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): August 20, 2020
Tyme Technologies, Inc.
(Exact name of registrant as specified in its charter)
| Delaware | 001-38169 | 45-3864597 | ||
| (State or other jurisdiction of incorporation) |
(Commission File Number) |
(IRS Employer Identification No.) |
1 Pluckemin Way, Suite 103
Bedminster, New Jersey 07921
(Address of principal executive offices, including zip code)
(212) 461-2315
(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 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, $0.0001 par value | TYME | Nasdaq Capital Market |
Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1934 (§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. ☐
Introductory Comment – Use of Terminology
Throughout this Current Report on Form 8-K, the terms “the Company,” “we” and “our” refer to Tyme Technologies, Inc., a Delaware corporation, together with its subsidiaries (“TYME”).
Item 5.07. Submission of Matters to a Vote of Security Holders.
On August 20, 2020, TYME held its 2020 Annual General Meeting of Stockholders at which the Company’s stockholders voted on the following matters:
1. Proposal 1—Election of three Class III directors of the Company:
| Nominee | For | Withheld | Broker Non-Votes |
|||||||||
| David Carberry |
42,669,094 | 29,072,776 | 16,755,269 | |||||||||
| Douglas A. Michels |
62,869,050 | 8,872,820 | 16,755,269 | |||||||||
| Paul L. Sturman |
35,934,589 | 35,807,281 | 16,755,269 | |||||||||
2. Proposal 2—Advisory, non-binding vote to approve executive compensation:
| For | Against | Abstain | Broker Non-Votes | |||
| 65,738,414 |
5,915,136 | 88,320 | 16,755,269 |
3. Proposal 3—Ratification of the appointment of Grant Thornton LLP as the Company’s independent registered public accounting firm for the year ending March 31, 2021:
| For | Against | Abstain | ||
| 88,178,114 |
157,208 | 161,817 |
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.
| Tyme Technologies, Inc. | ||||||
| Dated: August 20, 2020 | By: | /s/ Ben R. Taylor | ||||
| Ben R. Taylor, President and Chief Financial Officer | ||||||