Current Report Filing (8-k)
June 08 2021 - 4:32PM
Edgar (US Regulatory)
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): June 2, 2021
NeuroOne
Medical Technologies Corporation
(Exact
name of registrant as specified in its charter)
Delaware
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000-54716
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27-0863354
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(State
or other jurisdiction
of incorporation)
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|
(Commission
File Number)
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(IRS
Employer
Identification No.)
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7599
Anagram Dr., Eden Prairie, MN 55344
(Address
of principal executive offices and zip code)
952-426-1383
(Registrant’s
telephone number including area code)
(Registrant’s
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))
Securities
registered pursuant to Section 12(b) of the Act:
Title
of each class
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Trading
Symbol(s)
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Name
of each exchange on which registered
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N/A
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N/A
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N/A
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Indicate
by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (§230.405
of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (§240.12b-2 of this chapter).
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.
At
the annual meeting (the “Annual Meeting”) of stockholders of NeuroOne Medical Technologies Corporation (the “Company”)
on June 2, 2021, stockholders (i) elected one Class I director to the Company’s Board of Directors (the “Board”)
to serve a three-year term until the 2024 annual meeting of stockholders, (ii) ratified the appointment of BDO USA, LLP as the Company’s
independent registered public accounting firm for the fiscal year ending September 30, 2021, and (iii) approved the Company’s
named executive officers’ compensation in an advisory vote. Proposals are described in detail in the Company’s definitive
proxy statement filed with the Securities and Exchange Commission on May 6, 2021.
A
total of 7,690,550 shares of the Company’s common stock were present at the meeting in person or by proxy, which represents
approximately 64.56%% of the shares of common stock outstanding as of the record date for the Annual Meeting.
The
results of the voting are shown below:
Proposal
1—Election of Director
Class I Nominee
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Votes For
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Votes Withheld
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Broker
Non-Votes
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Paul Buckman
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4,780,102
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28,577
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2,881,871
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Proposal
2—Ratification of Appointment of Independent Registered Public Accounting Firm
Votes
For
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Votes Against
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Votes Abstain
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7,684,710
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1,480
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4,360
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Proposal
3—Approval of the Company’s named executive officers’ compensation in an advisory vote
Votes For
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Votes Against
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Votes Abstain
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Broker
Non-Votes
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4,764,563
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22,572
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21,544
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2,881,871
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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.
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NEUROONE
MEDICAL TECHNOLOGIES CORPORATION
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Dated:
June 8, 2021
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By:
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/s/
David Rosa
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David
Rosa
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Chief
Executive Officer
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2
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