0001193125-20-142787 8-K 1 20200513 5.07 20200514 20200514 INTEVAC INC 0001001902 3559 943125814 DE 1231 8-K 34 000-26946 20877753 3560 BASSETT STREET SANTA CLARA CA 95054 4089869888 3560 BASSETT STREET SANTA CLARA CA 95054 8-K 1 d927634d8k.htm 8-K 8-K

 

 

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

May 13, 2020

Date of Report (date of earliest event reported)

 

 

INTEVAC, INC.

(Exact name of Registrant as specified in its charter)

 

 

 

State of Delaware   0-26946   94-3125814

(State or other jurisdiction

of incorporation or organization)

  (Commission File Number)  

(IRS Employer

Identification Number)

3560 Bassett Street

Santa Clara, CA 95054

(Address of principal executive offices)

(408) 986-9888

(Registrant’s telephone number, including area code)

N/A

(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

 

Trading Symbol(s)

 

Name of each exchange on which registered

Common Stock ($0.001 par value)   IVAC   The Nasdaq Stock Market LLC (Nasdaq) Global Select

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.

The matters voted upon at Intevac’s Annual Meeting held on May 13, 2020 and the results of such voting are set forth below:

 

     Affirmative
Votes
     Negative
Votes
     Votes
Withheld
     Abstentions
and Broker
Non-Votes
 

Proposal 1: Election of Directors

           

David S. Dury

     16,375,086        N/A        200,838        5,220,012  

Wendell T. Blonigan

     16,389,790        N/A        186,134        5,220,012  

Kevin D. Barber

     16,374,822        N/A        201,102        5,220,012  

Dorothy D. Hayes

     16,414,400        N/A        161,524        5,220,012  

Stephen A. Jamison

     16,374,666        N/A        201,258        5,220,012  

Michele F. Klein

     16,406,425        N/A        169,499        5,220,012  

Mark P. Popovich

     16,401,866        N/A        174,058        5,220,012  

Thomas M. Rohrs

     16,227,312        N/A        348,612        5,220,012  

All director nominees were duly elected.

 

     Affirmative
Votes
     Negative
Votes
     Votes
Withheld
     Abstentions
and Broker
Non-Votes
 

Proposal 2: Proposal to approve an amendment to the Intevac 2003 Employee Stock Purchase Plan to increase the number of shares reserved for issuance thereunder by 500,000 shares

     16,412,095        158,511        —          5,225,330  

Proposal 2 was approved.

 

     Affirmative
Votes
     Negative
Votes
     Votes
Withheld
     Abstentions
and Broker
Non-Votes
 

Proposal 3: Proposal to approve the Intevac 2020 Equity Incentive Plan and the reservation of shares thereunder

     15,921,738        645,537        —          5,228,661  

Proposal 3 was approved.

 

     Affirmative
Votes
     Negative
Votes
     Votes
Withheld
     Abstentions
and Broker
Non-Votes
 

Proposal 4: BPM LLP as independent public accountants for the fiscal year ending January 2, 2021

     21,692,152        65,752        —          38,032  

Proposal 4 was approved.

 

     Affirmative
Votes
     Negative
Votes
     Votes
Withheld
     Abstentions
and Broker
Non-Votes
 

Proposal 5: An Advisory Vote on Executive Compensation.

     16,216,180        227,532        —          5,352,224  

Proposal 5 was 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.

 

            INTEVAC, INC.
Date: May 14, 2020       /s/ JAMES MONIZ
      James Moniz
      Executive Vice President, Finance and Administration,
Chief Financial Officer, Secretary and Treasurer