AIM ImmunoTech Inc.
8-K on 10/07/2021   Download
SEC Document
SEC Filing
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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)

October 7, 2021



(Exact name of registrant as specified in its charter)


Delaware   001-27072   52-0845822
(state or other jurisdiction   (Commission   (I.R.S. Employer
of incorporation)   File Number)   Identification No.)


2117 SW Highway 484, Ocala FL   34473
(Address of principal executive offices)   (Zip Code)


Registrant’s telephone number, including area code: (352) 448-7797


AIM ImmunoTech Inc.

(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 (see General Instruction A.2. below):


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))


Indicate by check mark whether the registrant is an emerging growth company as defined in 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.


Securities registered pursuant to Section 12(b) of the Act:


Title of each class   Trading Symbol   Name of each exchange on which registered
Common Stock, par value $0.001 per share   AIM   NYSE American






Item 5.07 Submission of Matters to a Vote of Security Holders


The Company’s Annual Meeting of Stockholders for 2021 was held on October 7, 2021. The requisite quorum for the meeting of 40.0% was present. At the meeting, stockholders voted as follows:


Election of Directors:


Nominees  For  Withheld  Broker Non-Votes
Thomas K. Equels  6,730,478  4,766,710  14,293,872
William M. Mitchell  5,828,742  5,668,446  14,293,872
Stewart L. Appelrouth  5,977,593  5,519,595  14,293,872


Ratification of the appointment of BDO USA, LLP as the Company’s independent registered public accountants:


For: 20,261,845   Against: 4,176,903   Abstain: 1,352,312


Advisory, non-binding, vote on approval of the compensation of the Company’s Named Executive Officers:


For: 1,878,296   Against: 9,396,851   Abstain: 222,041   Broker Non-Vote: 14,293,872






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.


  AIM ImmunoTech Inc.
October 7, 2021 By: /s/ Thomas K. Equels
    Thomas K. Equels, CEO