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
June 27, 2019
Date of Report (Date of earliest event reported)
Sophiris Bio Inc. | ||
(Exact name of registrant as specified in its charter) |
British Columbia | 001-36054 | 98-1008712 | ||
(State or other jurisdiction | (Commission File Number) | (IRS Employer Identification No.) | ||
of incorporation) |
1258 Prospect Street La Jolla, CA | 92037 | ||
(Address of principal executive offices) | (Zip Code) | ||
Registrant’s telephone number, including area code: (858) 777-1760 | |||
Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligations 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 Shares, no par value | SPHS | The Nasdaq Capital Market |
Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 or Rule 12b-2 of the Securities Exchange Act of 1934.
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. |
The 2019 Annual General Meeting of Shareholders (the “Annual Meeting”) of Sophiris Bio Inc. (the “Company”) was held on June 27, 2019. As of April 30, 2019, the record date for the Annual Meeting, 30,217,140 common shares were outstanding and entitled to vote at the Annual Meeting. A summary of the matters voted upon by shareholders at the Annual Meeting is set forth below.
Proposal 1. Election of Directors
The Company’s shareholders elected the six persons listed below as directors, each to serve until the Company’s 2020 Annual Meeting of Shareholders and until their successors are duly elected and qualified. The final voting results are as follows:
| Votes For |
| Votes Withheld |
| Broker Non-Votes | |
Lars Ekman, Ph.D., M.D. |
| 3,290,142 |
| 1,628,691 |
| 17,906,464 |
John (Jack) Geltosky, Ph.D. |
| 3,932,876 |
| 985,957 |
| 17,906,464 |
Jim Heppell |
| 3,247,987 |
| 1,670,846 |
| 17,906,464 |
Allison Hulme, Ph.D. | 3,283,378 | 1,635,455 | 17,906,494 | |||
Gerald T. Proehl |
| 3,343,660 |
| 1,575,173 |
| 17,906,494 |
Randall E. Woods |
| 3,238,124 |
| 1,680,709 |
| 17,906,494 |
Proposal 2. Advisory Vote on Executive Compensation
The Company’s shareholders approved, on an advisory basis, the compensation of the Company’s named executive officers, as disclosed in the proxy statement for the Annual Meeting. The final voting results are as follows:
Votes For |
| Votes Against |
| Abstentions |
| Broker |
3,474,287 |
| 1,182,139 |
| 262,407 |
| 17,906,464 |
Proposal 3. Advisory Vote on the Frequency of Solicitation of Advisory Shareholder Approval of Executive Compensation
The Company’s shareholders approved, on an advisory basis, every year as the preferred frequency of shareholder advisory votes on the compensation of the Company’s named executive officers. The final voting results are as follows:
Votes for Every Year |
| Votes for Every Two Years |
| Votes for Every Three Years |
| Abstentions | Broker | |
4,309,286 |
| 78,882 |
| 182,619 |
| 348,046 | 17,906,494 |
Proposal 4. Appointment of Independent Registered Public Accounting Firm
The Company’s shareholders appointed PricewaterhouseCoopers LLP as the Company’s independent registered public accounting firm for the fiscal year ending December 31, 2019. The final voting results are as follows:
Votes For |
| Votes Against |
| Abstentions |
| Broker |
19,851,041 |
| 1,591,192 |
| 1,383,064 |
| - |
Signature
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.
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| Sophiris Bio Inc. |
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June 28, 2019 | By: | /s/ Peter Slover |
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| Name: Peter Slover |
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Title: Chief Financial Officer |