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): May 18, 2021

United-Guardian, Inc.
(Exact Name of Registrant as Specified in Charter)

Delaware 001-10526 11-1719724
(State or Other Jurisdiction of Incorporation) (Commission File Number) (I.R.S. Employer Identification Number)

 

230 Marcus Boulevard, Hauppauge, New York 11788
(Address of Principal Executive Offices) (Zip Code)



(631) 273-0900

(Registrant's telephone number, including area code)

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))

 

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. [   ]

 

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, $0.10 par value per share UG NASDAQ Global Market

 

 

 

Item 5.07  Submission of Matters to a Vote of Security Holders.

 

United-Guardian Inc.

 

Annual Meeting of Stockholders

May 18, 2021

 

VOTING RESULTS

 

The 2021 Annual Meeting of Stockholders of United-Guardian, Inc. (the “Company”) was held on May 18, 2021. There were 3,932,004 shares voted by proxy. Because the meeting was held by videoconference, there was no voting at the meeting.

 

The voting results for each of the proposals submitted to a vote of the stockholders of the Company were as follows:

 

1. ELECTION OF DIRECTORS:

 

   For Withhold Broker Non-Vote
Ken Globus 2,561,181 408,027 962,796
Lawrence F. Maietta 2,829,691 139,517 962,796
Arthur M. Dresner 2,864,877 104,331 962,796
Andrew A. Boccone 2,892,549 76,659 962,796
S. Ari Papoulias 2,890,706 78,502 962,796

 

 

2. APPROVAL ON AN ADVISORY BASIS TO HOLD A VOTE EVERY YEAR ON THE COMPENSATION PAID TO THE COMPANY’S NAMED EXECUTIVE OFFICERS

 

For Against Abstain Broker Non-Vote
2,823,908 138,965 6,335 962,796

 

 

3. APPROVAL ON AN ADVISORY BASIS, OF THE COMPENSATION OF THE COMPANY’S NAMED EXECUTIVE OFFICERS.

 

For Against Abstain Broker Non-Vote
2,781,000 175,983 12,225 962,796

 

 

4. PROPOSAL TO RATIFY THE APPOINTMENT OF BAKER TILLY US, LLP AS THE INDEPENDENT PUBLIC ACCOUNTANTS OF THE COMPANY FOR THE FISCAL YEAR ENDING DECEMBER 31, 2021.

 

For Against Abstain Broker Non-Vote
3,906,875 19,696 5,433 0

 

 

 

SIGNATURE

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.

  United-Guardian, Inc.
     
   
Date: May 19, 2021 By:  /s/ Ken Globus        
    Ken Globus
    President
   

 

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