Current Report Filing (8-k)
September 30 2021 - 09:01AM
Edgar (US Regulatory)
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UNITED
STATES
SECURITIES AND EXCHANGE
COMMISSION
Washington, DC
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): September
30, 2021 (September 29, 2021)
UNRIVALED BRANDS, INC.
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(Exact name of
registrant as specified in its charter)
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Nevada
|
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000-54258
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26-3062661
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(State or other
jurisdiction
of incorporation)
|
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(Commission
File Number)
|
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(IRS Employer
Identification No.)
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3242 S. Halladay
St., Suite 202
Santa Ana,
California 92705
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(Address of principal
executive offices) (Zip Code)
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Registrant’s telephone number, including area code: (888)
909-5564
Not
Applicable
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(Former name or former
address, if changed since last report)
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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(s)
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Name of each exchange on
which registered
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|
|
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Indicate by check mark whether the registrant is an emerging growth
company as defined in 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 checkmark 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 September 29, 2021, Unrivaled Brands, Inc. (the “Company”) held
its Annual Meeting of Stockholders (the “Meeting”).
Stockholders Entitled to Vote
Stockholders of record of the Company at the close of business on
August 2, 2021 (the “Record Date”) were entitled to vote at the
Meeting. On that date, 431,876,107 shares of common stock, par
value $0.001 per share, of the Company (the “Common Stock”) were
outstanding and entitled to vote.
Number of Votes
For vote tabulation purposes at the Meeting, each share of Common
Stock was entitled to one vote at the Meeting. Collectively,
the holders of Common Stock were entitled to 431,876,107 votes
at the Meeting.
A total of 95,910,336 shares of Common Stock were present in person
or represented by proxy and entitled to vote at the Meeting,
constituting a quorum. The following proposals were voted on at the
Meeting, as described in greater detail in our Definitive Proxy
Statement filed with the Securities and Exchange Commission on
August 19, 2021:
Proposal 1 – Election of Directors. Our
stockholders duly elected Nicholas Kovacevich, Francis Knuettel II,
Tiffany Davis, Eric Baum and Dallas Imbimbo by a plurality of the
voting power of Common Stock present in person or represented by
proxy at the Meeting and entitled to vote. The results of the
voting were as follows:
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For
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Withheld
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Broker
Non-Votes
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|
1) |
NicholasKovacevich |
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92,748,258 |
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|
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1,035,647 |
|
|
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2,126,431 |
|
2) |
FrancisKnuettelII |
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92,736,116 |
|
|
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1,047,789 |
|
|
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2,126,431 |
|
3) |
TiffanyDavis |
|
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93,135,653 |
|
|
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648,252 |
|
|
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2,126,431 |
|
4) |
EricBaum |
|
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93,110,204 |
|
|
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673,701 |
|
|
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2,126,431 |
|
5) |
DallasImbimbo |
|
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92,671,262 |
|
|
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1,112,643 |
|
|
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2,126,431 |
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Proposal 2 – Ratification of Independent Registered Public
Accounting Firm. Our stockholders ratified the
selection of Marcum LLP as our independent registered public
accountants for the fiscal year ending December 31, 2021. The
results of the voting were as follows:
For
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Against
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Abstain
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Broker Non Votes
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95,460,636
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214,861
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234,839
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0
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Proposal 3 – Advisory vote on compensation of the Company’s
named executive officers. Our
stockholders approved a non-binding advisory vote on the
compensation of the Company’s named executive officers. The results
of the voting were as follows:
For
|
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Against
|
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Abstain
|
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Broker Non Votes
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90,882,142
|
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2,391,181
|
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510,582
|
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2,126,431
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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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Unrivaled Brands, Inc.
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Date: September 30, 2021
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By:
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/s/ Francis Knuettel II
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Francis Knuettel II
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Chief Executive Officer
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