Current Report Filing (8-k)
January 19 2021 - 7:36AM
Edgar (US Regulatory)
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):
January 13, 2021
RAFAEL HOLDINGS, INC.
(Exact name of registrant as specified
in its charter)
Delaware
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1-38411
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82-2296593
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(State or other jurisdiction
of Incorporation)
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(Commission File Number)
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(IRS Employer
Identification No.)
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520 Broad Street
Newark, New Jersey
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07102
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(Address of principal executive offices)
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(Zip Code)
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Registrant’s telephone number, including
area code: 212 658-1450
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 (see General Instruction
A.2. below):
☐
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Written communications pursuant to Rule 425
under the Securities Act (17 CFR 230.425)
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☐
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Soliciting material pursuant to Rule 14a-12
under the Exchange Act (17 CFR 240.14a-12)
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☐
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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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☐
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Pre-commencement communications pursuant to
Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))
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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. ☐
Securities registered pursuant to Section 12(b)-2 of the Exchange
Act:
Title of each class
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Trading Symbol
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Name of each exchange on which
registered
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Class B common stock, par value $0.1 per share
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RFL
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New York Stock Exchange
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Item 5.07 Submission of Maters to a Vote of Security
Holders.
(a) Rafael
Holdings, Inc.’s (the “Company”) Annual Meeting of Stockholders was held on January 13, 2021 (the “Meeting”).
(b) (1) A
majority of the votes present or represented at the Meeting by the holders of shares entitled to vote on the following matter
were voted in connection with the election of each of the Board of Directors nominees named in the Proxy Statement of the
Company.
The nominees for election to the Board of
Directors were elected, each for a one-year term, based upon the following votes:
Nominee
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Votes For
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Votes Against
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Abstentions
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Broker Non-Vote
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% Votes For
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Stephen M. Greenberg
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3,361,156
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57,935
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3,950
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317,390
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89.86
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Howard S. Jonas
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3,362,110
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57,837
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3,094
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317,390
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89.89
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Rachel Jonas
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3,399,778
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19,255
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4,008
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317,390
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90.89
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Boris C. Pasche
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3,361,388
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57,651
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4,001
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317,390
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89.87
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Michael J. Weiss
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3,361,029
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57,848
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4,164
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317,390
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89.86
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(2) A
majority of the votes present or represented at the Meeting by the holders of shares entitled to vote on the following matter were
voted in connection with the ratification of the appointment of CohnReznick LLP as the Company’s independent registered public
accounting firm for the Fiscal Year ending July 31, 2021.
The number of votes cast with respect to
this matter was as follows:
Votes For
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Votes Against
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Abstentions
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Broker Non-Vote
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% Votes For
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3,730,007
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3,486
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6,937
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0
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99.72
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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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RAFAEL HOLDINGS, INC.
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By:
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/s/ David Polinsky
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Name: David Polinsky
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Title: Chief Financial Officer
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Dated: January 19, 2021
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