|
|
|
001-37897
|
|
26-1828101
|
(Commission
File Number)
|
|
(IRS Employer
Identification No.)
|
5421 Avenida Encinas, Suite F
Carlsbad, California
|
|
92008
|
(Address of principal executive offices)
|
|
(Zip Code)
|
¨
|
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))
|
Title of each class
|
Trading Symbol(s)
|
Name of each exchange on which registered
|
Common stock, par value $0.001 per share
|
OBLN
|
The NASDAQ Stock Market LLC
(NASDAQ Global Market)
|
Item 5.07
|
Submission of Matters to a Vote of Security Holders.
|
Name
|
Votes For
|
Votes Withheld
|
Broker Non-Votes
|
Douglas Fisher, M.D.
|
2,012,617
|
91,194
|
3,168,032
|
Sharon Stevenson, DVM Ph.D.
|
2,012,248
|
91,563
|
3,168,032
|
William Plovanic
|
2,004,282
|
99,529
|
3,168,032
|
Votes For
|
Votes Against
|
Abstentions
|
Broker Non-Votes
|
5,098,733
|
141,919
|
31,191
|
0
|
|
|
OBALON THERAPEUTICS, INC.
|
|
|
|
|
|
Date: September 22, 2020
|
|
By:
|
/s/ Andrew Rasdal
|
|
|
|
Andrew Rasdal
|
|
|
|
President and Chief Executive Officer
|