Form 8-K - Current report
08 11월 2023 - 5:18AM
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2023-11-06
2023-11-06
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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
Date of Report (Date of earliest
event reported): November 6, 2023
Red Cat Holdings, Inc.
(Exact name of registrant as specified in its charter)
Nevada
(State or other
jurisdiction of incorporation) |
|
001-40202
(Commission
File Number) |
|
88-0490034
(I.R.S. Employer
Identification No.) |
15 Ave. Munoz Rivera Ste 2200
San
Juan, PR
(Address of principal executive offices) |
00901
(Zip Code) |
Registrant’s
telephone number, including area code: (833) 373-3228
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 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(s) |
Name of each exchange on which registered |
Common stock, par value $0.001 |
RCAT |
The 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. ☐
Section 5 – Corporate Governance
and Management
Item 5.07 Submission of Matters to a Vote of Security Holders
On November 6, 2023, we conducted our
annual shareholder meeting. The items addressed at the meeting included election of directors, confirmation of the appointment of our
independent auditor, and an increase in the number of shares authorized for issuance under our 2019 Equity Incentive Plan. A total of
39,615,257 shares were voted at the meeting, representing approximately 71.19% of the shares outstanding and entitled to vote.
Our shareholders elected existing directors
Jeffrey Thompson, Joseph Freedman, Nicholas Liuzza, Jr., and Christopher Moe to each serve for an additional one-year term. The shareholder
votes for each of the director candidates were as follows:
Director Candidate |
Votes For |
Votes Withheld |
Broker Non-votes |
Jeffrey Thompson |
22,377,299 |
5,274,189 |
11,963,769 |
Joseph Freedman |
22,149,118 |
5,491,732 |
11,974,407 |
Nicholas Liuzza, Jr. |
27,129,122 |
522,366 |
11,963,769 |
Christopher Moe |
22,262,989 |
5,388,499 |
11,963,769 |
The second proposal considered by shareholders
-- ratification of the appointment of BF Borgers, CPA, PC as the company’s audit firm and independent registered public accounting
firm – was approved by a vote of 38,567,507 in favor, 685,186 against, 362,564 abstaining, and 0 broker non-votes.
The third proposal considered by shareholders
– approval of an amendment to our 2019 Equity Incentive Plan to increase in the number of shares authorized for issuance under the
Plan from 8,750,000 shares to 11,750,000 shares – was approved by a vote of 26,202,747 in favor, 1,360,161 against, 88,642 abstaining,
and 11,963,707 broker non-votes.
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.
|
RED CAT HOLDINGS, INC. |
|
|
|
|
|
Dated: November 7, 2023 |
By: |
/s/ Jeffrey
Thompson |
|
|
|
Name: Jeffrey Thompson |
|
|
|
Title: Chief Executive Officer |
|
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