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 20, 2020

United-Guardian, Inc.
(Exact Name of Registrant as Specified in Charter)

Delaware 001-10526 11-1719724
(State or Other Jurisdiction of Incorporation) (Commission File Number) (I.R.S. Employer Identification Number)

 

230 Marcus Boulevard, Hauppauge, New York 11788
(Address of Principal Executive Offices) (Zip Code)



(631) 273-0900

(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:

  [ ]   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 (17 CFR §230.405) or Rule 12b-2 of the Securities Exchange Act of 1934 (17 CFR §240.12b-2). 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. [   ]

 

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, $0.10 par value per share UG NASDAQ Global Market
 
 

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

United-Guardian Inc.

 

Annual Meeting of Stockholders

May 20, 2020

 

VOTING RESULTS

 

The 2020 Annual Meeting of Stockholders (the “Annual Meeting”) of the Company was held on May 20, 2020. The voting results for each of the proposals submitted to a vote of the stockholders of the Company at the Annual Meeting are set forth below.

 

Total shares voted: 4,295,952

 

Election of Directors: The Company’s stockholders elected the Board’s nominees as Directors of the Company by the following vote:

 

Name  Votes For  Votes Withheld  Broker Non-Votes
Robert S. Rubinger   2,559,129    477,865    1,258,958 
Kenneth H. Globus   2,608,354    428,640    1,258,958 
Lawrence F. Maietta   2,429,560    607,434    1,258,958 
Arthur M. Dresner   2,818,600    218,394    1,258,958 
Andrew A. Boccone   2,862,182    174,812    1,258,958 
S. Ari Papoulias   2,876,084    160,910    1,258,958 

 

Ratification of the appointment of Baker Tilly Virchow Krause LLP as the Independent Registered Public Accountants of the Company for the Fiscal Year Ending December 31, 2020.

 

The Company’s stockholders approved the proposal by the following vote:

 

Votes For  Votes Against  Abstentions  Broker Non-votes
 4,340,980    32,556    20,933    N/A 

 

Approval, on a nonbinding, advisory basis, to hold a vote every year on the compensation paid to the Company's named executive officers.

 

The Company’s stockholders approved the proposal by the following vote:

 

Votes For  Votes Against  Abstentions  Broker Non-votes
 2,891,270    140,978    4,746    1,258,958 

 

Approval, on an advisory basis, of the compensation of the Company’s named executive officers.

 

The Company’s stockholders approved the proposal by the following vote:

 

Votes For  Votes Against  Abstentions  Broker Non-votes
 2,956,309    68,821    11,864    1,258,958 

 

 


 

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.

  United-Guardian, Inc.
     
   
Date: May 22, 2020 By:  /s/ Ken Globus        
    Ken Globus
    President