UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM
Current Report
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Securities Exchange Act of 1934
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| Item 5.07. | Submission of Matters to a Vote of Security Holders. |
On August 18, 2021, NeuBase Therapeutics, Inc. (the “Company”) held its 2021 Annual Meeting of Stockholders (the “2021 Annual Meeting”). A total of 20,934,570 shares of the Company’s common stock, par value $0.0001 per share (the “Common Stock”), or 63.99% of the Common Stock issued and outstanding as of the record date for the 2021 Annual Meeting, were represented virtually or by proxy at the 2021 Annual Meeting.
At the 2021 Annual Meeting, the Company’s stockholders considered three proposals, each of which is described in more detail in the Company’s definitive proxy statement on Schedule 14A filed with the U.S. Securities and Exchange Commission on July 2, 2021.
Set forth below is a brief description of each matter voted upon at the 2021 Annual Meeting and the voting results with respect to each matter.
Proposal No. 1: To elect two Class I directors, Dov A. Goldstein, M.D. and Eric I. Richman, nominated by our Board of Directors, to serve until our 2024 Annual Meeting of Stockholders and until their successors are duly elected and qualified:
| Nominee | For | Withheld | Broker Non-Votes | |||||||||
| Dov A. Goldstein, M.D. | 10,124,043 | 175,536 | 10,634,991 | |||||||||
| Eric I. Richman | 8,827,036 | 1,472,543 | 10,634,991 | |||||||||
Proposal No. 2: To ratify the selection of Marcum LLP as our independent registered public accounting firm for the fiscal year ending September 30, 2021.
| For | Against | Abstentions | ||||||||
| 20,745,186 | 155,165 | 34,219 | ||||||||
Proposal No. 3: To approve, on an advisory basis, the compensation paid to the Company’s Named Executive Officers, as disclosed pursuant to Item 402 of Regulation S-K, including the compensation tables and narrative discussion within the section of the Company’s Proxy Statement entitled “Executive Compensation.”
| For | Against | Abstentions | Broker Non-Votes | |||||||||||
| 9,925,322 | 338,510 | 35,747 | 10,634,991 | |||||||||||
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.
| NEUBASE THERAPEUTICS, INC. (Registrant) | |||
| Date: August 19, 2021 | By: | /s/ Sam Backenroth | |
| Sam Backenroth | |||
| Chief Financial Officer | |||