UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
FORM
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 11, 2024 ( |
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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:
Securities registered pursuant to Section 12(b) of the Act:
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Trading |
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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 5.07 Submission of Matters to a Vote of Security Holders.
On June 7, 2024, Adaptive Biotechnologies Corporation (the "Company") held its annual meeting of shareholders (the "Annual Meeting") pursuant to notice duly given. Three proposals were presented for voting: Proposal 1: election of two Class II directors to the Board of Directors (Peter Neupert and Michelle Griffin); Proposal 2: an advisory request concerning compensation for the Company's 2023 named executive officers; and, Proposal 3: ratification of Ernst & Young LLP as the Company's independent registered public accounting firm for the year ending December 31, 2024. Each of the proposals was described in detail in the Company’s definitive proxy statement on Schedule 14A filed with the U.S. Securities and Exchange Commission on April 26, 2024. A quorum of the shareholders voted by the conclusion of the Annual Meeting. The final results of the voting are set forth below.
Proposal 1: Election of Class II Directors
Peter Neupert |
Votes Submitted |
As % of Proposal Votes |
Broker Non Vote |
For |
82,704,811 |
69.15 % |
14,893,022 |
Against |
- |
- |
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Withhold/Abstain |
36,895,764 |
30.85 % |
Michelle Griffin |
Votes Submitted |
As % of Proposal Votes |
Broker Non Vote |
For |
99,854,001 |
82.93 % |
14,080,001 |
Against |
- |
- |
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Withhold/Abstain |
20,559,595 |
17.07 % |
Proposal 2: Advisory Vote Concerning the 2023 Compensation of the Company's Named Executive Officers
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Votes Submitted |
As % of Proposal Votes |
Broker Non Vote |
For |
103,594,016 |
86.00 % |
14,033,887 |
Against |
15,410,744 |
12.79 % |
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Withhold/Abstain |
1,454,950 |
1.21 % |
Proposal 3: Ramification of Ernst & Young LLP as the Company's Independent Registered Public Accounting Firm for the Year Ending December 31, 2024
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Votes Submitted |
As % of Proposal Votes |
Broker Non Vote |
For |
133,954,711 |
99.60 % |
0 |
Against |
339,767 |
0.25 % |
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Withhold/Abstain |
199,119 |
0.15 % |
Item 8.01 Other Events.
On June 10, 2024, NASDAQ notified the Company that it is in compliance with Listing Rule 5605(c)(2) (the “Rule”). Specifically, the Company’s appointment of Peter Neupert to its audit committee in July of 2023 resolved the deficiency under the Rule previously noted following the departure of former Company director Leslie Trigg.
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.
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Adaptive Biotechnologies Corporation |
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Date: |
June 11, 2024 |
By: |
/s/ Kyle Piskel |
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Kyle Piskel |