POTBELLY CORP false 0001195734 0001195734 2021-05-20 2021-05-20

 

 

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 20, 2021

 

 

Potbelly Corporation

(Exact Name of Registrant as Specified in its Charter)

 

 

 

Delaware   001-36104   36-4466837

(State or Other Jurisdiction

of Incorporation)

  (Commission
File Number)
 

(IRS Employer

Identification No.)

 

111 N. Canal Street, Suite 325

Chicago, Illinois

  60606
(Address of Principal Executive Offices)   (Zip Code)

Registrant’s telephone number, including area code: (312) 951-0600

(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, $0.01 par value   PBPB  

The NASDAQ Stock Market LLC

(Nasdaq Global Select Market)

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 20, 2021, Potbelly Corporation (the “Company”) held its 2021 Annual Meeting of Stockholders (the “Annual Meeting”), at which the Company’s stockholders voted on the (i) election of nine director nominees (Proposal 1), (ii) ratification of the appointment of Deloitte & Touche LLP as the Company’s independent registered public accounting firm for the fiscal year ending December 26, 2021 (Proposal 2) and (iii) approval, on an advisory basis, of the compensation of the Company’s named executive officers (Proposal 3). The results of the votes are set forth below.

Proposal 1

The Company’s stockholders voted in favor of the election of the following director nominees to the Board of Directors of the Company for a term of one year or until his or her successor is duly elected or appointed and qualified.

 

     Votes For    Votes Withheld    Broker Non-Votes

Vann Avedisian

   16,171,974    98,321    3,950,167

Joseph Boehm

   14,645,713    1,624,582    3,950,167

Adrian Butler

   16,221,915    48,380    3,950,167

Marla Gottschalk

   14,937,496    1,332,799    3,950,167

David Head

   16,099,341    170,954    3,950,167

David Near

   16,222,751    47,544    3,950,167

Benjamin Rosenzweig

   16,169,236    101,059    3,950,167

Todd Smith

   16,063,352    206,943    3,950,167

Robert D. Wright

   16,224,318    45,977    3,950,167

Proposal 2

The Company’s stockholders approved the ratification of the appointment of Deloitte & Touche LLP as the Company’s independent registered public accounting firm for the fiscal year ending December 26, 2021.

 

Votes For    Votes Against    Abstentions    Broker Non-Votes
20,056,192    157,651    6,619   

Proposal 3

The Company’s stockholders approved, on an advisory basis, the compensation of the Company’s named executive officers.

 

Votes For    Votes Against    Abstentions    Broker Non-Votes
15,994,547    268,218    7,530    3,950,167


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.

 

POTBELLY CORPORATION
By:  

/s/ Steve Cirulis

Name:   Steve Cirulis
Title:   Senior Vice President, Chief Financial Officer
and Chief Strategy Officer

Date: May 21, 2021