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 3, 2021

 


 

Aridis Pharmaceuticals, Inc.

(Exact name of registrant as specified in its charter)

 


 

Delaware

 

001-38630

 

47-2641188

(State or other jurisdiction of
incorporation)

 

(Commission File Number)

 

(I. R. S. Employer
Identification No.)

 

983 University Avenue, Bldg. B

Los Gatos, California 95032

(Address of principal executive offices, including ZIP code)

 

(408) 385-1742

(Registrant’s telephone number, including area code)

 

 

(Former name or former address, if changed since last report)

 

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

 

ARDS

 

Nasdaq Capital Market

 

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:

 

o            Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)

 

o            Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)

 

o            Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))

 

o            Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))

 

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   x

 

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.   o

 

 

 


 

Item 5.07.             Submission of Matters to a Vote of Security Holders

 

On June 3, 2021, Aridis Pharmaceuticals, Inc. (the “Company”) held its Annual Meeting of Stockholders (the “Annual Meeting”).  A total of 7,325,312 shares of common stock, constituting a quorum, were represented in person or by valid proxies at the Annual Meeting. The final results for each of the matters submitted to a vote of stockholders at the Annual Meeting, as set forth in the Definitive Proxy Statement, filed with the Securities and Exchange Commission on April 16, 2021 are as follows:

 

Proposal 1.  Eric Patzer and Vu Truong were each elected as a Class III director to serve until the 2024 Annual Meeting of Stockholders or until his respective successor has been duly elected and qualified, or until his earlier resignation, removal or death. The result of the vote to elect each of Dr. Patzer and Dr. Truong was as follows:

 

Directors

 

For

 

Against

 

Abstain

 

Broker Non Vote

 

Eric Patzer

 

3,804,796

 

0

 

39,742

 

3,480,774

 

Vu Truong

 

3,805,546

 

0

 

38,992

 

3,480,774

 

 

Proposal 2. The appointment of Mayer Hoffman McCann, PC as the Company’s independent registered public accounting firm for its fiscal year ended December 31, 2021 was ratified and approved by the stockholders by the votes set forth in the table below:

 

For

 

Against

 

Abstain

 

Broker Non Vote

 

7,230,165

 

66,064

 

29,083

 

0

 

 

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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.

 

 

Date: June 3, 2021

ARIDIS PHARMACEUTICALS, INC.

 

 

 

/s/ Vu Truong

 

Vu Truong

 

Chief Executive Officer

 

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