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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
 
November 29, 2022
Date of Report (Date of Earliest Event Reported)
 
Panbela Therapeutics, Inc.
(Exact Name of Registrant as Specified in its Charter)
 
Delaware
  
001-39468
  
87-0543922
(State of Incorporation)
  
(Commission File Number)
  
(I.R.S. Employer Identification No.)
 
712 Vista Blvd #305
Waconia, Minnesota
  
55387
(Address of Principal Executive Offices)
  
(Zip Code)
 
 
(952) 479-1196
(Registrant’s Telephone Number, Including Area Code)
 
 
(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
  
Name of each exchange on which registered
Common Stock, $0.001 par value
  
PBLA
  
The Nasdaq Stock Market LLC
 
Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 or Rule 12b-2 of the Securities Exchange Act of 1934.
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.
 
Panbela Therapeutics, Inc. (the “Company”) held a special meeting of stockholders on November 29, 2022. The following proposals, each as described further in the definitive proxy statement for the meeting filed with the Securities and Exchange Commission on October 27, 2022, were voted upon by the stockholders:
 
Proposal 1 – Reverse Split
 
Stockholders approved the amendment to the Company’s Amended and Restated Certificate of Incorporation to effect a reverse stock split of our outstanding common stock, par value $0.001 per share, at a reverse stock split ratio of 1-for-40 (the “Reverse Split Proposal”), based on the votes listed below:
 
For
  
Against
  
Abstain
19,092,064
  
2,133,237
  
66,357
 
Proposal 2 – Adjournment
 
Stockholders approved the adjournment of the special meeting to a later date or dates if necessary to solicit additional proxies if there are insufficient votes at the time of the special meeting to approve Proposal 1 or in the absence of quorum, based on the votes listed below:
 
For
  
Against
  
Abstain
19,168,955
  
1,782,263
  
340,440
 
Although Proposal 2 was approved, adjournment of the special meeting was not necessary or appropriate because a quorum was present and the Company’s stockholders approved Proposal 1. The Company's Board of Directors has not determined the timing of the reverse stock split.
 
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SIGNATURES
 
Pursuant to the requirements of the Securities Exchange Act of 1934, the Registrant has duly caused this Current Report to be signed on its behalf by the undersigned hereunto duly authorized.
 
  Panbela Therapeutics, Inc.
   
Date: November 30, 2022 By /s/ Susan Horvath  
   
Susan Horvath
Chief Financial Officer
 
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