0000950170-23-027702.txt : 20230613 0000950170-23-027702.hdr.sgml : 20230613 20230613163052 ACCESSION NUMBER: 0000950170-23-027702 CONFORMED SUBMISSION TYPE: 8-K PUBLIC DOCUMENT COUNT: 12 CONFORMED PERIOD OF REPORT: 20230609 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: 20230613 DATE AS OF CHANGE: 20230613 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Adaptive Biotechnologies Corp CENTRAL INDEX KEY: 0001478320 STANDARD INDUSTRIAL CLASSIFICATION: BIOLOGICAL PRODUCTS (NO DIAGNOSTIC SUBSTANCES) [2836] IRS NUMBER: 270907024 STATE OF INCORPORATION: WA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 8-K SEC ACT: 1934 Act SEC FILE NUMBER: 001-38957 FILM NUMBER: 231011608 BUSINESS ADDRESS: STREET 1: 1165 EASTLAKE AVE E CITY: SEATTLE STATE: WA ZIP: 98109 BUSINESS PHONE: 206-659-0067 MAIL ADDRESS: STREET 1: 1165 EASTLAKE AVE E CITY: SEATTLE STATE: WA ZIP: 98109 FORMER COMPANY: FORMER CONFORMED NAME: Adaptive TCR Corp DATE OF NAME CHANGE: 20091209 8-K 1 adpt-20230609.htm 8-K 8-K
0001478320false00014783202023-06-092023-06-09

 

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 13, 2023 (June 09, 2023)

 

 

ADAPTIVE BIOTECHNOLOGIES CORPORATION

(Exact name of Registrant as Specified in Its Charter)

 

 

Washington

001-38957

27-0907024

(State or Other Jurisdiction
of Incorporation)

(Commission File Number)

(IRS Employer
Identification No.)

 

 

 

 

 

1165 Eastlake Avenue East

 

Seattle, Washington

 

98109

(Address of Principal Executive Offices)

 

(Zip Code)

 

Registrant’s Telephone Number, Including Area Code: (206) 659-0067

 

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:

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, par value $0.0001 per share

 

ADPT

 

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

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

On June 9, 2023, Adaptive Biotechnologies Corporation (the "Company") Board of Directors (the "Board") member Leslie Trigg submitted her resignation from the Board. The resignation was voluntary and not due to any disagreement with the Company on any matter relating to its operations, policies or practices.

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

On June 9, 2023, the Company held its annual meeting of shareholders (the "Annual Meeting") pursuant to notice duly given. Three proposals were presented for voting: Proposal 1: election of two Class 1 directors to the Board (Drs. Katey Owen and Robert Hershberg); Proposal 2: an advisory request concerning compensation for the Company's 2022 named executive officers; and, Proposal 3: ratification of Ernst & Young LLP as the Company's independent registered public accounting firm for the year ending December 31, 2023. Each of the proposals was described in detail in the Company’s definitive proxy statement on Schedule 14A filed with the U.S. Securities and Exchange Commission on April 28, 2023. A quorum of the shareholders voted by the conclusion of the Annual Meeting. The final results of the voting are set forth below.

 

Proposal 1: Election of Class 1 Directors

 

Dr. Katey Owen

Votes Submitted

As % of Proposal Votes

Broker Non Vote

For

83,072,262

76.66 %

13,147,625

Against

-

-

Withhold/Abstain

25,282,278

23.33 %

Dr. Robert Hershberg

Votes Submitted

As % of Proposal Votes

Broker Non Vote

For

47,703,083

44.02 %

13,147,625

Against

-

-

Withhold/Abstain

60,651,457

55.97 %

 

Proposal 2: Advisory Vote Concerning the 2022 Compensation of the Company's Named Executive Officers

 

Votes Submitted

As % of Proposal Votes

Broker Non Vote

For

89,592,587

82.68 %

13,147,625

Against

17,467,529

16.12 %

Withhold/Abstain

1,294,424

1.19 %

 

Proposal 3: Ramification of Ernst & Young LLP as the Company's Independent Registered Public Accounting Firm for the Year Ending December 31, 2023

 

Votes Submitted

As % of Proposal Votes

Broker Non Vote

For

121,162,529

99.72 %

0

Against

200,965

0.16 %

Withhold/Abstain

138,671

0.11 %

 

 


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.

 

 

 

Adaptive Biotechnologies Corporation

 

 

 

 

Date:

June 13, 2023

By:

/s/ Tycho Peterson

 

 

 

Tycho Peterson
Chief Financial Officer

 


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