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 22, 2023
(Exact name of registrant as specified in its charter)
|
|
|
|
|
(State or other jurisdiction of incorporation)
|
(Commission File Number)
|
(IRS Employer Identification No.)
|
|
|
|
|
|
(Address of principal
executive offices)
|
(Zip Code)
|
Registrant’s telephone number, including area code: (
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):
|
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
|
||
|
|
|
|
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.
|
The 2023 Annual Meeting of Stockholders of Rocket Pharmaceuticals, Inc. (the “Company”), was held on June 22, 2023 (the “Annual
Meeting”). At the Annual Meeting, there were present, in person or by proxy, holders of 71,724,582 shares of common stock, or approximately 89.14% of the total outstanding shares eligible to be voted. The holders present voted on the three proposals
presented at the Annual Meeting as follows.
Proposal One -
Election of Directors
The Company’s stockholders approved the election of nine directors to the Company’s Board of Directors (“Board”) by the following
votes:
|
Nominee
|
Votes For
|
Votes Withheld
|
Broker Non-Votes
|
|
Elisabeth Björk, M.D., Ph.D.
|
58,915,886
|
5,451,837
|
7,356,859
|
|
Carsten Boess
|
63,048,327
|
1,319,396
|
7,356,859
|
|
Pedro Granadillo
|
61,204,270
|
3,163,453
|
7,356,859
|
|
Gotham Makker, M.D.
|
63,073,636
|
1,294,087
|
7,356,859
|
|
Fady Malik, M.D., Ph.D.
|
63,180,648
|
1,187,075
|
7,356,859
|
|
Gaurav Shah, M.D.
|
63,113,152
|
1,254,571
|
7,356,859
|
|
David P. Southwell
|
59,390,944
|
4,976,779
|
7,356,859
|
|
Roderick Wong, M.D.
|
62,388,033
|
1,979,690
|
7,356,859
|
|
Naveen Yalamanchi, M.D.
|
44,198,874
|
20,168,849
|
7,356,859
|
Proposal Two -
Ratification of Appointment of Independent Registered Accounting Firm
The Company’s stockholders ratified the appointment of EisnerAmper LLP as the Company’s independent registered accounting firm for the
fiscal year ending December 31, 2023 by the following votes:
|
Votes For
|
Votes Against
|
Abstentions
|
||
|
70,820,279
|
901,600
|
2,703
|
Proposal Three - Non-Binding Advisory Vote on the Compensation of the Company’s Named Executive Officers
The Company’s stockholders approved, on a non-binding, advisory basis, the compensation of the Company’s named executive officers, as
disclosed in the proxy statement for the 2023 Annual Meeting of Stockholders pursuant to Section 14A of the Exchange Act, including the Compensation Discussion and Analysis, the Summary Compensation Table, and the narrative disclosures that accompany
the compensation tables. The final votes were:
|
Votes For
|
Votes Against
|
Abstentions
|
Broker Non-Votes
|
|||
|
53,821,833
|
10,527,507
|
18,383
|
7,356,859
|
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 hereunto duly authorized.
|
Rocket Pharmaceuticals, Inc.
|
||
|
Date: June 23, 2023
|
By:
|
/s/ Gaurav Shah, MD
|
|
Gaurav Shah, MD
|
||
|
Chief Executive Officer and Director
|
||