0001104659-16-125378.txt : 20160603 0001104659-16-125378.hdr.sgml : 20160603 20160603160152 ACCESSION NUMBER: 0001104659-16-125378 CONFORMED SUBMISSION TYPE: 8-K PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20160601 ITEM INFORMATION: Submission of Matters to a Vote of Security Holders FILED AS OF DATE: 20160603 DATE AS OF CHANGE: 20160603 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Tracon Pharmaceuticals, Inc. CENTRAL INDEX KEY: 0001394319 STANDARD INDUSTRIAL CLASSIFICATION: BIOLOGICAL PRODUCTS (NO DIAGNOSTIC SUBSTANCES) [2836] IRS NUMBER: 000000000 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 8-K SEC ACT: 1934 Act SEC FILE NUMBER: 001-36818 FILM NUMBER: 161695554 BUSINESS ADDRESS: STREET 1: 8910 UNIVERSITY CENTER DRIVE STREET 2: SUITE 700 CITY: San Diego STATE: CA ZIP: 92122 BUSINESS PHONE: 858-550-0780 MAIL ADDRESS: STREET 1: 8910 UNIVERSITY CENTER DRIVE STREET 2: SUITE 700 CITY: San Diego STATE: CA ZIP: 92122 FORMER COMPANY: FORMER CONFORMED NAME: Tracon Pharmaceuticals Inc DATE OF NAME CHANGE: 20070324 8-K 1 a16-12796_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):  June 1, 2016

 

TRACON Pharmaceuticals, Inc.

(Exact name of registrant as specified in its charter)

 

Delaware

 

001-36818

 

34-2037594

(State or other jurisdiction

 

(Commission File Number)

 

(IRS Employer Identification No.)

of incorporation)

 

 

 

 

 

8910 University Center Lane, Suite 700
San Diego, California

 

92122

(Address of principal executive offices)

 

(Zip Code)

 

Registrant’s telephone number, including area code: (858) 550-0780

 

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))

 

 

 


 

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

 

On June 1, 2016, TRACON Pharmaceuticals, Inc. (the “Company”) held its Annual Meeting of Stockholders at its corporate headquarters located at 8910 University Center Lane, Suite 700, San Diego, California 92122 at 8:00 a.m. pacific time (the “2016 Annual Meeting”). The Company had 12,185,242 shares of common stock outstanding and entitled to vote as of April 8, 2016, the record date for the 2016 Annual Meeting.  At the 2016 Annual Meeting, 9,848,713 shares of common stock of the Company were present or represented by proxy.

 

At the 2016 Annual Meeting, the Company’s stockholders voted on two proposals, each of which is described in more detail in the Company’s definitive proxy statement on Schedule 14A filed with the U.S. Securities and Exchange Commission on April 21, 2016.

 

At the 2016 Annual Meeting, the Company’s stockholders:

 

(1) elected Stephen T. Worland as a director of the Company to hold office until the 2019 Annual Meeting of Stockholders; and

 

(2) ratified the appointment of Ernst & Young LLP as the Company’s independent registered public accounting firm for the fiscal year ending December 31, 2016.

 

The following sets forth detailed information regarding the final certified results of the voting with respect to each matter voted upon at the 2016 Annual Meeting:

 

Proposal 1. Election of Directors

 

Name

 

Votes For

 

Votes Withheld

 

Broker Non-
Votes

 

Stephen T. Worland, Ph.D.

 

6,676,812

 

659,127

 

2,512,774

 

 

Proposal 2. Ratification of the selection of Independent Registered Public Accounting Firm

 

Votes For

 

Votes Against

 

Abstentions

 

Broker Non-Votes

 

9,797,633

 

11,878

 

39,202

 

—

 

 

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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.

 

 

TRACON Pharmaceuticals, Inc.

 

 

 

 

 Dated: June 3, 2016

By:

/s/ Charles P. Theuer, M.D., Ph.D.

 

 

Charles P. Theuer, M.D., Ph.D.
President and Chief Executive Officer

 

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