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 14, 2023 |
BIOATLA, INC.
(Exact name of Registrant as Specified in Its Charter)
| | | | |
Delaware | 001-39787 | 85-1922320 |
(State or Other Jurisdiction
of Incorporation) | (Commission File Number) | (IRS Employer
Identification No.) |
| | | | |
11085 Torreyana Road | |
San Diego, California | | 92121 |
(Address of Principal Executive Offices) | | (Zip Code) |
|
Registrant’s Telephone Number, Including Area Code: 858 558-0708 |
(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:
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Title of each class
| | Trading
Symbol(s) | |
Name of each exchange on which registered
|
Common Stock, $0.0001 par value per share | | BCAB | | Nasdaq Global 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 5.07 Submission of Matters to a Vote of Security Holders.
The Annual Meeting of Stockholders of BioAtla, Inc. (the “Company”) was held online via live audio webcast on June 14, 2023 (the “Annual Meeting”). At the Annual Meeting, there were present, in person virtually or by proxy, holders of 37,304,412 shares of common stock, or approximately 78.31% of the total outstanding shares eligible to be voted. The final voting results with respect to each proposal presented at the Annual Meeting is set forth below:
Proposal One - Election of Directors
The Company’s stockholders approved the election of three Class III directors to the Company’s Board of Directors for three year terms or until their respective successors are duly elected and qualified or until their earlier death, resignation, disqualification or removal, by the following votes:
| | | |
Nominee | Votes For | Votes Withheld | Broker Non-Votes |
Jay M. Short, Ph.D. | 22,948,319 | 5,926,074 | 8,430,019 |
Scott Smith | 22,232,673 | 6,641,720 | 8,430,019 |
Edward Williams | 22,947,509 | 5,926,884 | 8,430,019 |
Proposal Two - Ratification of Appointment of Independent Registered Public Accounting Firm
The Company’s stockholders ratified the appointment of Ernst & Young LLP as the Company’s independent registered public accounting firm for the fiscal year ending December 31, 2023 by the following votes:
| | |
Votes For | Votes Against | Abstentions |
36,580,145 | 564,952 | 159,315 |
Proposal Three - Non-Binding Advisory Vote on the Executive Compensation of Our Named Executive Officers
The Company’s stockholders approved, on a non-binding advisory basis, the executive compensation of our named executive officers by the following votes:
| | | |
Votes For | Votes Against | Abstentions | Broker Non-Votes |
27,451,774 | 1,375,886 | 46,733 | 8,430,019 |
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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| | | BioAtla, Inc. |
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Date: | June 14, 2023 | By: | /s/ Richard A. Waldron |
| | | Richard A. Waldron
Chief Financial Officer |
