UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM
CURRENT REPORT
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Item 5.07. Submission of Matters to a Vote of Security Holders
On January 12, 2024, Aridis Pharmaceuticals, Inc. (the “Company”) held its Annual Meeting of Stockholders (the “Annual Meeting”). A total of 15,313,250 shares of common stock, constituting a quorum, were represented in person or by valid proxies at the Annual Meeting. The final results for each of the matters submitted to a vote of stockholders at the Annual Meeting, as set forth in the Definitive Proxy Statement, filed with the Securities and Exchange Commission on November 3, 2023 are as follows:
Proposal 1. Susan Windham-Bannister, Ph.D. was elected as a Class II director to serve until the 2026 Annual Meeting of Stockholders or until her successor has been duly elected and qualified, or until her earlier resignation, removal or death. The result of the vote to elect Susan Windham-Bannister was as follows:
| Directors | For | Against | Abstain | Broker Non Vote | |||||
| Susan Windham-Bannister | 13,643,878 | 0 | 396,561 | 1,272,811 |
Proposal 2. The appointment of Grassi & Co., CPAs, P.C. as the Company’s independent registered public accounting firm for its fiscal year ended December 31, 2023 was ratified and approved by the stockholders by the votes set forth in the table below:
| For | Against | Abstain | Broker Non Vote | |||
| 14,978,646 | 167,331 | 167,273 | 0 |
Proposal 3. The non-binding advisory vote to approve the compensation of our principal executive officer, principal financial officer and each of our three other most highly compensated executive officers as of December 31, 2022 (collectively, the “Named Executive Officers”) was approved by the stockholders by the votes set forth in the table below:
| For | Against | Abstain | Broker Non Vote | |||
| 11,359,540 | 1,361,875 | 1,319,023 | 1,272,812 |
Proposal 4. The 2023 Omnibus Equity Incentive Plan was approved by the stockholders by the votes set forth in the table below:
| For | Against | Abstain | Broker Non Vote | |||
| 11,530,834 | 1,369,001 | 1,140,604 | 1,272,811 |
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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.
| Date: January 16, 2024 | ARIDIS PHARMACEUTICALS, INC. |
| /s/ Vu Truong | |
| Vu Truong | |
| Chief Executive Officer |
| -3- |