UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, DC 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):
December 10, 2019
ARMATA
PHARMACEUTICALS, INC.
(Exact name of Registrant as specified in
its charter)
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Washington
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001-37544
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91-1549568
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(State or other jurisdiction of incorporation)
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(Commission File Number)
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(IRS Employer Identification No.)
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4503 Glencoe Avenue
Marina del Rey, California
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90292
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(Address of principal executive offices)
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(Zip Code)
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(310) 665-2928
(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:
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¨
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Written communications
pursuant to Rule 425 under the Securities Act (17 CFR 230.425)
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¨
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Soliciting material pursuant
to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)
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¨
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Pre-commencement communications
pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))
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¨
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Pre-commencement communications
pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))
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Securities registered pursuant to Section 12(b) of
the Act:
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Title of Each Class
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Trading Symbol(s)
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Name of Each Exchange on Which Registered
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Common Stock
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ARMP
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NYSE American
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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 x
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. x
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Item 5.03
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Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year.
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As discussed in Item 5.07, on December 10, 2019, Armata Pharmaceuticals,
Inc. (the “Company”) held its 2019 Annual Meeting of Shareholders (the “Annual Meeting”).
At the Annual Meeting, the Company’s shareholders voted to approve an amendment (the “Declassification Amendment”)
to the Company’s Amended and Restated Articles of Incorporation, as amended (the “Articles”), to declassify
the Board of Directors (the “Board”) and provide for annual election of all directors, beginning with the Annual
Meeting. Immediately following such vote, on December 10, 2019, the Company filed the Articles of Amendment to the Articles with
the Secretary of State of the State of Washington to effect the Declassification Amendment and provide for annual election of all
directors, effective immediately.
In connection with the Declassification Amendment proposal,
the Board had previously contingently adopted an amendment to the Amended and Restated Bylaws (the “Bylaws”),
to declassify the Board, which became effective upon the filing of the Articles of Amendment to effect the Declassification Amendment
with the Secretary of State of the State of Washington.
Copies of the Articles of Amendment to the Articles and the
amendment to the Bylaws are attached hereto as Exhibit 3.1 and Exhibit 3.2, respectively, and are incorporated herein by reference.
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Item 5.07
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Submission of Matters to a Vote of Security Holders.
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The Company held its Annual Meeting on December 10, 2019, at
11:00 a.m. local time at the Company’s headquarters in Marina del Rey, California. As described in the proxy statement for
the Annual Meeting, the following occurred:
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The Declassification Amendment to the Articles to declassify the Board and provide for annual election of directors was approved;
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Eight nominees for director were elected to serve one-year terms; and
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·
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The Audit Committee’s selection of Ernst & Young LLP as the Company’s independent registered public accounting
firm for the fiscal year ending December 31, 2019 was ratified.
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The voting results for each proposal were as follows:
Proposal 1 — Approval of the Declassification Amendment
to the Articles:
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Votes For
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Votes Against
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Abstentions
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Broker Non-Votes
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7,406,594
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1,060
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2,573
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1,229,993
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Proposal 2 – Election of Directors:
Following the approval of Proposal 1, as described above, and
the filing of the Articles of Amendment to effect the Declassification Amendment with the Secretary of State of the State of Washington,
all of the Company’s directors were elected for a one-year term expiring at the 2020 Annual Meeting of Shareholders.
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Votes For
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Votes Withheld
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Broker Non-Votes
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Richard J. Bastiani, Ph.D.
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7,405,197
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5,030
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1,229,993
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Richard Bear
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7,401,735
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8,492
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1,229,993
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Jeremy Curnock Cook
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7,181,524
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228,703
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1,229,993
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H. Stewart Parker
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7,399,426
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10,801
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1,229,993
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Todd R. Patrick
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7,405,154
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5,073
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1,229,993
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Joseph M. Patti, Ph.D.
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7,402,021
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8,206
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1,229,993
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Michael S. Perry, D.V.M., Ph.D.
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7,156,433
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253,794
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1,229,993
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Todd C. Peterson, Ph.D.
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7,401,884
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8,343
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1,229,993
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Proposal 3 — Ratification of Selection of Ernst &
Young LLP as the Independent Registered Public Accounting Firm:
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Vote For
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Votes Against
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Abstentions
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Broker Non-Votes
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8,613,435
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3,961
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22,824
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0
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Item 9.01
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Financial Statements and Exhibits.
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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.
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Date: December 11, 2019
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Armata Pharmaceuticals, Inc.
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By:
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/s/ Steve R. Martin
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Name:
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Steve R. Martin
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Title:
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Chief Financial Officer
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Exhibit 3.1
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Washington Secretary of State
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Corporations and Charities Division
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801 Capitol Way South
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PO Box 40234
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Olympia, WA 98504-0234
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(360) 725-0377
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corps@sos.wa.gov
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12/10/2019
ARMATA PHARMACEUTICALS, INC.
NATIONAL REGISTERED AGENTS, INC.
711 CAPITOL WAY S STE 204
OLYMPIA WA 98501-1267
UBI Number: 601 166 399
Business Name: ARMATA PHARMACEUTICALS, INC.
Dear NATIONAL REGISTERED AGENTS, INC.,
Thank you for your recent submission. This letter is to confirm
that the following documents have been received and successfully filed:
ARTICLES OF AMENDMENT
You can view and download your filed document(s) for no charge
at our website, www.sos.wa.gov/ccfs.
If you haven’t already, please sign up for a user
account on our website, www.sos.wa.gov/ccfs, to file online, conduct searches, and
receive status updates.
Please contact our office at corps@sos.wa.gov
or (360) 725-0377 if you have any questions.
Sincerely,
Corporations and Charities Division
Office of the Secretary of State
www.sos.wa.gov/corps
Exhibit 3.2
AMENDMENT
TO THE BYLAWS
OF
ARMATA PHARMACEUTICALS, INC.
1. Section
3.2 of the bylaws of the Corporation was amended in its entirety by unanimous vote by the Board of Directors on September 17, 2019,
to read as follows:
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3.2
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The Board shall be composed of not less than one nor more than nine Directors, the specific number to be set by resolution of the Board or the shareholders. The number of Directors may be changed from time to time by amendment to these Bylaws, but no decrease in the number of Directors shall have the effect of shortening the term of any incumbent Director. Directors need not be shareholders of the corporation or residents of the State of Washington and need not meet any other qualifications.
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At
the first annual meeting of shareholders and at each annual meeting thereafter, the holders of shares entitled to vote in the election
of Directors shall elect Directors to hold office until the next succeeding annual meeting, the Director’s successor has
been selected and qualified, or the Director's earlier death, resignation, or removal.
Dated this 10th day
of December 2019.
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ARMATA PHARMACEUTICALS, INC.
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By
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/s/ Todd R. Patrick
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Todd R. Patrick, Chief Executive Officer
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