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Section 1: 8-K (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 18, 2019

 

Fortress Biotech, Inc.

(Exact Name of Registrant as Specified in Charter)

 

Delaware
(State or Other Jurisdiction
of Incorporation) 
 

001-35366
(Commission File Number)

 

 

20-5157386
(IRS Employer Identification No.)

 

 

2 Gansevoort Street, 9th Floor

New York, NY 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.

 

Securities registered pursuant to Section 12(b) of the Act:

 

Title of Class   Trading Symbol(s)   Exchange Name
Common Stock   FBIO   Nasdaq Capital Market
         
9.375% Series A Cumulative Redeemable Perpetual Preferred Stock   FBIOP   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 (§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 2019 annual meeting of stockholders of Fortress Biotech, Inc. (“Fortress” or “the Company”) was held on June 18, 2019. 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’s independent registered public accounting firm for the year ending December 31, 2019; (iii) an advisory vote to approve the compensation of the Company’s named executive officers; and (iv) an advisory vote on the frequency of the advisory vote to approve the compensation of the Company’s named executive officers.

 

Item 1: Election of directors:

 

Nominee   Total Votes
For
    % Voted
For
    Total Votes
Withheld
    % Voted
Withheld
 
                         
Lindsay A. Rosenwald, M.D.     31,544,638       98.25 %     560,671       1.75 %
                                 
Michael S. Weiss     27,569,415       85.87 %     4,535,894       14.13 %
                                 
Eric K. Rowinsky, M.D.     31,145,840       97.01 %     959,469       2.99 %
                                 
Jimmie Harvey, Jr., M.D.     31,909,730       99.39 %     195,579       0.61 %
                                 
Malcolm Hoenlein     28,915,373       90.06 %     3,189,936       9.94 %
                                 
Dov Klein     28,884,648       89.97 %     3,220,661       10.03 %
                                 
J. Jay Lobell     28,097,806       87.52 %     4,007,503       12.48 %

 

 

 

 

Item 2: Ratification of the appointment of BDO USA, LLP as Fortress’s independent registered public accounting firm for the year ending December 31, 2019:

 

Total Votes For   Total Votes Against   Abstention   Broker Non-Votes  
               
54,519,698   295,851   57,325   0  

 

Item 3: Advisory vote to approve the compensation of Fortress’s named executive officers:

 

Total Votes For   Total Votes Against   Abstention   Broker Non-Votes  
               
29,564,625   2,386,297   154,387   22,767,565  

 

Item 4: Advisory vote on the frequency of the advisory vote to approve the compensation of Fortress’s named executive officers:

 

One Year   Two Years   Three Years   Abstention  
               
6,043,351   4,901,988   21,072,104   87,866  

 

 

 

 

 

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.

 

  

Date: June 20, 2019 Fortress Biotech, Inc.  
  (Registrant)  
       
       
  By: /s/ Lindsay A. Rosenwald, M.D.  
    Lindsay A. Rosenwald, M.D.  
    Chairman, President and Chief Executive Officer

 

 

 

 

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