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(State or Other Jurisdiction
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(Commission File Number)
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(IRS Employer Identification No.)
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of Incorporation)
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Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)
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Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)
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Pre-commencement communications pursuant to Rule 14d-2b under the Exchange Act (17 CFR 240.14d-2(b))
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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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Title of Class
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Trading Symbol(s)
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Exchange Name
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Item 5.02
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Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers.
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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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Item 5.07.
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Submission of Matters to a Vote of Security Holders.
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Director
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Votes For
|
% Voted For
|
Votes
Withheld
|
% Voted
Withheld
|
Broker Non-
Votes
|
|
Michael S. Weiss
|
57,264,472
|
75.23%
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18,849,954
|
24.77%
|
34,960,603
|
|
Laurence N. Charney
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57,758,626 |
75.88%
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18,355,800
|
24.12%
|
34,960,603 |
|
Yann Echelard
|
35,052,596
|
46.05%
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41,061,830
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53.95%
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34,960,603 |
|
Kenneth Hoberman
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52,058,723
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68.40%
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24,055,703
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31.60%
|
34,960,603 |
|
Daniel Hume
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35,036,823
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46.03%
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41,077,603
|
53.97%
|
34,960,603 |
|
Sagar Lonial, MD
|
33,299,870
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43.75%
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42,814,556
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56.25%
|
34,960,603 |
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Total Votes For
|
Total Votes Against
|
Abstentions
|
Broker Non-Votes
|
|
110,028,319
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657,578
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389,132 |
--
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Total Votes For
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Total Votes Against
|
Abstentions
|
Broker Non-Votes
|
|
42,346,581
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31,019,084
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2,748,761
|
34,960,603
|
|
Total Votes For
|
Total Votes Against
|
Abstentions
|
Broker Non-Votes
|
|
73,780,225
|
36,348,764
|
946,040
|
--
|
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Total Votes For
|
Total Votes Against
|
Abstentions
|
Broker Non-Votes
|
|
66,744,142
|
8,625,685
|
744,599 |
34,960,603
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|
Item 9.01.
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Financial Statements and Exhibits.
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Exhibit
No. |
Description
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3.1
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||
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10.1
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||
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104
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Cover Page Interactive Data File (embedded within Inline XBRL document)
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TG THERAPEUTICS, INC.
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|||
| (Registrant) | |||
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Date: June 17, 2024
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By:
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/s/ Sean A. Power
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Name:
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Sean A. Power
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||
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Title:
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Chief Financial Officer
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||
Exhibit 3.1
CERTIFICATE OF AMENDMENT
OF
AMENDED AND RESTATED
CERTIFICATE OF INCORPORATION
OF
TG THERAPEUTICS, INC.
TG Therapeutics, Inc., a corporation organized and existing under and by virtue of the Delaware General Corporation Law (the “Corporation”), does hereby certify:
FIRST: That on April 17, 2024, the Board of Directors of the Corporation adopted resolutions setting forth a proposed amendment to the Amended and Restated Certificate of Incorporation of the Corporation and declaring its advisability. The proposed amendment is as follows:
RESOLVED, that the Corporation’s Amended and Restated Certificate of Incorporation be amended by deleting Article FOURTH in its entirety and by substituting in lieu thereof the following:
“FOURTH: A. The Corporation is authorized to issue two classes of stock designated “Common Stock” and “Preferred Stock,” respectively. The total number of shares of Common Stock authorized to be issued is 190,000,000, and each such share will have a par value of $0.001. The total number of shares of Preferred Stock authorized to be issued is 10,000,000, and each such share will have a par value of $0.001.
B. No fractional shares of Common Stock of the Corporation shall be issued. No stockholder of the Corporation shall transfer any fractional shares of Common Stock of the Corporation. The Corporation shall not recognize on its stock record books any purported transfer of any fractional share of Common Stock of the Corporation.
C. Shares of Preferred Stock may be issued from time to time in one or more series. The Board of Directors is hereby authorized, by adopting appropriate resolutions and causing one or more certificates of amendment to be signed, verified and delivered in accordance with the General Corporation Law, to establish from time to time the number of shares to be included in such series, and to fix the designations, relative rights, preferences and limitations of the shares of each such series. Such designations, relative rights, preferences and limitations may include, but are not limited to, the fixing or alteration of the dividend rights, dividend rate, conversion rights, exchange rights, voting rights, rights and terms of redemption (including sinking fund provisions), the redemption price or prices, and the liquidation preferences of any wholly unissued series of shares of Preferred Stock, or any of them. In accordance with the authority hereby granted, the Board of Directors may increase or decrease the number of shares of any series subsequent to the issue of shares of that series, but not above the total number of authorized shares of Preferred Stock and not below the number of shares of such series then outstanding. In case the number of shares of any series shall be so decreased, the shares constituting such decrease shall resume the status that they had prior to the adoption of the resolution originally fixing the number of shares of such series. Except as may otherwise be required by law or this Certificate of Incorporation, the terms of any series of Preferred Stock may be amended without the consent of the holders of any other series of Preferred Stock, or Common Stock.
SECOND: That said amendment was duly adopted in accordance with the provisions of Section 242 of the Delaware General Corporation Law.
IN WITNESS WHEREOF, the Corporation has caused this certificate to be signed by a duly authorized officer this 14th day of June, 2024.
|
By: |
/s/ Sean A. Power |
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Sean A. Power |
|
|
Chief Financial Officer |
Exhibit 10.1
AMENDMENT
TO THE
TG THERAPEUTICS, INC. 2022 INCENTIVE PLAN
THIS AMENDMENT (the “Amendment”) to the TG Therapeutics, Inc. 2022 Incentive Plan (the “Plan”) is adopted as of June 14, 2024, subject to and effective upon the approval of the shareholders at the 2024 annual meeting.
W I T N E S S E T H:
WHEREAS, TG Therapeutics, Inc. (the “Company”) maintains the Plan, and the Plan is currently in effect; and
WHEREAS, Section 15.1 of the Plan authorizes the Board or the Committee (as defined in the Plan) to amend the Plan for certain purposes, subject to shareholder approval as required under applicable laws, policies or regulations or the applicable listing or other requirements of an Exchange (as defined in the Plan); and
WHEREAS, the Board desires to amend the Plan to remove the full-value awards limit, without increasing the overall share limit of 17 million shares;
NOW, THEREFORE, the Plan is amended as follows, subject to and effective upon the approval of the shareholders at the 2024 annual meeting:
***********
|
1. |
Section 5.1 is amended by replacing the current provisions therein in total with the following: |
NUMBER OF SHARES. Subject to adjustment as provided in Sections 5.2 and Section 14.1, the aggregate number of Shares reserved and available for issuance pursuant to Awards granted under the Plan shall be 17 million. The maximum number of Shares that may be issued upon exercise of Incentive Stock Options granted under the Plan shall be 17 million. If our stockholders approve the 2022 Incentive Plan, beginning at the Effective Date, all future equity grants to the Company’s employees, officers, directors and consultants will be made from the 2022 Incentive Plan, and the Company will not grant any additional awards under the Prior Plan. If the Stockholders do not approve the 2022 Incentive Plan, the Company will continue granting awards under the Prior Plan.
***********
This Amendment shall be effective as of the date indicated above. The Plan, as modified by the terms of this Amendment, shall continue in full force and effect from and after the date of the adoption of this Amendment.