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 8, 2018 

_____________________

 

TONIX PHARMACEUTICALS HOLDING CORP.

(Exact name of registrant as specified in its charter)

 

Nevada 001-36019 26-1434750

(State or Other Jurisdiction

of Incorporation)

(Commission

File Number)

(IRS Employer

Identification No.)

 

509 Madison Avenue, Suite 306, New York, New York 10022

(Address of principal executive offices) (Zip Code)

 

Registrant’s telephone number, including area code: (212) 980-9155

 

Copy of correspondence to:

 

Michael J. Lerner, Esq.

Lowenstein Sandler LLP

One Lowenstein Drive

Roseland, NJ 07068

Tel:   (973) 597-2500      Fax:   (973) 597-6395

 

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. below):

 

o Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)

o Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)

o Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))

o 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 (§ 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.

 

On June 8, 2018, the Company held its annual meeting of shareholders, at which the Company’s shareholders approved four proposals. Shareholders representing 5,918,478 shares, or 72.79%, of the common shares outstanding as of the April 11, 2018 record date were present in person or were represented at the meeting by proxy. The proposals are described in detail in the Company’s proxy statement filed with the Securities and Exchange Commission on April 19, 2018, as subsequently amended on May 29, 2018, pursuant to Section 14(a) of the Securities Exchange Act of 1934, as amended.

 

Proposal 1

 

The Company’s shareholders elected nine individuals to the Board of Directors as set forth below:

 

Name   Votes For     Votes Withheld     Broker Non-Votes    
Seth Lederman     1,210,398     111,187       4,596,893    
Margaret Smith Bell     1,210,213     111,372       4,596,893    
Patrick Grace     1,212,351     109,234       4,596,893    
David Grange     1,209,497     112,088       4,596,893    
Donald W. Landry     1,212,352     109,233       4,596,893    
Ernest Mario     1,006,412     315,173       4,596,893    
Charles E. Mather IV     1,211,269     110,316       4,596,893    
John Rhodes     1,211,652     109,933       4,596,893    
Samuel Saks     1,039,430     282,155       4,596,893    
                             

 

Proposal 2

 

The Company’s shareholders ratified the appointment of EisnerAmper LLP as the Company’s independent registered public accounting firm for the fiscal year ending December 31, 2018, as set forth below:

 

Votes For     Votes Against     Abstentions     Broker Non-Votes  
  5,304,236       107,575       506,667       0  
     
                                 

Proposal 3

 

The Company’s shareholders approved the Tonix Pharmaceuticals Holding Corp. 2018 Stock Incentive Plan, as set forth below:

 

Votes For     Votes Against     Abstentions     Broker Non-Votes  
  958,436       354,033       9,116       4,596,893  
     
                                 

 

Proposal 4

 

The Company’s shareholders approved the Tonix Pharmaceuticals Holding Corp. 2018 Employee Stock Purchase Plan, as set forth below:

 

Votes For     Votes Against     Abstentions     Broker Non-Votes  
  1,169,446       141,763       10,376       4,596,893  
     
   
                               
 
 
 

 

SIGNATURE

 

Pursuant to the requirement of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned thereunto duly authorized.

 

 

  TONIX PHARMACEUTICALS HOLDING CORP.
   
Date:  June 8, 2018 By: /s/ Bradley Saenger      
  Bradley Saenger
  Chief Financial Officer