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): June 15, 2021
Aquestive Therapeutics, Inc.
(Exact name of Registrant as specified in its charter)
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Delaware
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001-38599
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82-3827296
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(State or Other Jurisdiction of Incorporation or Organization)
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(Commission File Number)
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(I.R.S. Employer Identification No.)
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30 Technology Drive
Warren, NJ 07059
(908) 941-1900
(Address, Including Zip Code, and Telephone Number, Including Area Code, of Registrant’s Principal Executive Offices)
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:
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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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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. ☐
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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AQST
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Nasdaq Global Market
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| Item 5.07 |
Submission of Matters to a Vote of Security Holders
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(a) Aquestive Therapeutics, Inc. (the “Company”) held its 2021 Annual Meeting of Stockholders (the “Annual Meeting”) on June 15, 2021.
(b) The final voting results on each of the matters submitted to a vote of stockholders at the Annual Meeting are set forth below.
(1) The following director nominees were elected to serve as Class III members of the Board of Directors, each to serve for a three-year term
until the Company’s 2024 Annual Meeting of Stockholders and until their successors are duly elected and qualified:
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Nominee
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Votes For
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Votes
Withheld
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Votes
Abstaining
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Broker Non-Votes
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Santo J. Costa
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15,190,870
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803,416
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0
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9,566,915
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Julie Krop, M.D.
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15,803,899
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190,387
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0
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9,566,915
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Marco Taglietti, M.D.
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15,782,461
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211,825
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0
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9,566,915
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(2) The appointment of KPMG LLP as the independent registered public accounting firm for the Company for the fiscal year ending December 31,
2021 was ratified.
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Votes For
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Votes Against
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Votes Abstaining
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25,081,651
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344,559
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134,991
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SIGNATURE
Pursuant to the requirements of the Securities Exchange Act of 1934, as amended, the Registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.
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Dated: June 15, 2021
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Aquestive Therapeutics, Inc.
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By:
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/s/ A. ERNEST TOTH, JR.
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Name:
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A. Ernest Toth, Jr.
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Title:
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Chief Financial Officer
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(Principal Financial Officer)
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