0001104659-19-034304.txt : 20190606 0001104659-19-034304.hdr.sgml : 20190606 20190606163037 ACCESSION NUMBER: 0001104659-19-034304 CONFORMED SUBMISSION TYPE: 8-K PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20190604 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 ITEM INFORMATION: Financial Statements and Exhibits FILED AS OF DATE: 20190606 DATE AS OF CHANGE: 20190606 FILER: COMPANY DATA: COMPANY CONFORMED NAME: IDERA PHARMACEUTICALS, INC. CENTRAL INDEX KEY: 0000861838 STANDARD INDUSTRIAL CLASSIFICATION: BIOLOGICAL PRODUCTS (NO DIAGNOSTIC SUBSTANCES) [2836] IRS NUMBER: 043072298 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 8-K SEC ACT: 1934 Act SEC FILE NUMBER: 001-31918 FILM NUMBER: 19882917 BUSINESS ADDRESS: STREET 1: 505 EAGLEVIEW BOULEVARD STREET 2: SUITE 212 CITY: EXTON STATE: PA ZIP: 19341 BUSINESS PHONE: 4843481600 MAIL ADDRESS: STREET 1: 505 EAGLEVIEW BOULEVARD STREET 2: SUITE 212 CITY: EXTON STATE: PA ZIP: 19341 FORMER COMPANY: FORMER CONFORMED NAME: HYBRIDON INC DATE OF NAME CHANGE: 19951211 8-K 1 a19-11163_18k.htm 8-K

 

 

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

WASHINGTON, DC 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 4, 2019

 

Idera Pharmaceuticals, Inc.

(Exact Name of Registrant as Specified in Charter)

 

Delaware
(State or Other
Jurisdiction of
Incorporation)

 

001-31918
(Commission File
Number)

 

04-3072298
(I.R.S. Employer
Identification No.)

 

505 Eagleview Blvd., Suite 212

 

 

Exton, Pennsylvania

 

19341

(Address of Principal Executive Offices)

 

(Zip Code)

 

Registrant’s telephone number, including area code: (484) 348-1600

 

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 $0.001 per share

 

IDRA

 

Nasdaq Capital Market

 

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)).

 

Indicate by check mark whether the registrant is an emerging growth company as defined in 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.

 

At the 2019 Annual Meeting of Stockholders of Idera Pharmaceuticals, Inc. (the “Company”) held on June 4, 2019 (the “2019 Annual Meeting”), the stockholders of the Company approved amendments to the Company’s 2013 Stock Incentive Plan (the “2013 Plan”) and 2017 Employee Stock Purchase Plan (the “2017 Plan”), in each case to increase the number of shares authorized for issuance under such plan.

 

A description of the material terms of the amendments to the 2013 Plan and 2017 Plan can be found in the sections of the Definitive Proxy Statement on Schedule 14A filed by the Company on April 25, 2019 entitled, respectively, “Proposal Three — Approval of an Amendment to the Company’s 2013 Stock Incentive Plan,” and “Proposal Four — Approval of an Amendment to the Company’s 2017 Employee Stock Purchase Plan,” which are incorporated by reference into this Form 8-K.

 

The foregoing summary is qualified in its entirety by reference to the amendments to the 2013 Plan and 2017 Plan, which are filed as Exhibits 99.1 and 99.2, respectively, to this Form 8-K and incorporated herein by reference.

 

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

 

At the 2019 Annual Meeting, a total of 18,631,312 shares were represented in person or by proxy, which represented a quorum.  At the 2019 Annual Meeting, the stockholders of the Company voted on (1) the election of two Class III directors for terms to expire at the Company’s 2022 annual meeting of stockholders, (2) approval, on a non-binding basis, of executive compensation, (3) approval of an amendment to the Company’s 2013 Stock Incentive Plan to increase the number of shares authorized for issuance thereunder, (4) approval of an amendment to the Company’s 2017 Employee Stock Purchase Plan to increase the number of shares authorized for issuance thereunder and (5) the ratification of the selection of Ernst & Young LLP as the Company’s independent registered public accounting firm for the fiscal year ending December 31, 2019.  The voting results on these proposals were as follows:

 

Proposal 1.  Elect two Class III directors for terms to expire at the Company’s 2022 annual meeting of stockholders.

 

Nominee

 

Votes For

 

Withheld

 

Broker Non-Votes

Mark Goldberg, M.D.

 

7,527,156

 

2,146,448

 

8,957,708

Carol A. Schafer

 

9,541,505

 

132,099

 

8,957,708

 

Proposal 2.  Approve, by non-binding vote, executive compensation.

 

Votes For

 

Votes Against

 

Abstentions

 

Broker Non-Votes

9,209,247

 

422,730

 

41,627

 

8,957,708

 

Proposal 3.  Approve an amendment to the Company’s 2013 Stock Incentive Plan to increase the number of shares authorized for issuance thereunder.

 

Votes For

 

Votes Against

 

Abstentions

 

Broker Non-Votes

8,990,196

 

648,695

 

34,713

 

8,957,708

 

2

 

Proposal 4.  Approve an amendment to the Company’s 2017 Employee Stock Purchase Plan to increase the number of shares authorized for issuance thereunder.

 

Votes For

 

Votes Against

 

Abstentions

 

Broker Non-Votes

9,394,278

 

259,917

 

19,409

 

8,957,708

 

Proposal 5.  Ratify the selection of Ernst & Young LLP as the Company’s independent registered public accounting firm for the fiscal year ending December 31, 2019.

 

Votes For

 

Votes Against

 

Abstentions

 

Broker Non-Votes

18,217,326

 

312,408

 

101,578

 

0

 

Item 9.01.                                        Financial Statements and Exhibits.

 

(d)

 

Exhibit No.

 

Exhibit Name

99.1

 

Amendment to the Idera Pharmaceuticals, Inc. 2013 Stock Incentive Plan (Incorporated herein by reference to Appendix A to the Company’s Definitive Proxy Statement on Schedule 14A filed on April 25, 2019).

99.2

 

Amendment to the Idera Pharmaceuticals, Inc. 2017 Employee Stock Purchase Plan (Incorporated herein by reference to Appendix C to the Company’s Definitive Proxy Statement on Schedule 14A filed on April 25, 2019).

 

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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.

 

 

IDERA PHARMACEUTICALS, INC.

 

 

 

By:

/s/ Bryant D. Lim

 

 

Bryant D. Lim

 

 

Senior V.P., General Counsel

 

Dated: June 6, 2019

 

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