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(Address of principal executive offices, including zip code)
(i510)
i748-3200
(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 obligations of the registrant under any of the following provisions:
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
Name of each exchange on which registered
iCommon Stock, Par value $0.001 per share
iPEN
iThe
New York Stock Exchange
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.
(a)Penumbra,
Inc. (“Penumbra” or the “Company”) held its Annual Meeting of Stockholders on May 31, 2023 (the “Annual Meeting”). Proxies for the Annual Meeting were solicited pursuant to Regulation 14A of the Securities Exchange Act of 1934, as amended. At the close of business on April 6, 2023, the record date for the Annual Meeting, there were 38,242,700 shares of the Company’s common stock, par value $0.001 per share, outstanding and entitled to vote, and 35,222,499 of such shares were voted in person or by proxy at the Annual Meeting on the proposals described below.
(b)At the Annual Meeting, Penumbra’s stockholders voted on the following four proposals, each of which
is described in more detail in the Company’s Definitive Proxy Statement on Schedule 14A filed with the Securities and Exchange Commission on April 19, 2023. The number of votes cast with respect to each proposal was as indicated below:
1)
Election of Class II Directors. The following nominees were elected to serve as Class II directors until
the Company’s 2026 annual meeting of stockholders and until their respective successors are duly elected and qualified, or, if sooner, until the director’s death, resignation or removal, based on the following results of voting:
Nominee
Votes For
Votes Withheld
Broker Non-Votes
Arani
Bose, M.D.
29,803,749
1,117,192
4,301,558
Bridget O'Rourke
25,870,311
5,050,630
4,301,558
Surbhi Sarna
26,148,112
4,772,829
4,301,558
2)
Ratification
of Selection of Independent Registered Public Accounting Firm. The selection of Deloitte & Touche LLP as the independent registered public accounting firm for Penumbra for the fiscal year ending December 31, 2023 was ratified based on the following results of voting:
Votes For
Votes Against
Abstentions
Broker
Non-Votes
35,135,454
79,089
7,956
N/A
3)
Approval, on an Advisory Basis, of the Compensation of the Company’s Named Executive Officers. The compensation of the Company’s named executive officers was
approved, on an advisory basis, based on the following results of voting:
Votes For
Votes Against
Abstentions
Broker Non-Votes
26,815,488
4,084,213
21,240
4,301,558
4)
Approval,
on an Advisory Basis, of the Frequency of Future Advisory Votes on the Company’s Named Executive Officer Compensation. The annual frequency of future advisory votes on the compensation of the Company’s named executive officers was approved, on an advisory basis, based on the following results of voting:
One
Year
Two Years
Three Years
Abstentions
Broker Non-Votes
30,831,408
16,852
63,352
9,329
4,301,558
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.
