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
June 6, 2017 |
Date of Report (Date of Earliest Event Reported) |
Sun BioPharma, Inc. |
(Exact Name of Registrant as Specified in its Charter) |
Delaware | 000-55242 | 87-0543922 | ||
(State of Incorporation) | (Commission File Number) | (I.R.S. Employer Identification No.) |
712 Vista Blvd #305 Waconia, Minnesota | 55387 | |
(Address of Principal Executive Offices) | (Zip Code) |
(952)479-1196 |
(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 filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions (see General Instruction A.2):
☐ 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))
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.
The 2017 Annual Meeting of Shareholders of Sun BioPharma, Inc. (the “Company”) was held on June 6, 2017. The final results of the shareholder vote on each proposal brought before the Annual Meeting were as follows:
For | Withhold | Broker | |||||||||||
Proposal No. 1— Election of class 1 directors | |||||||||||||
Suzanne Gagnon | 23,607,922 | 1,025 | 0 | ||||||||||
David B. Kaysen | 19,893,678 | 3,715,269 | 0 | ||||||||||
Paul W. Schaffer | 23,338,947 | 270,000 | 0 | ||||||||||
For | Against | Abstain | Broker | |||||||||||||
Proposal No. 2—Ratification of the selection of Cherry Bekaert LLP as our independent registered public accounting firm for the fiscal year ending December 31, 2017. | 24,756,912 | 0 | 140,000 | 0 | ||||||||||||
All proposals were approved by the Company’s shareholders by the required vote.
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.
| SUN BIOPHARMA, INC. |
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Date: June 8, 2017 | By | /s/ Scott Kellen |
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| Scott Kellen |
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| Chief Financial Officer |
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