UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
____________________________________________________________
FORM
CURRENT REPORT
Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934
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ITEM 5.07 | SUBMISSION OF MATTERS TO A VOTE OF SECURITY HOLDERS |
On April 26, 2023, Alzamend Neuro, Inc. (the “Company”) convened its 2023 Annual Meeting of Stockholders (the “Annual Meeting”). As of the close of business on March 31, 2023, the record date for the Annual Meeting, 96,940,124 shares of common stock of the Company were issued and outstanding and entitled to vote at the Annual Meeting. At the Annual Meeting, the stockholders voted on four proposals, each of which is described in more detail in the Company’s definitive proxy statement on Schedule 14A filed with the U.S. Securities and Exchange Commission on March 31, 2023 (the “Proxy Statement”). The results of each matter voted upon are as follows:
Proposal One: Election of Directors. The shareholders elected the following individuals to the Company’s Board of Directors, to serve until the close of the Company’s 2024 Annual Meeting of Shareholders, their successors are duly elected or appointed, or such director’s earlier resignation or removal:
For | Against | Abstain | Broker Non-Votes | |||||
William B. Horne | 48,331,149 | 1,608,194 | 101,645 | 0 | ||||
Stephan Jackman | 48,764,875 | 932,276 | 343,837 | 0 | ||||
Henry C.W. Nisser | 48,356,036 | 1,331,634 | 353,318 | 0 | ||||
Mark Gustafson | 49,173,713 | 519,189 | 348,086 | 0 | ||||
Lynne F. McGrath | 48,800,233 | 890,218 | 350,537 | 0 | ||||
Andrew H. Woo | 49,165,224 | 527,277 | 348,487 | 0 | ||||
Jeffrey Oram | 46,688,974 | 2,996,276 | 355,738 | 0 |
Proposal No. 2: Advisory Vote on Executive Compensation. The shareholders approved, on a non-binding advisory basis, the compensation of the Company’s Named Executive Officers as disclosed in the executive compensation tables contained in the Proxy Statement.
For | Against | Abstain | Broker Non-Votes | ||||
48,354,282 | 1,332,190 | 354,516 | 0 |
Proposal No. 3: Advisory Vote on Frequency of Future Advisory Votes on Named Executive Officer Compensation. The stockholders approved, on a non-binding advisory basis, the frequency of the stockholder vote to approve the compensation of the Company’s Named Executive Officers as described in the Proxy Statement as follows:
3 Years | 2 Years | 1 Year | Abstain | Broker Non-Votes | |||||
39,734,366 | 712,873 | 9,530,011 | 63,738 | 0 |
In light of the voting results with respect to the stockholders’ advisory vote on the frequency of future advisory votes on the compensation of the Company’s Named Executive Officers (the “say-on-frequency proposal”), and in accordance with the recommendation of the Company’s Board of Directors, the Company will hold future advisory votes on the compensation of the Company’s Named Executive Officers every three years until the next stockholders advisory vote on the say-on-frequency proposal.
Proposal No. 4: Ratification of the Independent Registered Public Accounting Firm. The stockholders ratified the selection of Baker Tilly US, LLP as the Company’s independent registered public accounting firm for the fiscal year ending April 30, 2023.
For | Against | Abstain | Broker Non-Votes | ||||
49,628,290 | 331,775 | 80,923 | 0 |
ITEM 9.01 | FINANCIAL STATEMENTS AND EXHIBITS |
(d) | Exhibits: |
Exhibit No. | Description | |
101 | Pursuant to Rule 406 of Regulation S-T, the cover page is formatted in Inline XBRL (Inline eXtensible Business Reporting Language). | |
104 | Cover Page Interactive Data File (embedded within the Inline XBRL document and included in Exhibit 101). |
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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.
ALZAMEND NEURO, INC. | ||
Dated: April 26, 2023 | /s/ David J. Katzoff | |
David J. Katzoff Chief Financial Officer |
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