0001193125-19-309304.txt : 20191209 0001193125-19-309304.hdr.sgml : 20191209 20191209164433 ACCESSION NUMBER: 0001193125-19-309304 CONFORMED SUBMISSION TYPE: 8-K PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20191204 ITEM INFORMATION: Submission of Matters to a Vote of Security Holders FILED AS OF DATE: 20191209 DATE AS OF CHANGE: 20191209 FILER: COMPANY DATA: COMPANY CONFORMED NAME: APPLIED GENETIC TECHNOLOGIES CORP CENTRAL INDEX KEY: 0001273636 STANDARD INDUSTRIAL CLASSIFICATION: BIOLOGICAL PRODUCTS (NO DIAGNOSTIC SUBSTANCES) [2836] IRS NUMBER: 593553710 STATE OF INCORPORATION: DE FISCAL YEAR END: 0630 FILING VALUES: FORM TYPE: 8-K SEC ACT: 1934 Act SEC FILE NUMBER: 001-36370 FILM NUMBER: 191275696 BUSINESS ADDRESS: STREET 1: 14193 NW 119TH TERRACE STREET 2: SUITE #10 CITY: ALACHUA STATE: FL ZIP: 32615 BUSINESS PHONE: 386-462-2204 MAIL ADDRESS: STREET 1: 14193 NW 119TH TERRACE STREET 2: SUITE #10 CITY: ALACHUA STATE: FL ZIP: 32615 8-K 1 d766002d8k.htm 8-K 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): December 4, 2019

 

 

APPLIED GENETIC TECHNOLOGIES CORPORATION

(Exact Name of Registrant as Specified in Charter)

 

 

 

Delaware   001-36370   59-3553710

(State or other jurisdiction

of incorporation)

  

(Commission

File Number)

  

(IRS Employer

Identification Number)

14193 NW 119th Terrace

Suite 10

Alachua, Florida, 32165

(Address of principal executive offices) (Zip Code)

(386) 462-2204

(Registrant’s telephone number, including area code)

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).

 

☐

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

Symbol(s)

  

Name of each exchange

on which registered

Common Stock, $0.001 par value   AGTC   Nasdaq Global 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.

We held our 2020 Annual Meeting of Stockholders on December 4, 2019, at which four proposals were submitted to, and approved by, our stockholders. The holders of 11,827,875 shares of our common stock were present or represented by proxy at the meeting. The proposals are described in detail in our definitive proxy statement for the 2020 Annual Meeting filed with the Securities and Exchange Commission on November 4, 2019. The final results for the votes for each proposal are set forth below.

At the annual meeting, each of Susan B. Washer, Ed Hurwitz and James Rosen was elected as a Class III Director of the Company, to serve a three-year term expiring at the 2023 Annual Meeting of Stockholders. The votes cast in the election of the directors were as follows:

 

Nominee

   

Votes For

   

Votes Withheld

   

Broker

Non-Votes

Susan B. Washer

    7,198,427    443,572    4,185,876

Ed Hurwitz

    7,142,017    499,982    4,185,876

James Rosen

    7,153,083    488,916    4,185,876

At the annual meeting, our stockholders approved, on an advisory basis, the compensation paid to our named executive officers. The votes cast on this proposal were as follows:

 

Proposal

   

Votes For

   

Votes Against

   

Abstentions

   

Broker

Non-Votes

To approve, on an advisory basis, the compensation paid to our named executive officers    6,526,373    1,091,776    23,850    4,185,876

At the annual meeting, our stockholders approved, on an advisory basis, the frequency of holding an advisory vote on the compensation paid to our named executive officers. The votes cast on this proposal were as follows:

 

Proposal

   

1 Year

   

2 Years

   

3 Years

   

Withheld

   

Broker

Non-Votes

To approve, on an advisory basis, the frequency of holding an advisory vote on the compensation of our named executive officers    6,266,515    59,496    1,298,286    17,702    4,185,876

At the annual meeting, our stockholders also approved the proposal to ratify the appointment of Ernst & Young LLP as our independent registered public accounting firm for our fiscal year ending on June 30, 2020. The votes cast on this proposal were as follows:

 

Proposal

   

Votes For

   

Votes Against

   

Abstentions

   

Broker

Non-Votes

To ratify the appointment of Ernst & Young LLP as the Company’s independent registered public accounting firm for fiscal year 2020    11,735,466    33,827    58,582    —  

 

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 thereunto duly authorized.

 

APPLIED GENETIC TECHNOLOGIES CORPORATION
By:   /s/ Brian Krex
  Brian Krex
  General Counsel

Date: December 9, 2019