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 23, 2023
(Exact name of Registrant as specified in its charter)
| (State or Other Jurisdiction of Incorporation or Organization) | (Commission File Number) | (I.R.S. Employer Identification No.) | ||||||
(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:
| 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 | ||||||
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 5.07 Submission of Matters to a Vote of Security Holders
(a)Aquestive Therapeutics, Inc. (the “Company”) held its 2023 Annual Meeting of Stockholders (the “Annual Meeting”) on June 21, 2023.
(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 nominee was elected to serve as Class II member of the Board of Directors, to serve for a three-year term until the Company’s 2026 Annual Meeting of Stockholders and until his or her successor is duly elected and qualified:
Nominee | Votes For | Votes Against | Votes Abstaining | Broker Non-Votes | ||||||||||
Gregory B. Brown, M.D. | 24,757,783 | — | 1,830,864 | 14,144,277 | ||||||||||
| John S. Cochran | 24,886,102 | — | 1,702,545 | 14,144,277 | ||||||||||
(2)The proposal to approve an amendment to the 2018 Equity Incentive Plan was approved.
Votes For | Votes Against | Votes Abstaining | ||||||
| 18,972,308 | 7,272,348 | 343,991 | ||||||
(3)The proposal to approve an amendment to the Amended and Restated Certificate of Incorporation was not approved.
Votes For | Votes Against | Votes Abstaining | ||||||
| 22,312,401 | 3,252,699 | 1,021,036 | ||||||
(4)The appointment of KPMG LLP as the independent registered public accounting firm for the Company for the fiscal year ending December 31, 2023 was ratified.
Votes For | Votes Against | Votes Abstaining | ||||||
| 40,091,281 | 438,344 | 203,299 | ||||||
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.
Dated: June 23, 2023 | Aquestive Therapeutics, Inc. | |||||||
| By: | /s/ A. Ernest Toth, Jr | |||||||
| Name: A. Ernest Toth, Jr. | ||||||||
| Title: Chief Financial Officer | ||||||||
(Principal Financial Officer) | ||||||||