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
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Item 5.07 Submission of Matters to a Vote of Security Holders.
The 2023 Annual Meeting of Stockholders of Lumos Pharma, Inc. (the “Company”) was held May 10, 2023, for the following purposes:
•To elect the nominees for director, Richard J. Hawkins and Thomas A. Raffin, nominated by the Board of Directors of the Company (the “Board”), to serve until the 2026 Annual Meeting of Stockholders;
•To approve, on a non-binding, advisory basis, the compensation of the Company’s named executive officers as disclosed in the Company’s definitive proxy statement, filed with the Securities and Exchange Commission on March 31, 2023 (the “Proxy Statement”); and
•To ratify the selection by the Audit Committee of the Board of KPMG, LLP as the independent registered public accounting firm of the Company for its fiscal year ending December 31, 2023.
At the meeting, the stockholders of the Company:
•elected Richard J. Hawkins and Thomas A. Raffin as directors of the Company;
•approved, on a non-binding, advisory basis, the compensation of the Company’s named executive officers, as set forth in the Proxy Statement; and
•ratified the appointment of KPMG, LLP as the Company’s independent registered public accounting firm for the Company’s fiscal year ending December 31, 2023.
The final voting results on each of the matters submitted to a vote of stockholders at the 2023 Annual Meeting are as follows:
| Election of Directors | For | Withheld | Broker Non-Votes | |||||||||||
| 1. | Richard J. Hawkins | 4,170,411 | 25,799 | 2,806,241 | ||||||||||
| Thomas A. Raffin | 4,073,871 | 122,339 | 2,806,241 | |||||||||||
| For | Against | Abstentions | Broker Non-Votes | |||||||||||||||||
| 2. | Approval, on an advisory basis, of the compensation of the Company’s named executive officers | 4,093,576 | 98,036 | 4,598 | 2,806,241 | |||||||||||||||
| For | Against | Abstentions | |||||||||||||||
| 3. | Ratification of KPMG, LLP as independent registered public accounting firm for the Company’s fiscal year ending December 31, 2023 | 6,952,916 | 44,113 | 5,422 | |||||||||||||
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.
Dated: May 15, 2023
| LUMOS PHARMA, INC., a Delaware corporation | |||||
| By: | /s/ Richard J. Hawkins | ||||
| Richard J. Hawkins | |||||
| Its: | Chief Executive Officer | ||||