Current Report Filing (8-k)
November 19 2020 - 04:13PM
Edgar (US Regulatory)
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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
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Date of Report (Date of earliest event reported) |
November 19, 2020 |
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AquaBounty Technologies, Inc. |
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(Exact name of registrant as specified in its charter) |
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Delaware |
001-36426
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04-3156167 |
(State or other jurisdiction
of incorporation) |
(Commission
File Number) |
(IRS Employer
Identification No.) |
2 Mill & Main Place, Suite 395, Maynard,
Massachusetts
(Address of principal executive offices)
978-648-6000
(Registrant’s telephone number, including area code)
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(Former name or former address, if changed since last
report.) |
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Title of each class |
Trading Symbol(s) |
Name of exchange on which registered |
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Common Stock, par value $0.001 per share
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AQB |
The NASDAQ Stock Market LLC |
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:
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☐ |
Written communications pursuant to Rule 425 under the Securities
Act (17 CFR 230.425) |
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Soliciting material pursuant to Rule 14a-12 under the Exchange Act
(17 CFR 240.14a-12) |
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☐ |
Pre-commencement communications pursuant to Rule 14d-2(b) under the
Exchange Act (17 CFR 240.14d-2(b)) |
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Pre-commencement communications pursuant to Rule 13e-4(c) under the
Exchange Act (17 CFR 240.13e-4(c)) |
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 Submission of Matters to a Vote of Security
Holders.
On November 19, 2020, AquaBounty Technologies, Inc. (the “Company”)
held a special meeting of stockholders to consider and vote on the
proposal set forth below, which is described in greater detail in
the Company’s definitive proxy statement filed with the U.S.
Securities and Exchange Commission on November 5, 2020. At this
meeting, the Company’s stockholders approved a Certificate of
Amendment to the Company’s Third Amended and Restated Certificate
of Incorporation, as amended, to increase the number of authorized
shares of the Company’s common stock, par value $0.001 per share
(the “Common Stock”), from 50,000,000 to 80,000,000. The final
voting results are set forth below.
Proposal 1. Approval of an Amendment to Our Third Amended and
Restated Certificate of Incorporation, as Amended, to Increase the
Number of Authorized Shares of Common Stock
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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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26,916,546 |
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231,820 |
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318,226 |
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Item 9.01 Financial Statements and Exhibits.
(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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AquaBounty Technologies, Inc. |
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(Registrant) |
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November 19, 2020 |
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/s/ David A. Frank |
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David A. Frank |
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Chief Financial Officer |
