UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM
CURRENT REPORT
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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 5.03 | Amendments to Articles of Incorporation or Bylaws. |
On June 2, 2021, the stockholders of Fate Therapeutics, Inc. (the “Company”) approved an amendment to the Company’s Amended and Restated Certificate of Incorporation to increase the number of authorized shares of the Company’s common stock, par value $0.001 per share (“Common Stock”), from 150,000,000 shares to 250,000,000 shares. A copy of the Certificate of Amendment to the Company’s Amended and Restated Certificate of Incorporation reflecting the foregoing amendment filed with the Secretary of State of the State of Delaware is attached hereto as Exhibit 3.1.
| Item 5.07 | Submission of Matters to a Vote of Security Holders. |
The following proposals were submitted to the stockholders at the 2021 Annual Meeting of Stockholders of the Company held on June 2, 2021:
(i) The election of three Class II Directors, as nominated by the Board of Directors, to hold office until the 2024 Annual Meeting of Stockholders or until their successors are duly elected and qualified;
(ii) The ratification of the appointment of Ernst & Young LLP as the independent registered public accounting firm of the Company for its fiscal year ending December 31, 2021;
(iii) A non-binding advisory vote to approve the compensation of the Company’s named executive officers as set forth in the Company’s Proxy Statement filed with the Securities and Exchange Commission on April 21, 2021 (the “Proxy Statement”); and
(iv) To amend and restate the Company’s Amended and Restated Certificate of Incorporation to increase the authorized number of shares of common stock from 150,000,000 to 250,000,000.
The proposals are described in detail in the Proxy Statement.
The number of shares of common stock entitled to vote at the annual meeting was 93,892,256. The number of shares of common stock present or represented by valid proxy at the annual meeting was 82,917,534. All matters submitted to a vote of the Company’s stockholders at the annual meeting were approved and all director nominees were elected.
The number of votes cast for and against and the number of abstentions and broker non-votes with respect to each matter voted upon are set forth below:
(a) Election of Class II Directors.
| Director Nominee |
Votes For | Votes Withheld | ||||||
| Robert Hershberg, M.D., Ph.D. |
75,572,471 | 1,592,200 | ||||||
| William H. Rastetter, Ph.D. |
73,277,660 | 3,887,011 | ||||||
| Michael Lee |
76,997,343 | 167,328 | ||||||
There were 5,752,863 broker non-votes regarding the election of directors.
(b) Ratification of Auditors.
Stockholders ratified the appointment of Ernst & Young LLP as the Company’s independent registered public accounting firm for the fiscal year ending December 31, 2021. The results of the voting included 82,787,306 votes for, 104,207 votes against, and 26,021 votes abstained.
There were zero broker non-votes regarding this proposal.
(c) Non-binding Advisory Vote on Compensation of Named Executive Officers.
| Votes For |
Votes Against |
Abstain | ||
| 75,621,321 |
1,509,267 |
34,083 |
There were 5,752,863 broker non-votes regarding this proposal.
(d) Amendment to the Company’s Amended and Restated Certificate of Incorporation.
| Votes For |
Votes Against |
Abstain | ||
| 80,381,995 |
2,442,376 |
93,163 |
There were zero broker non-votes regarding this proposal.
| Item 9.01 | Financial Statements and Exhibits |
(d) Exhibits.
| Exhibit |
Description | |
| 3.1 | Certificate of Amendment to Amended and Restated Certificate of Incorporation of Fate Therapeutics, Inc. | |
| 104 | Cover Page Interactive Data File (embedded within the Inline XBRL document). | |
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 7, 2021 | Fate Therapeutics, Inc. | |||||
| By: | /s/ J. Scott Wolchko | |||||
| J. Scott Wolchko | ||||||
| President and Chief Executive Officer | ||||||