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): | October 6, 2020 | |
| PROTAGENIC THERAPEUTICS, INC. |
| (Exact name of Company as specified in its charter) |
| Delaware | | 000-51353 | | 06-1390025 |
(State or other jurisdiction of incorporation) | | (Commission File Number) | | (I.R.S. Employer Identification No.) |
| 149 Fifth Avenue, Suite 500, New York, NY | | 10010 |
| (Address of principal executive offices) | | (Zip Code) |
| | 212-994-8200 | |
| | (Company’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 filing is intended to simultaneously satisfy the filing obligation of the Company 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 | | Ticker symbol(s) | | Name of each exchange on which registered |
| N/A | | N/A | | N/A |
Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 or Rule 12b-2 of the Securities Exchange Act of 1934.
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.
Protagenic Therapeutics, Inc. (the “Company”) held its 2020 Annual Meeting of Stockholders (the “Annual Meeting”) on October 6, 2020. Holders of an aggregate of 10,261,419 shares of the Company’s Common Stock at the close of business on August 14, 2020 were entitled to vote at the Annual Meeting, of which 6,500,561 shares were present in person or represented by proxy. At the Annual Meeting, the Company’s stockholders voted as follows:
Proposal One: The stockholders elected each of the following individuals as a director for a one year term expiring on the date of the Company’s 2021 Annual Meeting of Stockholders and until their successors have been duly elected and qualified.
| Name | | For | | | Against | | | Withheld | | | Broker Non-Votes | |
| Garo H. Armen | | | 6,389,927 | | | | 0 | | | | 176 | | | | - | |
| Robert B. Stein | | | 6,389,925 | | | | 0 | | | | 178 | | | | - | |
| Khalil Barrage | | | 6,389,931 | | | | 0 | | | | 172 | | | | - | |
| Brian J. Corvese | | | 6,389,930 | | | | 0 | | | | 173 | | | | - | |
| Joshua Silverman | | | 6,389,932 | | | | 0 | | | | 168 | | | | - | |
| Jennifer Buell | | | 6,389,937 | | | | 0 | | | | 166 | | | | - | |
Proposal Two: The stockholders ratified the selection of MaloneBailey LLP as the Company’s independent registered public accounting firm for the fiscal year ending December 31, 2020.
| For | | Against | | Abstain |
| 6,500,483 | | 58 | | 20 |
SIGNATURES
Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this Current Report to be signed on its behalf by the undersigned hereunto duly authorized.
| | PROTAGENIC THERAPEUTICS, INC. |
| | | |
| Date: October 7, 2020 | By: | /s/ Alexander K. Arrow |
| | Name: | Alexander K. Arrow |
| | Title: | Chief Financial Officer |
