Amended Current Report Filing (8-k/a)
April 03 2023 - 4:38PM
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UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 8-K/A
CURRENT REPORT
Pursuant to Section
13 or 15(d) of
The Securities Exchange Act of 1934
Date of Report (Date of
earliest event reported): March 30, 2023 (April
3, 2023)
Outlook Therapeutics,
Inc.
(Exact name of registrant as specified in its charter)
Delaware |
001-37759 |
38-3982704 |
(State or other jurisdiction
of incorporation) |
(Commission File Number) |
(IRS Employer Identification No.) |
485 Route 1 South
Building F, Suite 320
Iselin, New Jersey |
08830 |
(Address of principal executive offices) |
(Zip Code) |
Registrant's telephone number, including area code:
(609) 619-3990
(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 pursuant to Section 12 (b) of the Act:
Title of Each Class |
|
Trading Symbol(s) |
|
Name of Each Exchange on Which
Registered |
Common Stock |
|
OTLK |
|
The Nasdaq Stock Market LLC |
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. ¨
EXPLANATORY NOTE
Outlook Therapeutics, Inc. (the “Company”) is filing this
Current Report on Form 8-K/A (Amendment No. 1) (this “Amendment”) to amend the Current Report on Form 8-K, originally filed
by the Company with the Securities and Exchange Commission on March 30, 2023 (the “Original Report”). The Original Report
was filed, among other things, to report the results of the matters submitted to a vote by Company’s stockholders at the Company’s
2023 Annual Meeting of Stockholders held on March 29, 2023. This Amendment amends the Original Report solely to correct the disclosure
regarding the previously reported voting totals.
Item 5.03 | Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year |
At the 2023 Annual Meeting of Stockholders (the “Annual Meeting”),
the stockholders of the Company approved an amendment to the Company’s Amended and Restated
Certificate of Incorporation to increase the authorized number of shares of the Company’s common stock from 325,000,000 shares to
425,000,000 shares. The increase in the authorized number of shares of the Company’s common stock was effected pursuant to a Certificate
of Amendment of the Amended and Restated Certificate of Incorporation (the “Certificate of Amendment”) filed with the Secretary
of State of the State of Delaware on March 29, 2023 and was effective as of such date. The foregoing description is qualified in its entirety
by the Certificate of Amendment, which is attached as Exhibit 3.1 to this Current Report on Form 8-K and is incorporated herein by reference.
Item 5.07 | Submission of Matters to a Vote of Security Holders |
At the Annual Meeting held on March 29, 2023, the Company’s stockholders
voted on five proposals, each of which is described in more detail in the Company’s proxy statement on Schedule 14A filed with the
Securities and Exchange Commission on February 15, 2023 (the “Proxy Statement”). Of the 256,666,794 shares of the Company’s
common stock outstanding as of the record date, 213,761,576 shares, or approximately 83.28%, were present or represented by proxy at the
Annual Meeting.
The following is a brief description of each matter voted upon and
the certified results, including the number of votes cast for and against each matter and, if applicable, the number of votes withheld,
abstentions and broker non-votes with respect to each such matter.
Proposal 1. Stockholders
elected each of the following nominees to serve as Class I directors on the Company’s Board of Directors (the “Board”)
until the Company’s 2026 Annual Meeting of Stockholders or until his successor has been duly elected and qualified. The voting results
for such nominees were as follows:
Director Name | |
Votes For | | |
Votes Withheld | | |
Broker Non- Votes | |
Yezan Haddadin | |
| 154,190,768 | | |
| 1,957,957 | | |
| 57,646,435 | |
Kurt J. Hilzinger | |
| 154,253,585 | | |
| 1,895,140 | | |
| 57,646,435 | |
Faisal G. Sukhtian | |
| 153,447,079 | | |
| 2,701,646 | | |
| 57,646,435 | |
Proposal 2. Stockholders
approved the amendment of the Company’s Amended and Restated Certificate of Incorporation to increase the total number of shares
of its common stock authorized for issuance from 325,000,000 shares to 425,000,000 shares. The voting results were as follows:
Votes For | | |
Votes Against | | |
Abstentions | | |
Broker
Non- Votes | |
| 149,648,555 | | |
| 6,186,516 | | |
| 313,654 | | |
| 57,646,435 | |
Proposal 3. Stockholders
approved the potential issuance in excess of 19.99% of the Company’s outstanding common stock upon the conversion of an outstanding
convertible note at less than the “minimum price” under Nasdaq Listing Rule 5635, if required pursuant to the terms of the
convertible note. The voting results were as follows:
Votes For | | |
Votes Against | | |
Abstentions | | |
Broker
Non- Votes | |
| 150,990,564 | | |
| 4,744,516 | | |
| 413,645 | | |
| 57,646,435 | |
Proposal 4. Stockholders
ratified the selection by the Audit Committee of the Board of KPMG, LLP as the Company’s independent registered public accounting
firm for its fiscal year ending September 30, 2023. The voting results were as follows:
Votes For | | |
Votes Against | | |
Abstentions | | |
Broker
Non- Votes |
| 213,073,357 | | |
| 413,007 | | |
| 308,796 | | |
N/A |
Proposal 5. Stockholders
approved a non-binding advisory vote on the compensation of the Company’s named executive officers. The voting results were as
follows:
Votes For | | |
Votes Against | | |
Abstentions | | |
Broker
Non- Votes | |
| 149,547,132 | | |
| 6,158,044 | | |
| 443,549 | | |
| 57,646,435 | |
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.
|
Outlook Therapeutics, Inc. |
|
|
Date: April 3, 2023 |
By: |
/s/ Lawrence A. Kenyon |
|
|
Lawrence A. Kenyon |
|
|
Chief Financial Officer |
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