Current Report — Form 8-K — Sect. 13 / 15(d) – SEA’34 Filing Table of Contents
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i210 East Grand Avenue, iSouth
San Francisco, iCaliforniai94080
(Address of principal executive offices including zip code)
Registrant’s telephone number, including area code: (i650)
i457-2700
(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):
i☐
Written
communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)
i☐
Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)
i☐
Pre-commencement
communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))
i☐
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
iCommon Stock, $0.001 par value per share
iALLO
iThe
Nasdaq Global Select 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 i☐
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.
On June 5, 2020, Allogene Therapeutics, Inc. (the "Company") held its 2020 Annual Meeting of Stockholders
(the "Annual Meeting"). As of April 21, 2020, the record date for the Annual Meeting, 125,310,920 shares of common stock were outstanding and entitled to vote at the Annual Meeting. A summary of the matters voted upon by stockholders at the Annual Meeting is set forth below.
Proposal 1. Election of Directors
The Company’s stockholders elected the three persons listed below as Class II Directors, each to serve until the Company’s 2023 Annual Meeting of Stockholders and until their respective successors are duly elected and qualified. The final voting results are as follows:
Votes
For
Votes Withheld
Broker Non-Votes
Deborah Messemer
92,482,906
4,305,268
6,721,735
Todd Sisitsky
92,498,417
4,289,757
6,721,735
Owen Witte, M.D.
92,137,788
4,650,386
6,721,735
Proposal
2. Approval, on an Advisory Basis, on the Frequency of Solicitation of Advisory Stockholder Approval of Executive Compensation
The Company’s stockholders approved, on an advisory basis, the frequency of every one year as the frequency preferred by stockholders for the solicitation of advisory stockholder approval of the compensation paid to the Company's named executive officers. The final voting results are as follows:
Votes
For 1 Year
Votes For 2 Years
Votes for 3 Years
Abstentions
95,406,161
16,363
12,148
1,353,502
Proposal 3. Ratification of the Selection of Independent Registered Public Accounting Firm
The
Company’s stockholders ratified the selection by the Audit Committee of the Company’s Board of Directors of Ernst & Young LLP as the Company’s independent registered public accounting firm for the fiscal year ending December 31, 2020. The final voting results are as follows:
Votes
For
Votes Against
Abstentions
Broker Non-Votes
103,463,830
41,328
4,751
—
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.
