UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
FORM
CURRENT REPORT
Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934
Date of Report (Date of earliest event reported):
(Exact name of Registrant as Specified in Its Charter) |
|
| |||
(State or Other Jurisdiction of Incorporation) |
| (Commission File Number) |
| (IRS Employer Identification No.) |
|
|
|
|
|
|
|
| ||
(Address of Principal Executive Offices) |
|
|
| (Zip Code) |
Registrant’s Telephone Number, Including Area Code: (
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 |
|
| The | ||
Warrants to purchase shares of Common Stock, par value $0.001 per share |
| ZIVOW |
| The Nasdaq Stock 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.
At the annual meeting (the “Annual Meeting”) of stockholders of Zivo Bioscience, Inc. (the “Company”) on October 12, 2021, stockholders (i) elected five directors to the Company’s Board of Directors (the “Board”) to serve a one-year term until the 2022 annual meeting of stockholders, (ii) ratified the appointment of Wolinetz, Lafazan & Company, P.C. as the Company’s independent registered public accounting firm for the fiscal year ending December 31, 2021, (iii) approved the Company’s the adoption of the Zivo Bioscience, Inc. 2021 Equity Incentive Plan, and (iv) approved (on an advisory basis) the compensation of the Company’s named executive officers. Proposals are described in detail in the Company’s definitive proxy statement filed with the Securities and Exchange Commission on September 13, 2021, as supplemented on September 22, 2021.
A total of 5,624,833 shares of the Company’s common stock were present at the meeting in person or by proxy, which represents approximately 60.6% of the shares of common stock outstanding as of the record date for the Annual Meeting.
The results of the voting are shown below:
Proposal 1—Election of Directors
Nominee |
| Votes For |
|
| Votes Withheld |
|
| Broker Non-Votes |
| |||
Andrew A. Dahl |
|
| 3,628,107 |
|
|
| 160,285 |
|
|
| 1,836,441 |
|
Christopher D. Maggiore |
|
| 3,735,720 |
|
|
| 52,672 |
|
|
| 1,836,441 |
|
Nola E. Masterson |
|
| 3,679,971 |
|
|
| 108,421 |
|
|
| 1,836,441 |
|
John B. Payne |
|
| 3,713,558 |
|
|
| 74,834 |
|
|
| 1,836,441 |
|
Alison A. Cornell |
|
| 3,762,647 |
|
|
| 25,745 |
|
|
| 1,836,441 |
|
Proposal 2—Ratification of Appointment of Independent Registered Public Accounting Firm
Votes For |
|
| Votes Against |
|
| Votes Abstain |
| |||
| 5,526,523 |
|
|
| 17,457 |
|
|
| 80,853 |
|
Proposal 3—Approval of the adoption of the Zivo Bioscience, Inc. 2021 Equity Incentive Plan
Votes For |
|
| Votes Against |
|
| Votes Abstain |
| |||
| 3,404,827 |
|
|
| 217,934 |
|
|
| 165,631 |
|
Proposal 4—Approval (on an advisory basis) of the compensation of the Company’s named executive officers
Votes For |
|
| Votes Against |
|
| Votes Abstain |
| |||
| 3,416,788 |
|
|
| 220,711 |
|
|
| 150,893 |
|
2 |
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.
ZIVO BIOSCIENCE, INC. |
| ||
|
|
| |
| By: | /s/ Keith Marchiando |
|
|
| Keith Marchiando |
|
|
| Chief Financial Officer |
|
Date: October 14, 2021
3 |