8-K 1 d156545d8k.htm FORM 8-K Form 8-K





Washington, D.C. 20549







Pursuant to Section 13 or 15(d) of the

Securities Exchange Act of 1934

Date of Report (Date of earliest event reported): May 18, 2021



ContraFect Corporation

(Exact name of registrant as specified in its charter)




Delaware   001-36577   39-2072586

(State or other jurisdiction

of incorporation)



File Number)


(IRS Employer

Identification Number)

28 Wells Avenue, 3rd Floor, Yonkers, New York 10701

(Address of principal executive offices) (Zip Code)

(914) 207-2300

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:


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





Name of each exchange

on which registered

Common Stock,

$0.0001 par value per share

  CFRX   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.  ☐




Item 5.07.

Submission of Matters to a Vote of Security Holders.

On May 18, 2021, ContraFect Corporation (the “Company”) held its 2021 Annual Meeting of Stockholders (the “Annual Meeting”). A total of 27,502,508 shares of common stock were present in person or represented by proxy at the meeting, representing approximately 69.92 % percent of the Company’s outstanding common stock as of the March 26, 2021 record date. The following are the voting results for the proposals considered and voted upon at the meeting, each of which were described in the Company’s Definitive Proxy Statement filed with the Securities and Exchange Commission on April 6, 2021.

Item 1 — Election of eight directors for a term of office expiring on the date of the annual meeting of stockholders in 2021 and until their respective successors have been duly elected and qualified.


NOMINEE    Votes FOR      Votes
     Broker Non-Votes  

Lishan Aklog, M.D.

     20,713,167        333,889        6,455,452  

Jane F. Barlow, M.D.

     20,737,670        309,386        6,455,452  

Sol J. Barer, Ph.D.

     8,884,708        12,162,348        6,455,452  

Steven C. Gilman, Ph.D.

     20,699,719        347,337        6,455,452  

David N. Low, Jr., M.B.A.

     20,701,356        345,700        6,455,452  

Michael J. Otto, Ph.D.

     20,706,943        340,113        6,455,452  

Roger J. Pomerantz, M.D., F.A.C.P.

     20,617,928        429,128        6,455,452  

Cary W. Sucoff, J.D.

     20,651,971        395,085        6,455,452  

Item 2 — Ratification of the appointment of Ernst & Young LLP as the Company’s independent registered public accounting firm for the year ending December 31, 2021.


Votes FOR    Votes AGAINST      Votes ABSTAINED      Broker Non-Votes  


     58,462        19,073        0  

Item 3 — Approval, on an advisory (non-binding) basis, of the compensation of the Company’s named executive officers.


Votes FOR    Votes AGAINST      Votes ABSTAINED      Broker Non-Votes  


     503,772        55,036        6,455,452  

Based on the foregoing votes, the eight director nominees were elected and Items 2 and 3 were approved.


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.


Date: May 21, 2021     By:   /s/ Natalie Bogdanos
      Natalie Bogdanos
      General Counsel and Corporate Secretary