Current Report Filing (8-k)
July 15 2021 - 4:53PM
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 15, 2021
SONNET
BIOTHERAPEUTICS HOLDINGS, INC.
(Exact
name of registrant as specified in its charter)
Delaware
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|
001-35570
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20-2932652
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(State
or other jurisdiction
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|
(Commission
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(IRS
Employer
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of
incorporation)
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File
Number)
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Identification
No.)
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100
Overlook Center, Suite 102
Princeton,
New Jersey
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08540
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(Address
of principal executive offices)
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(Zip
Code)
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Registrant’s
telephone number, including area code: (609) 375-2227
Not
Applicable
(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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|
|
[ ]
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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 $0.0001 per share
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SONN
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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 1 933 (17 CFR §230.405)
or Rule 12b-2 of the Securities Exchange Act of 1934 (17 CFR §240.12b-2).
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.
On
July 15, 2021, Sonnet BioTherapeutics Holdings, Inc. (the “Company”) held its Annual Meeting of Stockholders (the “Annual
Meeting”). The matters voted on at the Annual Meeting were: (1) the election of directors and (2) the ratification of the appointment
of KPMG LLP as the Company’s independent registered public accounting firm for the Company’s fiscal year ending September
30, 2021. The final voting results were as follows:
1.
The election of each of Pankaj Mohan, Ph.D., Nailesh Bhatt, Albert Dyrness, Donald Griffith, and Raghu Rao as directors to hold office
for a term of one year, until his or her successor is duly elected and qualified or he or she is otherwise unable to complete his or
her term.
The
votes were cast for this matter as follows:
Nominees
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Votes
For
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Votes
Withheld
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Broker
Non-Votes
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Pankaj
Mohan, Ph.D.
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3,914,843
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546,328
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7,899,654
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Nailesh
Bhatt
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3,921,246
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539,925
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7,899,654
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Albert
Dryness
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3,900,263
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560,908
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|
7,899,654
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Donald
Griffith
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3,916,889
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544,282
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|
7,899,654
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Raghu
Rao
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3,877,722
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583,449
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7,899,654
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2.
The proposal to ratify the appointment of KPMG LLP as the Company’s independent registered public accounting firm for the Company’s
fiscal year ending September 30, 2021 was approved based upon the following votes:
Votes
For
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Votes
Against
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Abstentions
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11,684,812
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605,666
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70,347
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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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Sonnet
BioTherapeutics Holdings, Inc.
a
Delaware corporation
(Registrant)
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Dated:
July 15, 2021
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By:
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/s/
Pankaj Mohan, Ph.D.
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Name:
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Pankaj
Mohan, Ph.D.
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Title:
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Chief
Executive Officer
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