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): June 28, 2021
BioSig Technologies, Inc.
(Exact name of registrant as specified in its charter)
Delaware | 001-38659 | 26-4333375 |
(State or other jurisdiction | (Commission File Number) | (IRS Employer |
of incorporation) | | Identification No.) |
54 Wilton Road, 2nd Floor Westport, Connecticut | | 06880 |
(Address of principal executive offices) | | (Zip Code) |
(203) 409-5444
(Registrant’s telephone number, including area code)
N/A (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 exchange on which registered |
Common Stock, par value $0.001 per share | | BSGM | | The NASDAQ Capital Market |
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 5.02 | Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers. |
On June 28, 2021, BioSig Technologies, Inc. (the “Company”) held its 2021 annual meeting of stockholders (the “Annual Meeting”). At the Annual Meeting, the stockholders approved the Ninth Amendment (the “2012 Plan Amendment”) to the BioSig Technologies, Inc. 2012 Equity Incentive Plan (the “2012 Plan”) to increase the number of shares of common stock available for issuance pursuant to awards under the 2012 Plan by an additional 2,500,000 shares, to a total of 14,474,450 shares of the Company’s common stock. A summary description of the terms of the 2012 Plan Amendment is set forth in the Company’s definitive proxy statement filed with the Securities and Exchange Commission on April 30, 2021 (the “2021 Proxy”) under the section of the 2021 Proxy entitled “Proposal 2: Approval of the Ninth Amendment to the BioSig Technologies, Inc. 2012 Equity Incentive Plan,” which is incorporated herein by reference. The description of the 2012 Plan Amendment above and such section of the 2021 Proxy are qualified in their entirety by reference to the full text of the 2012 Plan Amendment, filed as Exhibit 10.1 to this Current Report on Form 8-K and incorporated herein by reference.
Item 5.07 | Submission of Matters to a Vote of Security Holders. |
At the Company’s Annual Meeting, the following three proposals were submitted to the Company’s stockholders:
| | (1) | Election of seven directors to serve until the Company’s 2022 annual meeting of stockholders or until their successors have been duly elected and qualified, for which the following were the nominees: Kenneth L. Londoner, Jeffrey F. O’Donnell, Sr., David Weild IV, Patrick J. Gallagher, Donald E. Foley, Anthony Zook, and Samuel E. Navarro. |
| | (2) | Approval of 2012 Plan Amendment to increase the number of shares of common stock available for issuance pursuant to awards under the 2012 Plan by an additional 2,500,000 shares, to a total of 14,474,450 shares of the Company’s common stock. |
| | | |
| | (3) | Ratification of the appointment of Friedman LLP as the Company’s independent registered public accounting firm for the 2021 fiscal year. |
For more information about the foregoing proposals, see the Company’s 2021 Proxy. Holders of the Company’s common stock were entitled to one vote per share, totaling to 32,143,531 votes, and certain holders of the Company’s Series C Convertible Preferred Stock, subject to the beneficial ownership limitation pursuant to the terms of such preferred stock as set forth in the certificate of designation for such preferred stock, were entitled to an aggregate of 50,524 votes. The number of votes cast for and against and the number of abstentions and broker non-votes with respect to each matter voted upon are set forth below:
| | (1) | Each of the following nominees for director received the number of votes set forth opposite his name, constituting in each case a plurality of the votes cast at the Annual Meeting for the election of such director to serve for a term of one year or until his successor is duly elected and qualified: |
Nominee | | Votes For | | | Votes Withheld | | | Broker Non-Votes | |
Kenneth L. Londoner | | | 14,387,261 | | | | 1,340,524 | | | | 7,686,979 | |
Jeffrey F. O’Donnell, Sr. | | | 12,724,047 | | | | 3,003,738 | | | | 7,686,979 | |
David Weild IV | | | 14,980,005 | | | | 747,780 | | | | 7,686,979 | |
Patrick J. Gallagher | | | 13,146,437 | | | | 2,581,348 | | | | 7,686,979 | |
Donald E. Foley | | | 13,122,227 | | | | 2,605,558 | | | | 7,686,979 | |
Anthony Zook | | | 14,572,657 | | | | 1,155,128 | | | | 7,686,979 | |
Samuel E. Navarro | | | 14,409,428 | | | | 1,318,357 | | | | 7,686,979 | |
| | (2) | Approval of the 2012 Plan Amendment: |
| | For | | | Against | | | Abstain | | | Broker Non-Votes | |
| | | 11,622,832 | | | | 3,949,935 | | | | 155,018 | | | | 7,686,979 | |
| | (3) | Ratification of the appointment of Friedman LLP as the Company’s independent registered public accounting firm for the 2021 fiscal year: |
| | For | | | Against | | | Abstain | | | Broker Non-Votes | |
| | | 23,166,600 | | | | 177,457 | | | | 70,707 | | | | - | |
Item 9.01 | Financial Statements and Exhibits. |
(d) Exhibits
SIGNATURES
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.
| | BIOSIG TECHNOLOGIES, INC. | |
| | | | |
| | | | |
Date: June 29, 2021 | By: | /s/ Kenneth L. Londoner | |
| | | Name: Kenneth L. Londoner | |
| | | Title: Chairman and Chief Executive Officer | |
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0001530766 2021-06-28 2021-06-28
