Current Report Filing (8-k)
December 09 2021 - 5:01PM
Edgar (US Regulatory)
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2021-12-07
2021-12-07
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2021-12-07
2021-12-07
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XBIO:PurchaseWarrantsMember
2021-12-07
2021-12-07
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iso4217:USD
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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):
December 7, 2021
_________________________
Xenetic Biosciences,
Inc.
(Exact name of registrant as specified in charter)
Nevada
|
|
001-37937
|
|
45-2952962
|
(State or other jurisdiction of incorporation)
|
|
(Commission File Number)
|
|
(IRS Employer Identification No.)
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40 Speen Street, Suite 102
|
|
Framingham, Massachusetts
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01701
|
(Address of principal executive offices)
|
(Zip Code)
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(781) 778-7720
(Registrant’s telephone number, including
area code)
(Former name or former address, if changed since
last report)
Check the appropriate box below if the
Form 8-K is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions (see
General Instruction 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, $0.001 par value per share
|
XBIO
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The Nasdaq Stock Market LLC
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Purchase Warrants
|
XBIOW
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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 (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 December 7, 2021, Xenetic Biosciences, Inc.
(the “Company”) held its 2021 Annual Meeting of Stockholders (the “Annual Meeting”). Below is a summary of the
proposals and corresponding votes.
|
1.
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The Company’s stockholders approved the election of the following seven nominees with each director
receiving votes as follows:
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Name
|
|
For
|
|
Withheld
|
|
Broker Non-Votes
|
Dr. Grigory Borisenko
|
|
2,268,150
|
|
1,002,011
|
|
4,463,160
|
Dr. James Callaway
|
|
2,387,099
|
|
883,062
|
|
4,463,160
|
Mr. Firdaus Jal Dastoor
|
|
2,839,388
|
|
430,773
|
|
4,463,160
|
Mr. Jeffrey Eisenberg
|
|
2,836,879
|
|
433,282
|
|
4,463,160
|
Dr. Roger Kornberg
|
|
2,248,776
|
|
1,021,385
|
|
4,463,160
|
Mr. Adam Logal
|
|
2,399,089
|
|
871,072
|
|
4,463,160
|
Mr. Alexey Vinogradov
|
|
2,830,074
|
|
440,087
|
|
4,463,160
|
|
2.
|
The Company’s stockholders voted upon and approved the ratification of the selection of Marcum LLP as the independent registered
public accounting firm of the Company for its fiscal year ending December 31, 2021. The votes on this proposal were as follows:
|
For
|
|
Against
|
|
Abstained
|
|
Broker Non-Votes
|
7,554,719
|
|
106,532
|
|
72,070
|
|
-
|
|
3.
|
The Company’s stockholders voted upon and approved, on a non-binding, advisory basis, the Company’s named executive
officer compensation. The votes on this proposal were as follows:
|
For
|
|
Against
|
|
Abstained
|
|
Broker Non-Votes
|
2,690,613
|
|
472,665
|
|
106,883
|
|
4,463,160
|
|
4.
|
The Company’s stockholders voted upon and approved and adopted an amendment to the Company’s Amended and Restated Equity
Incentive Plan to increase the aggregate number of shares of our common stock authorized under the plan by 1,500,000 shares. The votes
on this proposal were as follows:
|
For
|
|
Against
|
|
Abstained
|
|
Broker Non-Votes
|
2,568,737
|
|
670,987
|
|
30,437
|
|
4,463,160
|
No other matters were considered or voted upon at the Annual Meeting.
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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Xenetic Biosciences, Inc.
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December 9, 2021
|
|
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By:
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/s/ James Parslow
|
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Name:
|
James Parslow
|
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Title:
|
Chief Financial Officer
|
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