Ocera Therapeutics, Inc.
Ocera Therapeutics, Inc. (Form: 8-K, Received: 06/22/2017 16:35:47)


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): June 20, 2017
 
OCERA THERAPEUTICS, INC.
(Exact name of registrant as specified in its charter)
 
DELAWARE
 
001-35119
 
63-1192270
(State or other jurisdiction
 
(Commission File Number)
 
(I.R.S. Employer
of incorporation)
 
 
 
Identification No.)
 
555 Twin Dolphin Drive, Suite 615
 
 
Redwood City, CA
 
94065
(Address of principal executive offices)
 
(Zip Code)
 
Registrant’s telephone number, including area code (650) 475-0158
 
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:
 
o             Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)
 
o             Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)
 
o             Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))
 
o             Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))

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 o

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.  o





Item 5.07  Submission of Matters to a Vote of Security Holders.
 
On June 20, 2017, Ocera Therapeutics, Inc. (the “Company”) held the 2017 Annual Meeting of Stockholders (the “Annual Meeting”). A total of 19,845,322 shares of the Company’s common stock were present or represented by proxy at the Annual Meeting. At the Annual Meeting, the stockholders voted on the following three proposals and cast their votes as described below.
 
Proposal 1.     The individuals listed below were elected at the Annual Meeting to serve until the annual meeting of stockholders in 2018 and until their respective successors are duly elected and qualified or until their earlier resignation or removal.
 
 
FOR
 
WITHHELD
 
BROKER NON-
VOTES
Eckard Weber, M.D.
 
8,727,395
 
91,449
 
11,026,478
Linda S. Grais, M.D.
 
8,721,704
 
97,140
 
11,026,478
Steven P. James
 
8,731,966
 
86,878
 
11,026,478
Nina Kjellson
 
8,731,706
 
87,138
 
11,026,478
Willard Dere, M.D.
 
8,731,786
 
87,058
 
11,026,478
Anne VanLent
 
8,737,051
 
81,793
 
11,026,478
Wendell Wierenga, Ph.D.
 
8,731,369
 
87,475
 
11,026,478
  
Proposal 2.     The Company’s stockholders approved the non-binding, advisory resolution on the executive compensation of the Company’s named executive officers.
FOR
 
AGAINST
 
ABSTAIN
 
BROKER NON-
VOTES
8,534,322
 
248,076
 
36,446
 
11,026,478
 
Proposal 3.     The Company’s stockholders ratified the selection of Ernst & Young LLP as the Company’s independent registered public accounting firm for the year ending December 31, 2017.
FOR
 
AGAINST
 
ABSTAIN
19,702,615
 
104,976
 
37,731





  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.
 
June 22, 2017
Ocera Therapeutics, Inc.
 
 
 
By:
/s/ Michael Byrnes
 
Name:
Michael Byrnes
 
Title:
Chief Financial Officer and Treasurer