Axsome Therapeutics, Inc 8-K, filed Jun 8, 2021
Axsome Therapeutics, Inc. (AXSM)
About this 8-K
Axsome Therapeutics, Inc filed this 8-K on June 8, 2021, reporting on events of June 4, 2021.
Items reported
- Item 5.07: Shareholder vote results
- Item 9.01: Financial statements and exhibits
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM
CURRENT REPORT
Pursuant to Section 13 or 15(D)
of the Securities Exchange Act of 1934
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(Former name or former address, if changed since last report)
Securities registered pursuant to Section 12(b) of the Act:
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Check the appropriate box below if the Form 8-K 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). |
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Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12). |
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Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b)). |
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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.
At the 2021 annual meeting of stockholders of Axsome Therapeutics, Inc. (the “Company”) held on June 4, 2021 (the “Annual Meeting”), the following proposals were submitted to the stockholders of the Company:
Proposal 1: The election of two directors to serve as Class III directors until the Company’s 2024 annual meeting of stockholders and until their successor is duly elected and qualified.
Proposal 2: The ratification of the appointment of Ernst & Young LLP as the Company’s independent registered public accounting firm for the fiscal year ending December 31, 2021.
Proposal 3: The approval, on a non-binding advisory basis, the compensation of the Company’s named executive officers.
Proposal 4: The approval, on a non-binding advisory basis, of the frequency of the Company’s future votes on the compensation of the Company’s named executive officers.
For more information about the foregoing proposals, see the Company’s definitive proxy statement on Schedule 14A filed with the United States Securities and Exchange Commission on April 23, 2021 (the “Proxy Statement”). Of the 37,563,882 shares of the Company’s common stock entitled to vote at the Annual Meeting, 29,091,590 shares, or approximately 77.4%, were represented at the meeting in person or by proxy, constituting a quorum. The number of votes cast for, against or withheld, as well as abstentions and broker non-votes, if applicable, in respect of each such proposal is set forth below:
Proposal 1: Election of Class III Directors.
The Company’s stockholders elected the following directors to serve as Class III directors until the 2024 annual meeting of stockholders and until their successor is duly elected and qualified. The votes regarding the election of directors were as follows:
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Director |
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Votes For |
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Votes Withheld |
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Broker Non-Votes |
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Herriot Tabuteau, M.D. |
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21,113,196 |
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3,238,212 |
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4,740,182 |
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Mark Coleman, M.D. |
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15,040,575 |
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9,310,833 |
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4,740,182 |
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Proposal 2: Ratification of Appointment of Ernst & Young LLP.
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, 2021. The votes regarding this proposal were as follows:
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Votes For |
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Votes Against |
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Votes Abstaining |
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Broker Non-Votes |
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28,940,659 |
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22,674 |
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128,257 |
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0 |
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Proposal 3: Approval, by Non-Binding Advisory Vote, of the Compensation of the Company’s named executive officers.
The Company’s stockholders voted to approve, by non-binding advisory vote, the compensation of the Company’s named executive officers. The votes regarding this proposal were as follows:
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Votes For |
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Votes Against |
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Votes Abstaining |
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Broker Non-Votes |
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23,304,240 |
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566,943 |
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480,225 |
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4,740,182 |
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Proposal 4: Approval, by Non-Binding Advisory Vote, of the Frequency of Future Votes on the Compensation of the Company’s named executive officers.
The Company’s stockholders voted to approve, by non-binding advisory vote, the frequency of future votes on the compensation of the Company’s named executive officers. The votes regarding this proposal were as follows:
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One Year |
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Two Years |
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Three Years |
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Abstain |
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Broker Non-Votes |
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24,225,151 |
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27,940 |
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54,830 |
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43,487 |
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4,740,182 |
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Item 9.01 Financial Statements and Exhibits.
(d) Exhibits
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Exhibit No. |
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Description |
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104 |
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Cover Page Interactive Data File (embedded within the Inline XBRL document). |
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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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Axsome Therapeutics, Inc. |
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Dated: June 7, 2021 |
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By: |
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/s/ Herriot Tabuteau, M.D. |
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Name: |
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Herriot Tabuteau, M.D. |
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Title: |
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President and Chief Executive Officer |
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