SONN Sonnet BioTherapeutics

Filed: 15 Jul 21, 4:53pm






Washington, D.C. 20549






Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934


Date of Report (Date of earliest event reported): July 15, 2021



(Exact name of registrant as specified in its charter)


Delaware 001-35570 20-2932652
(State or other jurisdiction (Commission (IRS Employer
of incorporation) File Number) Identification No.)


100 Overlook Center, Suite 102

Princeton, New Jersey




(Address of principal executive offices) (Zip Code)


Registrant’s telephone number, including area code: (609) 375-2227


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 Name of Each Exchange on Which Registered
Common Stock, par value $0.0001 per share SONN 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 1 933 (17 CFR §230.405) or Rule 12b-2 of the Securities Exchange Act of 1934 (17 CFR §240.12b-2).


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.


On July 15, 2021, Sonnet BioTherapeutics Holdings, Inc. (the “Company”) held its Annual Meeting of Stockholders (the “Annual Meeting”). The matters voted on at the Annual Meeting were: (1) the election of directors and (2) the ratification of the appointment of KPMG LLP as the Company’s independent registered public accounting firm for the Company’s fiscal year ending September 30, 2021. The final voting results were as follows:


1. The election of each of Pankaj Mohan, Ph.D., Nailesh Bhatt, Albert Dyrness, Donald Griffith, and Raghu Rao as directors to hold office for a term of one year, until his or her successor is duly elected and qualified or he or she is otherwise unable to complete his or her term.


The votes were cast for this matter as follows:


Nominees Votes For Votes Withheld Broker Non-Votes
Pankaj Mohan, Ph.D. 3,914,843 546,328 7,899,654
Nailesh Bhatt 3,921,246 539,925 7,899,654
Albert Dryness 3,900,263 560,908 7,899,654
Donald Griffith 3,916,889 544,282 7,899,654
Raghu Rao 3,877,722 583,449 7,899,654


2. The proposal to ratify the appointment of KPMG LLP as the Company’s independent registered public accounting firm for the Company’s fiscal year ending September 30, 2021 was approved based upon the following votes:


Votes For Votes Against Abstentions
11,684,812 605,666 70,347







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.



Sonnet BioTherapeutics Holdings, Inc.

a Delaware corporation


Dated: July 15, 2021By:/s/ Pankaj Mohan, Ph.D.
 Name:Pankaj Mohan, Ph.D.
 Title:Chief Executive Officer