0001104659-19-031798.txt : 20190524 0001104659-19-031798.hdr.sgml : 20190524 20190524161614 ACCESSION NUMBER: 0001104659-19-031798 CONFORMED SUBMISSION TYPE: 8-K PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20190522 ITEM INFORMATION: Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers: Compensatory Arrangements of Certain Officers ITEM INFORMATION: Submission of Matters to a Vote of Security Holders FILED AS OF DATE: 20190524 DATE AS OF CHANGE: 20190524 FILER: COMPANY DATA: COMPANY CONFORMED NAME: RIGEL PHARMACEUTICALS INC CENTRAL INDEX KEY: 0001034842 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 943248524 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 8-K SEC ACT: 1934 Act SEC FILE NUMBER: 000-29889 FILM NUMBER: 19854645 BUSINESS ADDRESS: STREET 1: 1180 VETERANS BOULEVARD CITY: SOUTH SAN FRANCISCO STATE: CA ZIP: 94080 MAIL ADDRESS: STREET 1: 1180 VETERANS BOULEVARD CITY: SOUTH SAN FRANCISCO STATE: CA ZIP: 94080 8-K 1 a19-10614_18k.htm 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): May 22, 2019

 

RIGEL PHARMACEUTICALS, INC.

(Exact name of registrant as specified in its charter)

 

Delaware

(State or other jurisdiction of incorporation)

 

0-29889

 

94-3248524

(Commission File No.)

 

(IRS Employer Identification No.)

 

1180 Veterans Boulevard

South San Francisco, CA 94080

(Address of principal executive offices)

 

94080

(Zip Code)

 

Registrant’s telephone number, including area code: (650) 624-1100

 

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):

 

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))

 

Title of Each Class

 

Trading Symbol(s)

 

Name of Each Exchange on
Which
Registered

Common Stock, par value $0.001 per share

 

RIGL

 

The Nasdaq Stock Market LLC

 

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  o

 

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 5.02. Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers.

 

Approval of 2018 Equity Incentive Plan, as Amended

 

On May 22, 2019, at the 2019 Annual Meeting of Stockholders (the “Annual Meeting”) of Rigel Pharmaceuticals, Inc. (the “Company”), the Company’s stockholders approved the Company’s 2018 Equity Incentive Plan, as amended (the “Amended 2018 Plan”), to increase the aggregate number of shares of common stock authorized for issuance under the 2018 Plan by 4,000,000 shares.

 

The Amended 2018 Plan previously had been approved, subject to stockholder approval, by the Board of Directors of the Company (the “Board”). The Amended 2018 Plan became effective immediately upon stockholder approval at the Annual Meeting.

 

A more detailed summary of the material features of the Amended 2018 Plan is set forth in the Company’s definitive proxy statement for the Annual Meeting filed with the Securities and Exchange Commission on April 9, 2019 (the “Proxy Statement”). That summary and the foregoing description are qualified in their entirety by reference to the text of the Amended 2018 Plan, which is attached as Appendix A to the Proxy Statement.

 

Item 5.07. Submission of Matters to a Vote of Security Holders.

 

The following is a brief description of each matter voted upon at the Annual Meeting, as well as the number of votes cast for or against each matter and the number of abstentions and broker non-votes with respect to each matter. A more complete description of each matter is set forth in the Proxy Statement.

 

· Each of the three nominees for director, to serve until the Company’s 2022 Annual Meeting of Stockholders or until his or her respective successor has been elected and qualified, was elected as follows:

 

Nominee

 

Shares
Voted For

 

Shares
Withheld

 

Bradford S. Goodwin

 

111,849,804

 

1,668,442

 

Keith A. Katkin

 

83,021,928

 

30,496,318

 

Jane Wasman

 

106,240,244

 

7,278,002

 

 

There were 26,875,823 broker non-votes for this matter.

 

· The Company’s stockholders approved the Amended 2018 Plan.

 

The tabulation of votes on this matter was as follows: shares voted for: 103,676,616; shares voted against: 9,736,323; shares abstaining: 105,307; and broker non-votes: 26,875,823.

 

· The Company’s stockholders approved, on an advisory basis, the compensation of the Company’s named executive officers.

 

The tabulation of votes on this matter was as follows: shares voted for: 111,657,396; shares voted against: 1,743,370; shares abstaining: 117,480; and broker non-votes: 26,875,823.

 

· The Company’s stockholders ratified the selection of Ernst & Young LLP as the independent registered public accounting firm of the Company for its fiscal year ending December 31, 2019.

 

The tabulation of votes on this matter was as follows: shares voted for: 137,309,818; shares voted against: 2,961,955; and shares abstaining: 122,296.

 

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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.

 

Dated: May 24, 2019

RIGEL PHARMACEUTICALS, INC.

 

 

 

 

 

 

 

By:

/s/ Dolly A. Vance

 

 

Dolly A. Vance

 

 

Executive Vice President, General Counsel and Corporate Secretary

 

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