Item 5.07 Submission of Matters to a Vote of Security Holders.
On October 23, 2019, Anixa Biosciences, Inc. (the Company) completed its 2019 annual meeting of stockholders (the Annual Meeting). The number of shares of stock entitled to vote at the Annual Meeting was 20,207,261 shares of common stock (the Voting Stock). The number of shares of Voting Stock present or represented by valid proxy at the Annual Meeting was 14,851,237 shares. At the Annual Meeting, the Companys stockholders (i) re-elected Dr. Amit Kumar, Dr. Arnold Baskies, David Cavalier, Dr. John Monahan and Lewis H. Titterton, Jr. and elected Emily Gottschalk as directors, (ii) approved, on a non-binding, advisory basis, the Companys executive compensation, and (iii) approved, on a non-binding, advisory basis, the frequency of one year for the Company to hold advisory votes on its executive compensation and (iv) ratified the appointment of Haskell & White LLP as the Companys independent registered public accounting firm for the fiscal year ending October 31, 2019. The following is a tabulation of the voting on the proposals presented at the Annual Meeting:
Proposal No. 1 Election of directors
Dr. Amit Kumar, Dr. Arnold Baskies, David Cavalier, Dr. John Monahan, Lewis H. Titterton, Jr. and Emily Gottschalk were elected to serve until the 2020 annual meeting of stockholders or until their successors are elected and qualified or until their earlier resignation or removal. The voting results were as follows:
Nominee
|
Shares Voted For
|
Shares Withheld
|
Broker Non-Vote
|
Dr. Amit Kumar
|
7,509,531
|
92,686
|
7,249,020
|
Dr. Arnold Baskies
|
7,048,938
|
553,279
|
7,249,020
|
David Cavalier
|
7,510,302
|
91,915
|
7,249,020
|
Dr. John Monahan
|
6,964,282
|
637,935
|
7,249,020
|
Lewis H. Titterton, Jr.
|
6,980,683
|
621,534
|
7,249,020
|
Emily Gottschalk
|
7,527,963
|
74,254
|
7,249,020
|
Proposal No. 2 Approval, by non-binding advisory vote, of the Companys executive compensation
The Companys executive compensation, by non-binding advisory vote, was approved. The voting results were as follows:
Votes For
|
Votes Against
|
Abstentions
|
Broker Non-Votes
|
6,825,190
|
715,703
|
61,324
|
7,249,020
|
Proposal No. 3 Approval, by non-binding advisory vote, on the frequency of advisory votes on the Companys executive compensation
The frequency of one year for future advisory votes on the Companys executive compensation was approved by non-binding advisory vote. The voting results were as follows:
3 Years
|
2 Years
|
1 Year
|
Abstentions
|
Broker Non-Votes
|
1,815,711
|
132,190
|
5,455,369
|
198,947
|
7,249,020
|
2
Proposal No. 4 Ratification of the appointment of independent registered public accounting firm
The appointment of Haskell & White LLP as the Companys independent registered public accounting firm for the fiscal year ending October 31, 2019 was ratified. The voting results were as follows:
Shares Voted For
|
Shares Voted Against
|
Shares Abstaining
|
Broker Non-Vote
|
14,828,263
|
15,899
|
7,075
|
0
|