HART IQ Healthy Hearts ETF

 

 

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): July 19, 2023

 

BIOSTAGE, INC.

(Exact name of registrant as specified in its charter)

 

Delaware		001-35853		45-5210462
(State or other jurisdiction of incorporation)		(Commission File Number)		(IRS Employer Identification No.)

 

84 October Hill Road, Suite 11, Holliston, MA		01746
(Address of principal executive offices)		(Zip Code)

 

Registrant’s telephone number, including area code: (774) 233-7300

 

 

(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: None

 

Title of each class		Trading Symbol(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.

 

On July 19, 2023, Biostage, Inc., or the Company, held its Annual Meeting of Stockholders, or the Annual Meeting. At the Annual Meeting, the Company’s stockholders voted on the following proposals: (i) the election of two Director Nominees as a Class I Directors, each nominated by the Board of Directors of the Company for a three-year term, such term to continue until the annual meeting of stockholders in 2026 and until such Director’s successor is duly elected and qualified or until their earlier resignation or removal, (ii) the ratification of the appointment of Marcum LLP as the Company’s independent registered public accounting firm for the fiscal year ending December 31, 2023, (iii) the approval of the amendment to the Company’s Amended and Restated Equity Incentive Plan to increase the number of shares of common stock available for issuance pursuant thereto by 4,000,000 shares, and (iv) the non-binding approval of the compensation of the Company’s named executive officers. The voting results for the matters submitted to a stockholder vote at the Annual Meeting are reported below.

 

Proposal 1 - Election of Directors

 

On such election of directors proposal, each of Junli He and Dr. James Shmerling were elected as Class I Directors, each for a three-year term, such term to continue until the annual meeting of stockholders in 2026 and until such Director’s successor is duly elected and qualified or until their earlier resignation or removal. Due to the plurality election, votes could only be cast in favor of or withheld from the nominee and thus votes against were not applicable. The results of the election were as follows:

 

Name		Votes For		Votes Withheld		Broker Non-Votes
Junli He		10,377,115		9,690		1,382,382
James Shmerling		2,345,415		8,041,390		1,382,382

 

Proposal 2 – Ratification of the appointment of Marcum LLP as the Company’s independent registered public accounting firm for the fiscal year ending December 31, 2023

 

The ratification of the appointment of Marcum LLP as the Company’s independent registered public accounting firm was approved as follows:

 

Votes For		Votes Against		Votes Abstained		Broker Non-Votes
11,763,540		5,174		473		0

 

Proposal 3 – Approval of the amendment to the Company’s Amended and Restated Equity Incentive Plan

 

The amendment to the Company’s Amended and Restated Equity Incentive Plan was approved as follows:

 

Votes For		Votes Against		Votes Abstained		Broker Non-Votes
10,370,321		16,358		126		0

 

Proposal 4 – Approval, by Non-Binding Advisory Vote, of the Compensation of the Company’s Named Executive Officers

 

The compensation of the Company’s named executive officers was approved, by a non-binding advisory vote, as follows:

 

Votes For		Votes Against		Votes Abstained		Broker Non-Votes
10,184,823		12,603		189,379		0

 

 

SIGNATURE

 

Pursuant to the requirements of the Securities Exchange Act of 1934, as amended, the Registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.

 

		BIOSTAGE, INC.
		(Registrant)
July 19, 2023		/s/ Junli He
(Date)		Junli He
		Chief Executive Officer

 

v3.23.2

Cover	Jul. 19, 2023
Cover [Abstract]
Document Type	8-K
Amendment Flag	false
Document Period End Date	Jul. 19, 2023
Entity File Number	001-35853
Entity Registrant Name	Harvard Apparatus Regenerative Technology, Inc.
Entity Central Index Key	0001563665
Entity Tax Identification Number	45-5210462
Entity Incorporation, State or Country Code	DE
Entity Address, Address Line One	84 October Hill Road
Entity Address, Address Line Two	Suite 11
Entity Address, City or Town	Holliston
Entity Address, State or Province	MA
Entity Address, Postal Zip Code	01746
City Area Code	(774)
Local Phone Number	233-7300
Written Communications	false
Soliciting Material	false
Pre-commencement Tender Offer	false
Pre-commencement Issuer Tender Offer	false
Entity Emerging Growth Company	false

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