ph.D.
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Joseph Gardner
President and Founder
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Aerpio Pharmaceuticals (NASDAQ:ARPO)
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