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Alpha Pro Tech Ltd – ‘8-K’ for 6/9/20

On:  Monday, 6/15/20, at 4:52pm ET   ·   For:  6/9/20   ·   Accession #:  1437749-20-13146   ·   File #:  1-15725

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  As Of               Filer                 Filing    For·On·As Docs:Size             Issuer                      Filing Agent

 6/15/20  Alpha Pro Tech Ltd                8-K:5,9     6/09/20    2:183K                                   RDG Filings/FA

Current Report   —   Form 8-K   —   Sect. 13 / 15(d) – SEA’34
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 2: EX-10.1     Material Contract                                   HTML    100K 


‘8-K’   —   Current Report


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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 9, 2020

 

Alpha Pro Tech, Ltd.

(Exact name of registrant as specified in its charter)

 

Delaware, U.S.A.

01-15725

63-1009183

(State or other jurisdiction of incorporation)

(Commission File Number)

(IRS Employer Identification No.)

 

60 Centurian Drive, Suite 112

Markham, Ontario, Canada

   L3R 9R2
(Address of principal executive offices)    (Zip Code)

 

Registrant’s telephone number, including area code: (905) 479-0654

 

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 (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

Common Stock, $0.01 par value

APT

NYSE American

 

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 5.02.

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers.

 

The 2020 Annual Meeting of Shareholders (the “Annual Meeting”) of Alpha Pro Tech, Ltd. (the “Company”) was held on June 9, 2020. At the Annual Meeting, the shareholders of the Company approved the Alpha Pro Tech, Ltd. 2020 Omnibus Incentive Plan (the “Plan”).

 

The Plan provides for the grant of incentive and nonqualified stock options, stock appreciation rights, awards of restricted stock and restricted stock units, performance share awards, cash awards and other equity-based awards to employees (including officers), consultants and non-employee directors of the Company and its affiliates. A detailed summary of other material features of the Plan is set forth in the Company’s definitive proxy statement for the Annual Meeting filed with the Securities and Exchange Commission on April 29, 2020 (the “Proxy Statement”). That summary is qualified in its entirety by reference to the full text of the Plan, which is attached hereto as Exhibit 10.1 and is incorporated herein by reference.

 

Item 5.07.

Submission of Matters to a Vote of Security Holders.

 

Summarized below are descriptions of the matters voted on at the Annual Meeting and the final results of such voting:

 

Proposal 1 – Election of Directors. The shareholders elected each of the director nominees to serve as directors during the ensuing year. The voting for the directors at the Annual Meeting was as follows:

 

Name

Votes For

Withhold Authority

Broker Non-Votes

       

Lloyd Hoffman

2,164,949

57,846

5,535,070

       

Donna Millar

2,153,383

69,412

5,535,070

       

John Ritota

2,148,445

74,350

5,535,070

       

Russell Manock

2,165,192

57,603

5,535,070

       

Danny Montgomery

2,158,870

63,925

5,535,070

       

David R. Garcia

2,143,759

79,036

5,535,070

       

James Buchan

2,140,516

82,279

5,535,070

 

Proposal 2 – Approval of the Alpha Pro Tech, Ltd. 2020 Omnibus Incentive Plan. The shareholders approved the Plan. The result of the vote taken at the Annual Meeting was as follows:

 

Votes For

Votes Against

Abstain

Broker Non-Votes

2,068,977

120,645

33,173

5,535,070

 

Proposal 3 – Ratification of the Appointment of Tanner LLC as the Company’s Independent Registered Public Accountants for the Year Ending December 31, 2020. The shareholders ratified the appointment of Tanner LLC as the Company’s independent registered public accountants for the year ending December 31, 2020. The result of the vote taken at the Annual Meeting was as follows:

 

Votes For

Votes Against

Abstain

7,057,546

482,440

217,879

 

 

 

Proposal 4 – Advisory Approval of Executive Compensation. The shareholders adopted a resolution approving, on an advisory basis, the compensation paid to the Company’s named executive officers, as disclosed in the Proxy Statement pursuant to the compensation disclosure rules of the Securities and Exchange Commission. The result of the vote taken at the Annual Meeting was as follows:

 

Votes For

Votes Against

Abstain

Broker Non-Votes

2,070,092

117,706

34,997

5,535,070

 

Item 9.01

Financial Statements and Exhibits.

 

(d)

Exhibits.

 

Exhibit No.  Exhibit
   
10.1  Alpha Pro Tech, Ltd. 2020 Omnibus Incentive Plan

    

 

 

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.

 

    ALPHA PRO TECH, LTD.
     
Date: June 15, 2020   By:  /s/ Colleen McDonald
   

Colleen McDonald

Chief Financial Officer

 

 

Dates Referenced Herein   and   Documents Incorporated by Reference

This ‘8-K’ Filing    Date    Other Filings
12/31/20
Filed on:6/15/20
For Period end:6/9/20DEF 14A
4/29/20DEF 14A,  DEFA14A
 List all Filings 


6 Subsequent Filings that Reference this Filing

  As Of               Filer                 Filing    For·On·As Docs:Size             Issuer                      Filing Agent

 3/13/24  Alpha Pro Tech Ltd.               10-K       12/31/23   95:9.4M                                   RDG Filings/FA
 3/16/23  Alpha Pro Tech Ltd.               10-K       12/31/22   92:7.6M                                   RDG Filings/FA
 3/11/22  Alpha Pro Tech Ltd.               10-K       12/31/21   86:5.5M                                   RDG Filings/FA
 3/10/21  Alpha Pro Tech Ltd.               10-K       12/31/20   87:5.2M                                   RDG Filings/FA
 9/28/20  Alpha Pro Tech Ltd.               S-8         9/28/20    4:233K                                   RDG Filings/FA
 8/06/20  Alpha Pro Tech Ltd.               10-Q        6/30/20   62:3.3M                                   RDG Filings/FA
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