Current Report Filing (8-k)

Date : 08/14/2019 @ 9:09PM
Source : Edgar (US Regulatory)
Stock : Aridis Pharmaceuticals Inc (ARDS)
Quote : 5.8  -0.01 (-0.17%) @ 9:30PM
Aridis Pharmaceuticals share price Chart

Current Report Filing (8-k)

 

 

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)

August 13, 2019

 


 

Aridis Pharmaceuticals, Inc.

(Exact name of registrant as specified in its charter)

 


 

Delaware

 

001-38630

 

47-2641188

(State or other jurisdiction of
incorporation)

 

(Commission File Number)

 

(I. R. S. Employer
Identification No.)

 

5941 Optical Ct.

San Jose, California 95138

(Address of principal executive offices, including ZIP code)

 

(408) 385-1742

(Registrant’s telephone number, including area code)

 

 

(Former name or former address, if changed since last report)

 

Securities registered pursuant to Section 12(b) of the Act:

 

Title of each class:

 

Trading Symbol(s)

 

Name of each exchange on which registered:

Common Stock

 

ARDS

 

Nasdaq Capital Market

 

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:

 

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    x

 

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.    o

 

 

 


 

Item 5.07                    Submission of Matters to a Vote of Security Holders

 

On August 13, 2019, Aridis Pharmaceuticals, Inc. (the “Company”) held its Annual Meeting of Stockholders (the “Annual Meeting”).  A total of 4,682,215 shares of common stock, constituting a quorum, were represented in person or by valid proxies at the Annual Meeting. The final results for each of the matters submitted to a vote of stockholders at the Annual Meeting, as set forth in the Definitive Proxy Statement, filed with the Securities and Exchange Commission on July 2, 2019, are as follows:

 

Proposal 1 .  All of the three (3) of the nominees for Class I director were elected to serve until the 2022 Annual Meeting of Stockholders  or until the earlier of their resignation or their respective successors shall have been elected and qualified. The result of the votes to elect the three (3) directors was as follows:

 

Directors

 

For

 

Against

 

Abstain

 

Broker Non Vote

Craig Gibbs

 

2,959,445

 

0

 

3,530

 

1,719,240

John Hamilton

 

2,955,083

 

0

 

7,892

 

1,719,240

Robert R. Ruffolo

 

2,959,395

 

0

 

3,580

 

1,719,240

 

Proposal 2.  The appointment of Mayer Hoffman McCann, P.C. as the Company’s independent registered public accounting firm for its fiscal year ended December 31, 2019 was ratified and approved by the stockholders by the votes set forth in the table below:

 

For

 

Against

 

Abstain

 

Broker Non Vote

4,680,147

 

1,647

 

421

 

0

 

2


 

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.

 

 

Date: August 14, 2019

ARIDIS PHARMACEUTICALS, INC.

 

 

 

/s/ Vu Truong

 

Vu Truong

 

Chief Executive Officer

 

3


Aridis Pharmaceuticals (NASDAQ:ARDS)
Historical Stock Chart

1 Year : From Mar 2019 to Mar 2020

Click Here for more Aridis Pharmaceuticals Charts.

Aridis Pharmaceuticals (NASDAQ:ARDS)
Intraday Stock Chart

Today : Monday 30 March 2020

Click Here for more Aridis Pharmaceuticals Charts.

Latest ARDS Messages

{{bbMessage.M_Alias}} {{bbMessage.MSG_Date}} {{bbMessage.HowLongAgo}} {{bbMessage.MSG_ID}} {{bbMessage.MSG_Subject}}

Loading Messages....


No posts yet, be the first! No {{symbol}} Message Board. Create One! See More Posts on {{symbol}} Message Board See More Message Board Posts
$
Your Recent History
LSE
GKP
Gulf Keyst..
LSE
QPP
Quindell
FTSE
UKX
FTSE 100
LSE
IOF
Iofina
FX
GBPUSD
UK Sterlin..
Stocks you've viewed will appear in this box, letting you easily return to quotes you've seen previously.

Register now to create your own custom streaming stock watchlist.

NYSE, AMEX, and ASX quotes are delayed by at least 20 minutes.
All other quotes are delayed by at least 15 minutes unless otherwise stated.

By accessing the services available at ADVFN you are agreeing to be bound by ADVFN's Terms & Conditions

P: V:us D:20200331 02:17:18