8-K
4D Molecular Therapeutics, Inc. (FDMT)
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 17, 2021
4D Molecular Therapeutics, Inc.
(Exact name of Registrant as Specified in Its Charter)
| Delaware | 001-39782 | 47-3506994 |
|---|---|---|
| (State or Other Jurisdiction<br><br><br>of Incorporation) | (Commission File Number) | (IRS Employer<br><br><br>Identification No.) |
| 5858 Horton Street #455,<br><br><br>Emeryville, CA | 94608 | |
| (Address of Principal Executive Offices) | (Zip Code) |
Registrant’s Telephone Number, Including Area Code: (510) 505-2680
Not Applicable
(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<br><br><br>Symbol(s) | Name of each exchange on which registered |
|---|---|---|
| Common Stock, $0.0001 par value per share | FDMT | The Nasdaq Global Select 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.
4D Molecular Therapeutics, Inc. (the “Company”) held its 2021 Annual Meeting of Stockholders (the “Annual Meeting”) on May 17, 2021 virtually via the internet. On March 26, 2021, the record date, there were 26,694,379 shares of the Company’s common stock outstanding with each such share being entitled to one vote per share.
At the Annual Meeting, 16,717,561 shares of the Company’s common stock were voted in person or by proxy for the two proposals set forth below, each of which is described in the Company’s Definitive Proxy Statement on Schedule 14A filed with the U.S. Securities and Exchange Commission on April 6, 2021.
Proposal 1. The Company’s stockholders elected by a majority of votes cast the Class I director nominees below to the Company’s Board of Directors to hold office until the 2024 Annual Meeting of Stockholders or until their successors are elected.
| NOMINEE | FOR | WITHHELD | BROKER<br><br><br>NON-<br><br><br>VOTES | |||
|---|---|---|---|---|---|---|
| David Kirn, M.D. | 13,952,085 | 1,873,828 | 891,648 | |||
| David Schaffer, Ph.D. | 13,179,909 | 2,646,004 | 891,648 |
Proposal 2. The Company’s stockholders ratified the selection of PricewaterhouseCoopers LLP as the independent registered public accounting firm of the Company for its fiscal year ending December 31, 2021.
| FOR | AGAINST | ABSTAIN | ||
|---|---|---|---|---|
| 16,698,132 | 18,996 | 433 |
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 thereunto duly authorized.
| 4D MOLECULAR THERAPEUTICS, INC. | ||
|---|---|---|
| Date: May 20, 2021 | By: | /s/ August J. Moretti |
| August J. Moretti | ||
| Chief Financial Officer |
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