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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): December 14, 2023

 

PRO-DEX, INC.

(Exact name of registrant as specified in charter)

 

Colorado 0-14942 84-1261240
(State or other jurisdiction of incorporation) (Commission File Number) (IRS Employer Identification Number)

 

2361 McGaw Avenue

Irvine, California 92614

(Address of principal executive offices, zip code)

 

(949) 769-3200

(Registrant’s telephone number including area code)

 

 

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(b) 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 Exchange Act:

 

Title of each class Trading Symbol(s) Name of each exchange on which registered
Common Stock, no par value PDEX NASDAQ Capital 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 checkmark 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 December 14, 2023, Pro-Dex, Inc. (the “Company”) held its 2023 Annual Meeting of Shareholders (the “Annual Meeting”). At the Annual Meeting, the Company’s shareholders voted on three proposals and one advisory vote set forth below. The proposals and advisory vote are described in detail in the Company’s definitive proxy statement for the Annual Meeting filed with the Securities and Exchange Commission on October 27, 2023 (the “Proxy Statement”).

1.To elect Raymond E. Cabillot, Angelita R. Domingo, William J. Farrell III, David C. Hovda, Katina M.K. Philp, Nicholas J. Swenson and Richard L. Van Kirk (the “Candidates”) to serve as members of the board of directors (“Board”) of the Company until their successors are duly elected and qualified.
Candidate  Votes For   Withheld   Broker Non-Votes 
Raymond E. Cabillot   2,201,619    74,344    639,427 
Angelita R. Domingo   2,263,301    12,662    639,427 
William J. Farrell III   1,901,678    374,285    639,427 
David C. Hovda   2,243,539    32,424    639,427 
Katrina M.K. Philp   2,271,327    4,636    639,427 
Nicholas J. Swenson   2,003,924    272,039    639,427 
Richard L. Van Kirk   2,261,694    14,269    639,427 

On the basis of the foregoing votes, each of the Candidates was elected.

 

2.To ratify the appointment of Moss Adams, LLP as the Company’s independent registered public accounting firm for the year ending June 30, 2024.
For   Against   Abstain   Broker Non-Votes 
 1,867,181    1,030,284    17,924    —   

On the basis of the foregoing votes, the proposal was ratified.

 

3.To amend the 2014 Employee Stock Purchase Plan in order to extend its term for an additional ten years.
For   Against   Abstain   Broker Non-Votes 
 2,085,460    190,097    406    639,427 

On the basis of the foregoing votes, the proposal was ratified.

 

4.To cast a non-binding advisory vote with regard to the compensation of the Company’s Named Executive Officers (as defined in the Proxy Statement) as set forth in the Proxy Statement.
For   Against   Abstain   Broker Non-Votes 
 2,251,271    11,341    13,351    639,427 

On the basis of the foregoing votes, the shareholders approved, on a non-binding advisory basis, the compensation of the Named Executive Officers.

Item  9.01.Financial Statements and Exhibits.

(d) Exhibits.

 

Exhibit Number   Description
104  

Cover Page Interactive Data File (the cover page XBRL tags are embedded within the inline XBRL document)

 

 

 

 
 

 

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:  December 15, 2023 Pro-Dex, Inc.
   
     
  By: /s/ Alisha K. Charlton
    Alisha K. Charlton
    Chief Financial Officer

 

 

 

 

 

 

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Entity File Number 0-14942
Entity Registrant Name PRO-DEX, INC.
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Entity Tax Identification Number 84-1261240
Entity Incorporation, State or Country Code CO
Entity Address, Address Line One 2361 McGaw Avenue
Entity Address, City or Town Irvine
Entity Address, State or Province CA
Entity Address, Postal Zip Code 92614
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Title of 12(b) Security Common Stock, no par value
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