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UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

WASHINGTON, DC 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 4, 2024

 

 

 

TFF PHARMACEUTICALS, INC.

(Exact Name of Registrant as Specified in Its Charter)

 

 

 

Delaware   001-39102   82-4344737
(State or Other Jurisdiction
of Incorporation)		   (Commission File Number)   (I.R.S. Employer
Identification Number)

  

1751 River Run, Suite 400

Fort Worth, Texas 76107

(Address of principal executive offices)

 

(817) 438-6168

(Registrant’s telephone number, including area code)

  

(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 obligations 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 240.14d-2(b)
  
☐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)

 

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. ☐

 

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: Par value $.001   TFFP   Nasdaq Capital Market

 

 

 

 

 

 

 

Item 5.07 Submission of Matters to a Vote of Security Holders

 

On June 4, 2024, TFF Pharmaceuticals, Inc. held its 2024 Annual Meeting of Stockholders, for the purposes of:

 

●Electing seven (7) directors, each to serve until our 2025 Annual Meeting of Stockholders;
   
●Approving an amendment to our 2021 Stock Incentive Plan to increase the number of shares reserved under the plan; and
   
●Ratifying the appointment of Marcum LLP as our independent registered public accounting firm for the fiscal year ending December 31, 2024.

 

All of the persons nominated to serve on our board of directors, namely Harlan Weisman, M.D., Brandi Roberts, Robert S. Mills, Stephen C. Rocamboli, Catherine Lee, Michael Patane, Ph.D. and Thomas B. King, were elected to our board of directors, with shares voted as follows:

 

Name  For   Withheld  

Broker

Non-Votes

 
Harlan Weisman   983,540    23,309    448,361 
Brandi Roberts   969,004    37,845    448,361 
Robert S. Mills   892,721    114,128    448,361 
Stephen C. Rocamboli   891,799    115,050    448,361 
Catherine Lee   970,401    36,448    448,361 
Michael Patane, Ph.D.   961,243    45,606    448,361 
Thomas B. King   963,896    42,953    448,361 

 

In addition, our shareholders approved an amendment to our 2021 Stock Incentive Plan, with shares voted as follows:

 

For   821,962 
Against   168,284 
Abstain   16,603 

 

There were 448,361 broker non-votes on the approval the amendment to our 2021 Stock Incentive Plan.

 

In addition, our shareholders ratified the appointment of Marcum LLP as our independent registered public accounting firm for the fiscal year ending December 31, 2024, with shares voted as follows:

 

For   1,430,941 
Against   17,616 
Abstain   6,653 

 

There were no broker non-votes on the ratification of our independent registered public accounting firm.

 

1

 

 

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.

 

 

 TFF PHARMACEUTICALS, INC.
   
Dated: June 7, 2024 /s/ Kirk Coleman
  Kirk Coleman,
  Chief Financial Officer

 

 

2

 

 

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Jun. 04, 2024
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Entity File Number 001-39102
Entity Registrant Name TFF PHARMACEUTICALS, INC.
Entity Central Index Key 0001733413
Entity Tax Identification Number 82-4344737
Entity Incorporation, State or Country Code DE
Entity Address, Address Line One 1751 River Run
Entity Address, Address Line Two Suite 400
Entity Address, City or Town Fort Worth
Entity Address, State or Province TX
Entity Address, Postal Zip Code 76107
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Title of 12(b) Security Common stock: Par value $.001
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