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Section 1: 8-K (FORM 8-K)

 

 

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 14, 2018

 

Fortress Biotech, Inc.

(Exact Name of Registrant as Specified in Charter)

  

Delaware   001-35366   20-5157386
(State or Other Jurisdiction   (Commission File Number)   (IRS Employer Identification No.)
of Incorporation)        

 

2 Gansevoort Street

9th Floor

New York, New York 10014

(Address of Principal Executive Offices)

 

(781) 652-4500

(Registrant’s telephone number, including area code)

 

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.
¨Soliciting material pursuant to Rule 14a-12 under the Exchange Act.
¨Pre-commencement communications pursuant to Rule 14d-2b under the Exchange Act.
¨Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act.

 

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 2018 annual meeting of stockholders of Fortress Biotech, Inc. (“Fortress Biotech”) was held on June 14, 2018. The following matters were voted on by the stockholders: (i) the election of seven directors; (ii) the ratification of the appointment of BDO USA, LLP as Fortress Biotech’s independent registered public accounting firm for the year ending December 31, 2018; (iii) the approval of an amendment to Fortress Biotech’s 2012 Employee Stock Purchase Plan increasing the shares issuable thereunder by 600,000; and (iv) the approval of Fortress Biotech’s Second Amended and Restated Certificate of Incorporation, removing the series A Preferred Stock designation.

 

Item 1: Election of directors:

  

Nominee  Total Votes For   % Voted For   Total Votes
Withheld
   % Voted Withheld 
                 
Lindsay A. Rosenwald, M.D.   23,522,719    98.34%   395,896    1.66%
                     
Michael S. Weiss   22,338,231    93.39%   1,580,384    6.61%
                     
Eric K. Rowinsky, M.D.   23,183,927    96.93%   734,688    3.07%
                     
Jimmie Harvey, Jr., M.D.   23,648,901    98.87%   269,714    1.13%
                     
Malcolm Hoenlein   23,187,971    96.95%   730,644    3.05%
                     
Dov Klein   23,157,653    96.82%   760,962    3.18%
                     
J. Jay Lobell   21,854,119    91.37%   2,064,496    8.63%

  

Item 2: Ratification of the appointment of BDO USA, LLP as Fortress Biotech’s independent registered public accounting firm for the year ending December 31, 2018:

  

Total Votes For   Total Votes Against   Abstention   Broker Non-Votes  
46,266,512   161,518   72,289   0  

 

Item 3: Vote to approve an amendment to Fortress Biotech’s 2012 Employee Stock Purchase Plan increasing the shares issuable thereunder by 600,000:

 

Total Votes For   Total Votes Against   Abstention   Broker Non-Votes  
23,624,744   136,568   157,303   22,581,704  

  

Item 4: Vote to approve Fortress Biotech’s Second Amended and Restated Certificate of Incorporation, removing the series A Preferred Stock designation:

  

Total Votes For   Total Votes Against   Abstention   Broker Non-Votes  
23,826,875   73,491   18,249   22,581,704  

 

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SIGNATURES

 

Pursuant to the requirements of the Securities Exchange Act of 1934, as amended, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.

 

 

  Fortress Biotech, Inc.  
  (Registrant)  
       
Date: June 19, 2018      
       
  By: /s/ Lindsay A. Rosenwald, M.D.
    Lindsay A. Rosenwald, M.D.  
    Chairman, President and Chief Executive Officer  

 

 

 

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