UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
FORM
CURRENT REPORT
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Item 5.07. Submission of Matters to a Vote of Security Holders.
CASI Pharmaceuticals, Inc. (the “Company”) held its 2021 annual meeting of stockholders (the “Annual Meeting”) on June 15, 2021. At the Annual Meeting, the Company’s stockholders considered and approved four proposals, each of which is described in more detail in the Proxy Statement. The following is a brief description of each matter voted upon at the Annual Meeting, and the final voting results for each matter, including the number of votes cast for or against each matter and the number of abstentions and broker non-votes with respect to each matter.
Election of Directors. Each of Wei-Wu He, Ph.D. and Rajesh Shrotriya, MD were elected to serve as a member of the Board of Directors for a term expiring at the annual meeting of stockholders as indicated in the Proxy Statement and until his successor is duly elected and qualified, as follows:
| Director | FOR | WITHHELD | BROKER NON-VOTES |
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| Wei-Wu He, Ph.D. | 93,689,629 | 3,643,740 | 19,057,233 | |||||||||
| Rajesh Shrotriya, M.D. | 89,801,739 | 7,531,630 | 19,057,233 | |||||||||
Ratification of Independent Registered Public Accountants. The stockholders voted to ratify the appointment of KPMG Huazhen LLP as the Company’s independent registered public accounting firm for the fiscal year ending December 31, 2021, as follows:
| FOR | 116,183,328 | |||
| AGAINST | 174,783 | |||
| ABSTAIN | 32,491 | |||
| BROKER NON-VOTES | 0 |
Approval of the Company’s 2021 Long-Term Incentive Plan. The stockholders voted to approve the Company’s 2021 Long-Term Incentive Plan, as follows:
| FOR | 84,550,158 | |||
| AGAINST | 12,733,462 | |||
| ABSTAIN | 49,749 | |||
| BROKER NON-VOTES | 19,057,233 |
Approval of the issuance of equity compensation to the Company’s Chairman and Chief Executive Officer. The stockholders voted to approve the issuance of equity compensation to the Company’s Chairman and Chief Executive Officer, as follows:
| FOR | 83,806,957 | |||
| AGAINST | 13,471,060 | |||
| ABSTAIN | 55,352 | |||
| BROKER NON-VOTES | 19,057,233 |
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.
| CASI PHARMACEUTICALS, INC. | |
| /s/ Cynthia W. Hu | |
| Cynthia W. Hu | |
| Chief Operating Officer (US), General Counsel & Secretary |
Date: June 16, 2021