Washington, D.C. 20549







Pursuant to Section 13 or 15(d)

of the Securities Exchange Act of 1934

Date of Report (Date of earliest event reported): May 15, 2019




(Exact name of registrant as specified in its charter)




Delaware   001-36385   87-0442441
(State or other jurisdiction
of incorporation)
File Number)
  (IRS Employer
Identification No.)


4 Cromwell
Irvine, California
(Address of principal executive offices)   (Zip Code)

Registrant’s telephone number, including area code: 949-361-1200

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 l4a-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))


Title of each class





Name of each exchange

on which registered

Common Stock, par value $0.001 per share   BIOL  

The NASDAQ Stock Market LLC

(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 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 5.07.

Submission of Matters to a Vote of Security Holders.

On May 15, 2019, the Company held its Annual Meeting of Stockholders (the “Annual Meeting”). The following are the results of the voting on the proposals submitted to stockholders at the Annual Meeting.

Proposal 1 – Stockholders elected each of the Company’s six nominees for director, as set forth below:



   For      Against      Abstain      Broker

Richard B. Lanman, M.D.

     14,952,752        193,082        18,981        3,963,231  

Jonathan T. Lord, M.D.

     14,951,516        195,008        18,291        3,963,231  

Garret Sato

     14,946,312        194,572        18,960        3,963,231  

Elaine C. Wagner, M.D.

     15,117,576        28,279        18,960        3,963,231  

Todd A. Norbe

     15,113,880        32,384        18,551        3,963,231  

Jess Roper

     15,111,003        31,238        22,574        3,963,231  

Proposal 2 – Stockholders voted, on an advisory basis, to approve the compensation of the Company’s named executive officers, as set forth below:


For   Against   Abstain   Broker
14,848,035   275,476   41,304   3,963,231

Proposal 3 – Stockholders voted to approve an amendment to the BIOLASE, Inc. 2018 Long-Term Incentive Plan (the “2018 Plan”), to increase the number of shares available under the 2018 Plan by an additional 1,750,000, as set forth below:


For   Against   Abstain   Broker
14,771,993   379,155   13,667   3,963,231

Proposal 4 – Stockholders ratified the appointment of BDO USA, LLC as the Company’s independent registered public accounting firm for the year ending December 31, 2019, as set forth below:


For   Against   Abstain   Broker
18,974,017   83,034   70,995   —  




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.


Dated: May 20, 2019     BIOLASE, INC.

/s/ Todd A. Norbe

    Name:   Todd A. Norbe
    Title:   President and Chief Executive Officer