Current Report Filing (8-k)
July 31 2020 - 6:08AM
Edgar (US Regulatory)
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):
July 30, 2020
Hepion Pharmaceuticals,
Inc.
(Exact name of registrant as specified in
its charter)
Delaware
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000-55020
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46-2783806
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(State or other jurisdiction
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(Commission
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IRS Employer
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of incorporation or organization)
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File Number)
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Identification No.)
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399 Thornall Street, First Floor
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Edison, NJ 08837
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(Address of principal executive offices)
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Registrant’s telephone number, including
area code: (732) 902-4000
(Former name or former address, if changed
since last report)
Securities registered pursuant to Section 12(b) of
the Act:
Title of each class:
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Trading Symbol(s)
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Name of each exchange on which registered:
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Common Stock
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HEPA
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Nasdaq Capital Market
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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 communication
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))
Item 5.07. Submission
of Matters to a Vote of Security Holders.
On July 30, 2020, the
Company held its 2020 Annual Meeting of Stockholders (the “Meeting”).
As of June 12, 2020,
the record date for the Meeting, there were 9,028,245 shares
of our common stock outstanding (including 3,184 shares of common stock issuable upon conversion of the Series A Preferred
Stock).
At the Meeting, the
stockholders voted on the following six proposals and cast their votes as follows:
1. To elect the six (6) persons named herein
as nominees for directors of the Company, to hold office until the next annual meeting of stockholders and until their respective
successors have been duly elected and qualified including Gary S. Jacob, Robert Foster, John P. Brancaccio, Timothy Block, Thomas
Adams and Arnold Lippa.
Name
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Votes For
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Votes Against
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Votes Abstained
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Gary S. Jacob
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1,445,856
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0
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41,701
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Robert Foster
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1,457,547
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0
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30,010
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John P. Brancaccio
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1,420,645
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0
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66,912
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Timothy Block
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1,437,065
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0
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50,492
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Thomas Adams
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1,419,787
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0
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67,770
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Arnold Lippa
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1,420,712
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0
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66,845
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2. To approve an amendment to the Company’s
2013 Equity Incentive Plan to increase the number of shares of common stock authorized for issuance thereunder to 2,500,000 from
40,536.
Votes For
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Votes Against
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Votes Abstained
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894,295
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350,598
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242,664
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3. To ratify the appointment of BDO USA,
LLP as the Company’s independent auditors for the fiscal year ending December 31, 2020.
Votes For
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Votes Against
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Votes Abstained
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5,725,410
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62,441
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90,692
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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.
Dated: July 30, 2020
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HEPION PHARMACEUTICALS, INC.
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By:
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/s/ Robert Foster
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Robert Foster
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Chief Executive Officer
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Hepion Pharmaceuticals (PK) (USOTC:CTRVP)
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