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): May 15, 2019
APTEVO THERAPEUTICS INC.
(Exact Name of Registrant as Specified in its Charter)
| Delaware | 001-37746 | 81-1567056 | ||
| (State or Other Juris- diction of Incorporation |
(Commission File Number) |
(IRS Employer Identification No.) |
| 2401 4th Avenue, Suite 1050 Seattle, Washington |
98121 | |
| (Address of Principal Executive Offices) | (Zip Code) |
Registrant’s telephone number, including area code: (206) 838-0500
Not Applicable
(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:
| ☐ | 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, $0.001 par value | APVO | The Nasdaq Stock Market LLC |
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. |
On May 15, 2019, at the 2019 Annual Meeting of Stockholders of Aptevo Therapeutics Inc. (the “Company”), the Company’s stockholders voted on two 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 5, 2019. The following is a brief description of each matter voted upon and the certified voting results.
Proposal No. 1. Stockholders elected each of the two nominees for director to serve until the Company’s 2022 Annual Meeting of Stockholders and until his respective successor has been duly elected and qualified. The final voting results were as follows:
| Director Name |
Votes For |
Votes Withheld |
Broker Non-Votes | |||
| Fuad El-Hibri |
13,852,831 | 6,469,385 | 14,819,353 | |||
| John E. Niederhuber, M.D. |
13,873,336 | 6,448,880 | 14,819,353 | |||
| Marvin L. White |
13,861,570 | 6,460,646 | 14,819,353 |
Proposal No. 2. 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, 2019. The final voting results were as follows:
| Votes For |
Votes Against |
Abstentions |
Broker Non-Votes | |||
| 34,852,250 | 211,021 | 78,298 | N/A |
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.
| APTEVO THERAPEUTICS INC. | ||||||
| Date: May 17, 2019 | By: | /s/ Shawnte Mitchell | ||||
| Shawnte Mitchell, Secretary, Senior Vice President and General Counsel | ||||||