Current Report Filing (8-k)
May 24 2019 - 1:25PM
Edgar (US Regulatory)
UNITED
STATES
SECURITIES
AND EXCHANGE COMMISSION
Washington,
DC 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)
May
22, 2019
SOCKET
MOBILE, INC.
(Exact
name of registrant as specified in its charter)
Delaware
|
|
001-13810
|
|
94-3155066
|
(State
or other jurisdiction of incorporation)
|
|
(Commission
File Number)
|
|
(IRS
Employer
Identification No.)
|
39700
Eureka Drive
Newark,
CA 94560
(Address
of principal executive offices, including zip code)
(510)
933-3000
(Registrant’s
telephone number, including area code)
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 (see General Instruction A.2. below):
[
] 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:
Title
of each class
|
Trading
Symbol(s)
|
Name
of each exchange on which registered
|
Common
Stock, $0.001 Par Value per Share
|
SCKT
|
NASDAQ
|
Indicate
by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (17 CFR
§230.405) or Rule 12b-2 of the Securities Exchange Act of 1934 (17 CFR §240.12b-2).
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
May 22, 2019, Socket Mobile, Inc. (the “Company”) held its Annual Meeting of Stockholders at 10:30 a.m. at the Company’s
headquarters at 39700 Eureka Drive, Newark, California 94560 for the following purposes:
Item
1 To elect seven directors to serve until their respective successors are elected;
Item
2 Advisory vote on executive compensation policies and practices as described in the annual meeting proxy;
Item
3 Advisory vote on frequency of future votes on executive compensation policies and practices;
Item
4 To approve an amendment to the 2004 Equity Incentive Plan to provide for a one-time stock option exchange program;
Item
5 To ratify the appointment of Sadler, Gibb & Associates LLC as independent registered public accountants of the Company
for the fiscal year ending December 31, 2019.
Only
stockholders of record at the close of business on March 25, 2019 were entitled to notice of and to vote at the meeting. At the
Record Date, 5,999,159 shares of Common Stock were issued and outstanding and each share of Common Stock was entitled to one vote.
The Company had no other class of voting securities outstanding and entitled to vote at the meeting. A total of 5,240,663 shares
or 87.36% of total shares outstanding were voted representing a quorum of stockholders entitled to vote at the meeting for the
transaction of business.
RESULTS
OF THE STOCKHOLDER VOTE:
Item
1 Election of Directors
Name
|
Votes
For
|
Votes
Withheld
|
Outcome
|
1.
Charlie Bass
|
2,221,019
|
677,412
|
Elected
|
2.
Kevin J. Mills
|
2,079,250
|
819,181
|
Elected
|
3.
David W. Dunlap
|
1,959,188
|
939,243
|
Elected
|
4.
Nelson C. Chan
|
2,309,152
|
589,279
|
Elected
|
5.
Brenton Earl MacDonald
|
2,306,352
|
592,079
|
Elected
|
6.
Bill Parnell
|
2,306,372
|
592,059
|
Elected
|
7.
Lynn Zhao
|
2,074,870
|
823,561
|
Elected
|
Item
2. Advisory vote on executive compensation policies as described in the annual meeting proxy
Votes
For
|
Votes
Against
|
Abstain
|
Outcome
|
2,479,026
|
411,504
|
7,901
|
Approved
with an affirmative vote of 85.8%
|
Item
3. Advisory vote on frequency of future votes on executive compensation policies and practices
Annually
|
Two
Years
|
Three
Years
|
Abstain
|
Outcome
|
2,733,903
|
11,550
|
89,096
|
63,882
|
Annual
voting is approved with 96.4% of the vote
|
Item
4. Amendment to the 2004 Equity Incentive Plan to provide for a one-time stock option exchange program
Votes
For
|
Votes
Against
|
Votes
Abstained
|
Outcome
|
1,685,896
|
1,203,099
|
9,436
|
Approved
with 58.4% of Votes Cast
|
Item
5. Ratification of Sadler, Gibb & Associates LLC as Independent Public Accountants for Fiscal Year 2019
Votes
For
|
Votes
Against
|
Votes
Abstained
|
Outcome
|
4,707,516
|
12,071
|
521,076
|
Approved
with an affirmative vote of 99.7% of votes cast
|
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.
|
|
SOCKET MOBILE,
INC.
|
|
|
|
|
|
|
Date: May 22, 2019
|
|
By:
|
/s/
Lynn Zhao
|
|
|
Name: Lynn Zhao
|
|
|
Vice President, Finance and Administration
and Chief Financial Officer
|
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