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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) May 28, 2021
AquaBounty Technologies, Inc.
(Exact name of registrant as specified in its charter)
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Delaware | 001-36426 | 04-3156167 |
(State or other jurisdiction | (Commission | (IRS Employer |
2 Mill & Main Place, Suite 395, Maynard, Massachusetts
(Address of principal executive offices)
01754
(Zip Code)
978-648-6000
(Registrant’s telephone number, including area code)
(Former name or former address, if changed since last report.)
Title of each class | Trading Symbol(s) | Name of exchange on which registered |
Common Stock, par value $0.001 per share | AQB | The NASDAQ Stock Market LLC |
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) |
☐ | 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.
On May 28, 2021, the Company held its annual meeting of stockholders. At this meeting, the Company’s stockholders (i) elected each of the persons listed below as a director for a one-year term; and (ii) ratified the appointment of Wolf & Company, P.C. as the Company’s independent registered accounting firm for the fiscal year ending December 31, 2021.
Proposal 1 Election of Directors
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| For |
| Withheld |
| Broker Non-Votes |
Richard J. Clothier |
| 34,545,685 |
| 115,912 |
| 14,192,726 |
Ricardo J. Alvarez |
| 34,545,528 |
| 116,069 |
| 14,192,726 |
Theodore J. Fisher |
| 34,545,903 |
| 115,694 |
| 14,192,726 |
Alana D. Kirk |
| 34,494,061 |
| 167,536 |
| 14,192,726 |
Gail Sharps Meyers |
| 34,539,921 |
| 121,676 |
| 14,192,726 |
Christine St.Clare |
| 34,520,761 |
| 140,836 |
| 14,192,726 |
Rick Sterling |
| 34,516,163 |
| 145,434 |
| 14,192,726 |
James C. Turk, Jr. |
| 34,545,392 |
| 116,205 |
| 14,192,726 |
Sylvia Wulf |
| 34,516,528 |
| 145,069 |
| 14,192,726 |
Proposal 2 Ratification of Independent Registered Public Accounting Firm
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For |
| Against |
| Abstain |
| Broker Non-Votes |
48,528,264 |
| 156,894 |
| 169,165 |
| - |
Item 7.01 Regulation FD Disclosure.
On May 28, 2021, Sylvia Wulf, the Company’s Chief Executive Officer, announced that the Company had received approval for its application to Brazil’s National Biosafety Technical Commission (CTNBio) for the sale of the Company’s genetically engineered (GE) Atlantic salmon. CTNBio assessed AquaBounty’s application to ensure it met the relevant standards and regulatory requirements and concluded that consuming AquaBounty’s GE salmon is safe for the environment and human health.
The information included in this Current Report on Form 8-K pursuant to Item 7.01 is intended to be furnished and shall not be deemed “filed” for purposes of Section 18 of the Securities Exchange Act of 1934 or otherwise subject to the liabilities of that section, nor shall it be deemed incorporated by reference in any filing under the Securities Act of 1933 or the Securities Exchange Act of 1934, except as expressly set forth by specific reference in such filing.
SIGNATURES
Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.
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| AquaBounty Technologies, Inc. |
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| (Registrant) |
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May 28, 2021 |
| /s/ David A. Frank |
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| David A. Frank |
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| Chief Financial Officer |