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 16, 2020

 

 

PLUS THERAPEUTICS, INC.
(Exact name of registrant as specified in its charter)

 

 

Delaware
(State or other jurisdiction
of incorporation)

001-34375

(Commission File Number)

33-0827593

(IRS Employer
Identification No.)

 

4200 Marathon Blvd., Suite 200, Austin, Texas 78756

(Address of principal executive offices, with zip code)

 

(737) 255-7194

(Registrant’s telephone number, including area code)

 

N/A

(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 (see General Instructions 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, par value $0.001

PSTV

The Nasdaq Capital Market

 

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 5.07Submission of Matters to a Vote of Security Holders

 

The Annual Meeting of Stockholders of Plus Therapeutics, Inc. (the “Company”) was held on June 16, 2020 (the “Annual Meeting”).  Five proposals were submitted to stockholders as described in the Proxy Statement for the Annual Meeting and approved by the Company’s stockholders at the Annual Meeting.  The proposals and the results of the stockholder votes are as follows.

 

1.  Proposal to elect six directors to serve until the 2021 annual meeting or until their successors are duly elected and qualified:

 

 

For

Withheld

Broker Non-Votes

Howard Clowes

806,770

220,454

1,709,764

An van Es-Johansson

812,800

214,424

1,709,764

Richard J. Hawkins

796,549

230,675

1,709,764

Marc H. Hedrick, M.D.

816,777

210,447

1,709,764

Robert Lenk

815,770

211,454

1,709,764

Greg Petersen

816,153

211,071

1,709,764

 

 

2.  Proposal to ratify the appointment of BDO USA, LLP as independent auditors for the 2020 fiscal year:

 

For

Withheld

Abstain

2,343,401

390,044

3,543

 

3.  Proposal to approve the issuance of shares of common stock to Lincoln Park pursuant to Nasdaq Listing Rules 5635(a), 5635(b) and 5635(d):

 

 

For

Withheld

Abstain

731,302

275,457

20,465

 

4.  Proposal to approve the Company’s 2020 Equity Incentive Plan:

 

 

For

Withheld

Abstain

670,298

344,811

12,115

 

5.  Proposal to provide a non-binding advisory vote on the compensation of our named executive officers:

 

For

Withheld

Abstain

628,260

374,133

24,831

 

Item 9.01Financial Statements and Exhibits.

 

(d)Exhibits.

 

 

 

Exhibit No.

  

Description

10.1

 

Plus Therapeutics, Inc., 2020 Equity Incentive Plan.

      

 

 


 

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, thereunto duly authorized.

 

 

 

Dated:  June 17, 2020PLUS THERAPEUTICS, INC.

 

 

 

By:

/s/ Marc H. Hedrick, M.D.

 

Marc H. Hedrick, M.D.

 

President and Chief Executive Officer

 

      

       

 

 

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