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ADPT Adaptive Biotechnologies

Filed: 14 Jun 21, 4:20pm

 

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 11, 2021

 

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.)

 

 

 

1551 Eastlake Avenue East, Suite 200,

Seattle, Washington

 

98102

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

On June 11, 2021, Adaptive Biotechnologies Corporation (the “Company”) held its annual meeting of shareholders (the “Annual Meeting”). At the Annual Meeting, the Company’s shareholders voted on four proposals, as described below. 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 23, 2021. The vote totals noted below are final voting results from the Annual Meeting.

 

1.

The Company’s shareholders elected the following three Class II director nominees, each to hold office until the 2024 annual meeting of shareholders or until his or her successor is elected and qualified, by the vote set forth below:

 

Nominee

 

Votes For

 

Votes

Withheld

 

Broker

Non-Votes

Michelle Griffin

 

95,779,979

 

12,600,796

 

14,450,327

Peter Neupert

 

92,865,432

 

15,515,343

 

14,450,327

Leslie Trigg

 

97,812,160

 

10,568,615

 

14,450,327

 

 

2.

The Company’s shareholders approved, on a non-binding advisory basis, the 2020 compensation of its named executive officers as described in the proxy statement based on the following results:

 

Votes For

 

Votes Against

 

Abstentions

 

Broker

Non-Votes

100,345,226

 

7,888,977

 

146,572

 

14,450,327

 

 

3.

The Company’s shareholders approved, on a non-binding advisory basis, a frequency of one year for future advisory votes on named executive officers’ compensation. After considering these results, we will hold a non-binding advisory vote on executive compensation on an annual basis until the next advisory vote on the frequency of non-binding votes on executive compensation.

 

One Year

 

Two Years

 

Three Years

 

Abstentions

 

Broker

Non-Votes

107,470,826

 

18,789

 

870,697

 

20,461

 

14,450,327

 

4.

The Company’s shareholders ratified the appointment of Ernst & Young LLP as the Company’s independent registered public accounting firm for the fiscal year ending December 31, 2021 by the vote set forth below:

 

Votes For

 

Votes Against

 

Abstentions

122,794,811

 

21,326

 

14,964

 


 

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 thereunto duly authorized.

 

 

 

Adaptive Biotechnologies Corporation

 

 

 

 

Date: June 14, 2021

 

By:

/s/ Chad Cohen

 

 

 

Chad Cohen

 

 

 

Chief Financial Officer