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EX-3.1 - EX-3.1 - REPLIGEN CORPd363890dex31.htm

 

 

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): May 18, 2017

 

 

Repligen Corporation

(Exact name of registrant as specified in its charter)

 

 

 

Delaware   000-14656   04-2729386

(State or Other Jurisdiction

of Incorporation)

 

(Commission

File Number)

 

(IRS Employer

Identification No.)

41 Seyon Street, Bldg. 1, Suite 100, Waltham, MA 02453

(Address of Principal Executive Offices) (Zip Code)

(781) 250-0111

(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)

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; Change in Fiscal Year.

As described below, effective as of May 18, 2017, stockholders of the Repligen Corporation (the “Company”) approved an amendment to Article I, Section 6 of the Amended and Restated By-laws of the Company to adopt majority voting in uncontested director election, Article I, Section 10 to adopt advance notice procedures for director nominations and stockholder proposals and Article VII to permit the board of directors to amend the By-laws. Effective as of the same date, the Board of Directors of the Company (the “Board”) amended Article I, Section 4 and Section 6 to define certain terms and clarify notice provisions, respectively. The Company’s Second Amended and Restated By-laws is attached hereto as Exhibit 3.1, incorporated herein by reference.

 

Item 5.07. Submission of Matters to a Vote of Security Holders.

The 2017 Annual Meeting of Stockholders (the “Annual Meeting”) of the Company was held on May 18, 2017. Proxies were solicited pursuant to the Company’s proxy statement filed on April 21, 2017, with the Securities and Exchange Commission under Section 14(a) of the Securities Exchange Act of 1934, as amended.

The number of shares of the Company’s common stock, $0.01 par value per share (“Common Stock”), entitled to vote at the Annual Meeting was 34,076,544. The number of shares of Common Stock present or represented by valid proxy at the Annual Meeting was 31,952,897, representing 93.76% of the total number of shares of Common Stock entitled to vote at the Annual Meeting. Each share of Common Stock was entitled to one vote with respect to matters submitted to the Company’s stockholders at the Annual Meeting.

At the Annual Meeting, the Company’s stockholders were asked (i) to elect the Company’s Board of Directors, (ii) to ratify the appointment of Ernst & Young LLP as the Company’s independent registered public accounting firm for the fiscal year ending December 31, 2017, (iii) to vote to approve, on an advisory basis, the compensation paid to the Company’s named executive officers, (iv) to vote, on an advisory basis, on the frequency of future advisory votes on the compensation of the Company’s named executive officers, (v) to approve an amendment to the Company’s By-laws to adopt majority voting in uncontested director elections, (vi) to approve an amendment to the Company’s By-laws to adopt advance notice procedures for director nominations and stockholder proposals and (vii) to approve an amendment to the Company’s By-laws to permit the board of directors to amend the By-laws.

The voting results reported below are final.

Proposal 1 Election of the Board of Directors

Nicolas M. Barthelemy, Glenn L. Cooper, John G. Cox, Karen A. Dawes, Tony J. Hunt, Glenn P. Muir, and Thomas F. Ryan, Jr. were duly elected as the Company’s Board of Directors. The results of the election were as follows:

 

NOMINEE

   FOR      % FOR     WITHHELD      % WITHHELD     BROKER
NON-VOTES
 

Nicolas M. Barthelemy

     27,413,229        99.22     214,192        0.78     4,325,476  

Glenn L. Cooper

     27,420,520        99.25     206,901        0.75     4,325,476  

John G. Cox

     27,425,348        99.27     202,073        0.73     4,325,476  

Karen A. Dawes

     27,279,755        98.74     347,666        1.26     4,325,476  

Glenn P. Muir

     27,424,276        99.26     203,145        0.74     4,325,476  

Tony J. Hunt

     27,496,155        99.52     131,266        0.48     4,325,476  

Thomas F. Ryan, Jr.

     27,274,482        98.72     352,939        1.28     4,325,476  

Proposal 2 – Ratify the Appointment of Independent Registered Public Accounting Firm

The appointment of Ernst & Young LLP as the Company’s independent registered public accounting firm for the fiscal year ending December 31, 2017 was ratified. The results of the ratification were as follows:


     FOR     AGAINST     ABSTAIN     BROKER
NON-VOTES
 

NUMBER

     31,684,913       241,005       26,979    

PERCENTAGE OF VOTED

     99.16     0.75     0.08  

Proposal 3 – Advisory Vote on Compensation of the Named Executive Officers

The compensation paid to the Company’s named executive officers was approved on an advisory basis. The results of the vote were as follows:

 

     FOR     AGAINST     ABSTAIN     BROKER
NON-VOTES
 

NUMBER

     26,444,798       1,153,666       28,957       4,325,476  

PERCENTAGE OF VOTED

     95.71     4.17     0.10  

Proposal 4 – Advisory Vote on the Frequency of Future Advisory Votes on the Compensation of the Company’s Named Executive Officers

The frequency of the advisory vote on executive compensation was approved on an advisory basis. The results of the vote were as follows:

 

     1 YEAR     2 YEARS     3 YEARS     ABSTAIN  

NUMBER

     24,078,211       26,533       3,494,835       27,842  

PERCENTAGE OF VOTED

     87.15     0.09     12.64     0.10

Based on the votes set forth above, the Company’s stockholders approved, on a non-binding, advisory basis, a frequency of 1 year for the non-binding, advisory vote on the compensation of the Company’s named executive officers. The Board considered the voting results with respect to the frequency proposal and other factors, and the Board currently intends for the Company to hold a non-binding, advisory vote on the compensation of the Company’s named executive officers every year until the next required advisory vote on the frequency of holding the non-binding, advisory vote on the compensation of the Company’s named executive officers.

Proposal 5 – Amendment to the Company’s By-laws to Adopt Majority Voting in Uncontested Director Elections

The amendment to the Company’s By-laws to adopt majority voting in uncontested director elections was approved. The results of the vote were as follows:

 

     FOR     AGAINST     ABSTAIN     BROKER
NON-VOTES
 

NUMBER

     27,553,101       49,755       24,565       4,325,476  

PERCENTAGE OF VOTED

     99.73     0.18     0.08  

Proposal 6 – Amendment to the Company’s By-laws to Adopt Advance Notice Procedures for Director Nominations and Stockholder Proposals


The amendment to the Company’s By-laws to adopt advance notice procedures for director nominations and stockholder proposals was approved. The results of the vote were as follows:

 

     FOR     AGAINST     ABSTAIN     BROKER
NON-VOTES
 

NUMBER

     22,519,798       5,075,829       31,794       4,325,476  

PERCENTAGE OF VOTED

     81.51     18.37     0.11  

Proposal 7 – Amendment to the Company’s By-laws to Permit the Board of Directors to Amend the By-laws

The amendment to the Company’s By-laws to permit the board of directors to amend the By-laws was approved. The results of the vote were as follows:

 

     FOR     AGAINST     ABSTAIN     BROKER
NON-VOTES
 

NUMBER

     23,295,598       4,291,631       40,192       4,325,476  

PERCENTAGE OF VOTED

     84.32     15.53     0.14  

 

Item 9.01. Financial Statements and Exhibits

 

(d) Exhibits

 

  3.1 Second Amended and Restated By-laws


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.

 

      REPLIGEN CORPORATION
Date: May 23, 2017     By:  

/s/ Tony J. Hunt

        Tony J. Hunt
        President and Chief Executive Officer


EXHIBIT INDEX

 

Exhibit

Number

  

Description

3.1    Second Amended and Restated By-laws