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):
(Exact name of registrant as specified in its charter)
| |
|
| ||
| (State or other jurisdiction of incorporation) |
(Commission File Number) |
(I.R.S. Employer Identification No.) |
(Address of Principal Executive Offices) (Zip Code)
Registrant’s telephone number, including area code
Not Applicable
(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 (see General Instruction A.2. below):
| |
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)) |
Securities registered pursuant to Section 12(b) of the Act:
| Title of Each Class |
Trading Symbols(s) |
Name of Each Exchange on Which Registered | ||
| |
|
|
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. |
The Company held a virtual Annual Meeting of Stockholders on June 16, 2020 online. The results of the matters voted on by the Company’s stockholders are set forth immediately below.
Proposal No. 1
To elect three Class II Directors to the Board to hold office for three-year terms expiring at the 2023 Annual Meeting of Stockholders or until their respective successors are duly elected and qualified or their earlier resignation or removal:
| Number of Votes |
||||||||||||
| Name of Nominee |
For |
Withheld |
Broker Non-Votes |
|||||||||
| Stephen Dilly |
40,805,461 |
148,571 |
9,844,860 |
|||||||||
| Alison Moore |
40,812,647 |
141,385 |
9,844,860 |
|||||||||
| Patrick Y. Yang |
40,473,136 |
480,896 |
9,844,860 |
|||||||||
Each of the nominees nominated in Proposal No. 1 was elected.
Proposal No. 2
To ratify the selection of BDO USA, LLP as the Company’s independent registered public accounting firm for the fiscal year ending December 31, 2020:
| Number of Votes | ||||
| For |
Against |
Abstain | ||
| 50,681,700 |
41,142 |
76,050 | ||
Proposal No. 2 was approved.
Proposal No. 3
To vote on a non-binding, advisory basis to approve the compensation of our named executive officers.
| Number of Votes | ||||||
| For |
Against |
Abstain |
Broker Non-Votes | |||
| 37,908,596 |
2,930,218 |
115,218 |
9,844,860 | |||
Proposal No. 3 was approved.
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.
Date: June 19, 2020
| CODEXIS, INC. | ||
| By: |
/s/ Ross Taylor | |
| Name: |
Ross Taylor | |
| Title: |
Senior Vice President and Chief Financial Officer | |