Item 5.07. Submission of Matters to a Vote of Security Holders.
On June 16, 2021, at the 2021 Annual Meeting of Stockholders (the "Annual Meeting") of Caladrius Biosciences, Inc. (the "Company"), the stockholders voted on and approved the five proposals listed below. The following is a brief description of each matter voted upon at the Annual Meeting (for a full description of each such matter, see the Company's definitive proxy statement on Schedule 14A, filed with the Securities and Exchange Commission on April 28, 2021 (the "Proxy Statement")), as well as the final voting results with respect to each such matter:
Proposal 1. The stockholders re-elected David J. Mazzo, Ph.D. and Gregory B. Brown, M.D., as Class II directors until the annual meeting to be held in 2024. The final voting results with respect to David J. Mazzo, Ph.D. were as follows: 17,193,171 votes for; 198,208 votes against; 70,564 votes abstaining and 15,421,963 broker non-votes. The final voting results with respect to Gregory B. Brown, M.D., were as follows: 13,601,094 votes for; 289,035 votes against; 3,571,814 votes abstaining and 15,421,963 broker non-votes.
Proposal 2. The stockholders ratified the appointment of Grant Thornton LLP as the Company’s independent registered public accounting firm for the fiscal year ending December 31, 2021. The final voting results with respect to this Proposal were as follows: 32,732,827 votes for; 88,427 votes against; 62,652 votes abstaining and no broker non-votes.
Proposal 3. The stockholders approved, on a non-binding advisory basis, the executive compensation of the Company's named executive officers as described in the Proxy Statement. The final voting results with respect to this Proposal were as follows: 13,154,400 votes for; 712,043 votes against; 3,595,500 votes abstaining and 15,421,963 broker non-votes.
Proposal 4. The stockholders approved an amendment to the Caladrius Biosciences, Inc. 2018 Equity Incentive Compensation Plan (the "Plan") to increase the number of shares of common stock that may be issued under the Plan by 6,000,000. The final voting results with respect to this Proposal were as follows: 11,899,639 votes for; 5,486,411 votes against; 75,893 votes abstaining and 15,421,963 broker non-votes.
Proposal 5. The stockholders approved an adjournment or postponement of the Annual Meeting, if necessary, if there were not sufficient votes to provide a quorum. The final voting results with respect to this Proposal were as follows: 28,078,382 votes for; 1,078,149 votes against; 3,727,375 votes abstaining and no broker non-votes.
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