Current Report Filing (8-k)
August 13 2021 - 4:06PM
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): July 3, 2021
Qualigen
Therapeutics, Inc.
(Exact
name of registrant as specified in its charter)
Delaware
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001-37428
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26-3474527
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(State
or other jurisdiction
of
incorporation)
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(Commission
File
Number)
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(I.R.S.
Employer
Identification
No.)
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2042
Corte Del Nogal, Carlsbad, California 92011
(Address
of principal executive offices) (Zip Code)
(760)
918-9165
(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:
[ ]
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Written
communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)
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[ ]
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Soliciting
material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)
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[ ]
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Pre-commencement
communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))
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[ ]
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Pre-commencement
communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))
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Securities
registered pursuant to Section 12(b) of the Act:
Title
of each class
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Trading
Symbol
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Name
of each exchange on which registered
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Common
Stock, par value $.001 per share
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QLGN
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The
Nasdaq Capital Market of The Nasdaq Stock Market LLC
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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 (§230.405 of this
chapter) or Rule 12b-2 of the Exchange Act (§240.12b-2 of this chapter).
Emerging
growth company [X]
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
1.01. Entry into a Material Definitive Agreement.
Pursuant to an Amendment to Distribution and
Development Agreement, dated as of July 1, 2021 (but actually signed August 2, 2021) between Sekisui Diagnostics, LLC and the Company’s
Qualigen, Inc. diagnostics subsidiary, the Distribution and Development Agreement dated May 1, 2016 between Sekisui and Qualigen, Inc.
(as previously amended) was amended to advance from May 1, 2022 to March 31, 2022 the scheduled termination date of Sekisui’s exclusive
distribution right for Qualigen diagnostic products.
Item 1.02. Termination of a Material Definitive
Agreement.
Pursuant to a notice of termination sent on June
22, 2021, the Company terminated for convenience, effective on July 3, 2021, the Sales Agreement dated November 6, 2019 between the Company
and A.G.P./Alliance Global Partners. The Sales Agreement had established an “at-the-market offering” facility (with A.G.P./Alliance
Global Partners as the sales agent), under which $28,030,917 of Company common stock remained to be sold at the time of termination,
pursuant to the Company’s registration statement on Form S-3 (File No. 333-232798).
Item
5.03. Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year.
On
August 10, 2021, the Company amended its bylaws to change the first sentence of Section 2.05, pertaining to the quorum requirement for
meetings of stockholders, to read in full as follows: “Unless otherwise provided in the Certificate of Incorporation or these Bylaws,
and subject to Delaware Law, the presence, in person or by proxy, of the holders of shares of the outstanding capital stock of the Corporation
representing at least 35% of the votes entitled to be voted at a meeting of stockholders shall constitute a quorum for the transaction
of business.”
Item
5.07. Submission of Matters to a Vote of Security Holders.
The Company’s
Annual Meeting of Stockholders was commenced on July 15, 2021 and was adjourned to and completed on August 9, 2021. At the Annual Meeting, the Company’s stockholders voted on the following five matters
and cast their votes as described below.
1.
The individuals listed below were elected at the Annual Meeting to serve as directors of the Company until the next annual meeting of
stockholders and until their successors are duly elected:
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For
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Authority Withheld
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Broker Non-Vote
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Michael Poirier
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7,803,645
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1,010,852
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5,894,706
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Amy Broidrick
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7,451,983
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1,362,514
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5,894,706
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Richard David
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7,558,682
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1,255,815
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5,894,706
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Sidney Emery, Jr.
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7,919,786
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894,711
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5,894,706
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Matthew Korenberg
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7,580,472
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1,234,025
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5,894,706
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Kurt Kruger
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7,835,576
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978,921
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5,894,706
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Ira Ritter
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7,659,720
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1,154,777
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5,894,706
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2.
To ratify the appointment of Baker Tilly US, LLP as the Company’s registered independent public accounting firm for the fiscal
year ending December 31, 2021.
For
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Against
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Abstained
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13,928,314
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607,305
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173,584
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3.
To approve an amendment to the Company’s 2020 Stock Incentive Plan, to increase the number of shares of the Company’s common
stock reserved under the 2020 Stock Incentive Plan by 3,500,000 shares, or from 4,057,157 shares to 7,557,157 shares.
For
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Against
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Abstained
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Broker Non-Vote
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5,409,693
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3,099,718
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305,086
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5,894,706
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4.
To approve, on a non-binding, advisory basis, the compensation of the Company’s named executive officers.
For
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Against
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Abstained
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Broker Non-Vote
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6,402,283
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2,034,464
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377,750
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5,894,706
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5.
To approve, on a non-binding, advisory basis, the frequency of future stockholder advisory votes to approve the compensation of the Company’s
named executive officers
One Year
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Two Years
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Three Years
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Abstained
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Broker Non-Vote
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7,681,046
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146,780
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400,302
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586,369
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5,894,706
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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.
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QUALIGEN
THERAPEUTICS, INC.
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Date:
August 13, 2021
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By:
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/s/
Michael S. Poirier
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Michael
S. Poirier, President and Chief Executive Officer
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