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 11, 2020
Oncternal Therapeutics, Inc.
(Exact Name of Registrant as Specified in Charter)
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Delaware |
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000-50549 |
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62-1715807 |
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(State or Other Jurisdiction |
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(Commission File |
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(IRS Employer Identification No.) |
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12230 El Camino Real Suite 300 (858) 434-1113 |
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(Address and zip code; telephone number, including area code, of registrant’s principal executive offices)
N/A
(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 communication 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:
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Title of each class |
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Trading Symbol(s) |
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Name of each exchange on which registered |
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Common Stock, par value $0.001 per share |
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ONCT |
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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. ☐
Oncternal Therapeutics, Inc. (the “Company”) held its annual meeting of stockholders on June 11, 2020. The following is a brief description of each matter voted upon at the meeting and the number of votes cast for, withheld or against, the number of abstentions and the number of broker non-votes with respect to each matter, as applicable.
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1. |
The election of three nominees to serve as Class I directors for a three-year term to expire at the 2023 annual meeting of stockholders. The following three Class I directors were re-elected by the votes indicated: |
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For |
Withheld |
Broker Non-Votes |
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Daniel L. Kisner, M.D. |
10,427,177 |
14,516 |
2,098,886 |
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William R. LaRue |
10,427,156 |
14,537 |
2,098,886 |
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Charles P. Theuer, M.D., Ph.D. |
10,427,734 |
13,959 |
2,098,886 |
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2. |
The ratification of the appointment of BDO USA, LLP, as the Company’s independent registered public accounting firm for the fiscal year ending December 31, 2020. The selection was ratified by the votes indicated: |
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For |
Against |
Abstain |
Broker Non-Votes |
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12,514,409 |
21,063 |
5,107 |
0 |
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3. |
The approval, on an advisory basis, of the compensation of the Company’s named executive officers as disclosed in the Company’s proxy statement for the 2020 annual meeting pursuant to the disclosure rules of the Securities and Exchange Commission. The compensation was approved on an advisory basis by the votes indicated: |
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For |
Against |
Abstain |
Broker Non-Votes |
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10,397,965 |
38,246 |
5,482 |
2,098,886 |
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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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Oncternal Therapeutics, Inc. |
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Date: June 15, 2020 |
By: |
/s/ James B. Breitmeyer |
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Name: James B. Breitmeyer, M.D., Ph.D. |
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Title: President and Chief Executive Officer |
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