Current Report Filing (8-k)
June 16 2021 - 4:02PM
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 14, 2021
Regulus Therapeutics Inc.
(Exact name of registrant as specified in its charter)
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Delaware
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001-35670
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26-4738379
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(State
of incorporation)
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(Commission
File No.)
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(IRS Employer
Identification No.)
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4224 Campus Point Court, Suite 210
San Diego, CA
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92121
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(Address of principal executive offices)
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(Zip Code)
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Registrants telephone number, including area code: (858)
202-6300
(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 Instruction A.2. below):
☐
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Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)
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Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)
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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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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:
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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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Common Stock, par value $0.001 per share
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RGLS
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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 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 5.03
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Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year.
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On June 14, 2021, Regulus Therapeutics Inc. (the Company) filed with the Secretary of State of the State of Delaware a Certificate of
Amendment (the Charter Amendment) of its Amended and Restated Certificate of Incorporation to increase the authorized number of shares of the Companys common stock from 200,000,000 to 400,000,000 shares, effective June 14,
2021. The Charter Amendment was approved by the Companys stockholders at the 2021 Annual Meeting, as described below under Item 5.07.
A copy of the
Charter Amendment is filed as Exhibit 3.1 to this report.
Item 5.07
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Submission of Matters to a Vote of Security Holders.
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The 2021 Annual Meeting of Stockholders of the Company (the 2021 Annual Meeting) was held on June 14, 2021. As of April 16, 2021, the
record date for the 2021 Annual Meeting, 74,923,660 shares of common stock were issued and outstanding. A summary of the matters voted upon at the 2021 Annual Meeting and the final voting results are set forth below.
Proposal 1. Election of Directors
The ten persons
listed below were elected as directors at the 2021 Annual Meeting, each to serve until the Companys 2022 Annual Meeting of Stockholders and until their respective successors are duly elected and qualified. The final voting results were as
follows:
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Votes For
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Votes Withheld
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Broker Non-Votes
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David Baltimore, Ph.D.
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33,261,900
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476,473
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22,067,104
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Kathryn J. Collier
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33,134,897
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603,476
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22,067,104
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Joseph P. Hagan
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33,071,791
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666,852
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22,067,104
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Alice S. Huang, Ph.D.
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33,173,884
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564,489
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22,067,104
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Jake R. Nunn
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32,974,690
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763,683
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22,067,104
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Stelios Papadopoulos, Ph.D.
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33,247,920
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490,453
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22,067,104
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William Rastetter, Ph.D.
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33,062,513
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675,860
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22,067,104
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Hugh Rosen, M.D., Ph.D.
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33,123,204
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615,169
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22,067,104
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Simos Simeonidis, Ph.D.
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33,182,719
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555,654
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22,067,104
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Pascale Witz, MBA, MSc
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33,053,460
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684,913
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22,067,104
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Proposal 2. The Companys stockholders approved the Charter Amendment to increase the number of authorized shares
of common stock from 200,000,000 to 400,000,000. The final voting results were as follows:
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Votes For
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Votes Against
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Abstentions
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50,555,959
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5,148,013
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101,505
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Proposal 3. The Companys stockholders approved, on an advisory basis, the compensation of the Companys
named executive officers, as disclosed in the Companys definitive proxy statement for the 2021 Annual Meeting. The final voting results were as follows:
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Votes For
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Votes Against
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Abstentions
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Broker Non-Votes
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32,643,580
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1,013,000
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81,793
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22,067,104
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Proposal 4. The Companys stockholders ratified the selection by the Companys Audit
Committee of the Board of Ernst & Young LLP as the Companys independent registered public accounting firm for the fiscal year ending December 31, 2021. The final voting results were as follows:
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Votes For
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Votes Against
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Abstentions
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54,939,010
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494,268
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372,199
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Proposal 5. The Companys stockholders approved the authorization to adjourn the 2021 Annual Meeting, if
necessary, to solicit additional proxies if there were not sufficient votes in favor of Proposal 2. The final voting results were as follows:
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Votes For
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Votes Against
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Abstentions
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Broker Non-Votes
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32,592,735
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1,048,824
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96,814
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22,067,104
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Item 9.01
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Financial Statements and Exhibits.
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(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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Regulus Therapeutics Inc.
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Date: June 16, 2021
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By:
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/s/ Joseph Hagan
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Joseph Hagan
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President and Chief Executive Officer
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