Form 8-K - Current report
05 Julio 2023 - 9:45AM
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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): June 29, 2023
SOLUNA
HOLDINGS, INC.
(Exact
Name of Registrant as Specified in Charter)
Nevada
|
|
001-40261 |
|
14-1462255 |
(State
or Other Jurisdiction |
|
(Commission |
|
(IRS
Employer |
of
Incorporation) |
|
File
Number) |
|
Identification
No.) |
325
Washington Avenue Extension
Albany,
New York
12205
(Address
of Principal Executive Offices) (Zip Code)
(516)
216-9257
(Registrant’s
telephone number, including area code)
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
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, par value $0.001 per share |
|
SLNH |
|
The
Nasdaq Stock Market LLC |
9.0%
Series A Cumulative Perpetual Preferred Stock, par value $0.001 per share |
|
SLNHP |
|
The
Nasdaq Stock Market LLC |
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.
(a) |
2023
Annual Meeting of Stockholders |
The
Company held the 2023 Annual Meeting of Stockholders virtually via the internet on June 29, 2023, at 10:00 a.m., Eastern Time. As of
the record date for the meeting, the Company had 29,637,516
shares of the Company’s common stock outstanding, of which 18,530,664 shares
of the Company’s common stock were present in person or represented by proxy and entitled to vote, constituting a quorum.
As
previously described in in the Company’s Proxy Statement, the holder of record of the one outstanding share of the Company’s
Series X Preferred Stock was entitled to 50,000,000 votes, had the right to vote only on Proposal 3, and such votes were counted in the
same proportion as the shares of common stock voted on Proposal 3. Holders of the Company’s common stock were entitled to one vote
per share on each of the six proposals.
(b) |
Annual
Meeting Voting Results |
The
following is a brief description of the final voting results for each of the proposals submitted to a vote of the common stockholders
at the Annual Meeting. The Company describes these matters in more detail in the 2023 Annual Meeting Proxy Statement.
Proposal
No. 1: Election of Directors
| |
For | |
Withheld |
William Hazelip | |
11,410,213 | |
960,564 |
Thomas J. Marusak | |
11,724,823 | |
645,954 |
Michael Toporek | |
11,392,118 | |
978,659 |
Proposal
No. 2: Ratify UHY LLP as the Independent Registered Public Accountant
Votes For | |
Votes Against | |
Votes Abstained |
17,886,277 | |
410,853 | |
233,534 |
Proposal
No. 3: Approval to Effect a Reverse Stock Split of Common Stock
Votes
For |
|
Votes
Against |
|
Votes
Abstained |
61,877,432.00
|
|
5,723,302.00
|
|
919,930.00
|
Proposal
No. 4: Approval to Amend and Restate 2023 Stock Incentive Plan
Votes For | |
Votes Against | |
Votes Abstained |
9,687,886 | |
2,263,207 | |
419,684 |
Proposal
No. 5: Approve, by Non Binding Advisory Vote, Executive Compensation
Votes For | |
Votes Against | |
Votes Abstained |
10,746,978 | |
1,077,920 | |
545,879 |
Proposal
No. 6: Frequency of Future Non-Binding Proposals on Exec. Compensation
| |
3 Years | |
2 Years | |
1 Year | |
Abstain |
Total Shares Voted | |
9,038,062 | |
509,663 | |
2,631,582 | |
191,470 |
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.
Dated:
July 5, 2023
|
SOLUNA
HOLDINGS, INC. |
|
|
|
By: |
/s/
David Michaels |
|
Name: |
David
Michaels |
|
Title: |
Chief
Financial Officer |
v3.23.2
Cover
|
Jun. 29, 2023 |
Document Type |
8-K
|
Amendment Flag |
false
|
Document Period End Date |
Jun. 29, 2023
|
Entity File Number |
001-40261
|
Entity Registrant Name |
SOLUNA
HOLDINGS, INC.
|
Entity Central Index Key |
0000064463
|
Entity Tax Identification Number |
14-1462255
|
Entity Incorporation, State or Country Code |
NV
|
Entity Address, Address Line One |
325
Washington Avenue Extension
|
Entity Address, City or Town |
Albany
|
Entity Address, State or Province |
NY
|
Entity Address, Postal Zip Code |
12205
|
City Area Code |
(516)
|
Local Phone Number |
216-9257
|
Written Communications |
false
|
Soliciting Material |
false
|
Pre-commencement Tender Offer |
false
|
Pre-commencement Issuer Tender Offer |
false
|
Entity Emerging Growth Company |
false
|
Common stock, par value $0.001 per share |
|
Title of 12(b) Security |
Common
stock, par value $0.001 per share
|
Trading Symbol |
SLNH
|
Security Exchange Name |
NASDAQ
|
9.0% Series A Cumulative Perpetual Preferred Stock, par value $0.001 per share |
|
Title of 12(b) Security |
9.0%
Series A Cumulative Perpetual Preferred Stock, par value $0.001 per share
|
Trading Symbol |
SLNHP
|
Security Exchange Name |
NASDAQ
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