Current Report Filing (8-k)
30 Mai 2023 - 10:11PM
Edgar (US Regulatory)
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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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Date of Report (Date of earliest event reported): May 24, 2023 |
AdTheorent Holding Company, Inc.
(Exact name of Registrant as Specified in Its Charter)
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Delaware |
001-40116 |
85-3978415 |
(State or Other Jurisdiction
of Incorporation) |
(Commission File Number) |
(IRS Employer
Identification No.) |
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330 Hudson Street 13th Floor |
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New York, New York |
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10013 |
(Address of Principal Executive Offices) |
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(Zip Code) |
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Registrant’s Telephone Number, Including Area Code: (800) 804-1359 |
(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:
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Title of each class
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Trading
Symbol(s) |
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Name of each exchange on which registered
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Common stock, par value $0.0001 per share |
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ADTH |
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The Nasdaq Stock Market |
Warrants to purchase common stock |
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ADTHW |
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The Nasdaq Stock 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 5.03 Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year.
Amended and Restated Certificate of Incorporation
AdTheorent Holding Company, Inc. (the “Company”) held its 2023 Annual Meeting of Stockholders (the “Annual Meeting”) on May 24, 2023. At the Annual Meeting, as described below under Item 5.07, the stockholders of the Company approved an amendment to the Company’s Second Amended and Restated Certificate of Incorporation to limit the liability of the Company’s officers in certain circumstances pursuant to and consistent with the Delaware General Corporation Law (the “Amendment”).
The Amendment became effective upon the Company’s filing of a Certificate of Amendment to the Second Amended and Restated Certificate of Incorporation with the Secretary of State of Delaware on May 25, 2023 (the “Certificate of Amendment”). The foregoing description of the Amendment is qualified in its entirety by reference to the full text of the Certificate of Amendment, a copy of which is attached as Exhibit 3.1 hereto and is incorporated by reference herein.
Item 5.07 Submission of Matters to a Vote of Security Holders.
At the close of business on March 31, 2023, the record date of the Annual Meeting, the Company had 87,766,116 shares of common stock issued and outstanding. The following shares were present at the Annual Meeting, either in person at the virtual shareholder meeting or by proxy.
The results of the proposals are as follows:
1. The election of the three Class II director nominees to serve for a term of three years:
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Director Nominee |
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For |
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Withheld |
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Broker Non-Votes |
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Vineet Mehra |
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48,632,238 |
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4,671,295 |
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14,682,978 |
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Zia Uddin |
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52,454,888 |
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848,645 |
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14,682,978 |
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Shuangxiu Yu |
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52,463,557 |
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839,976 |
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14,682,978 |
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All Class II director nominees were duly elected.
2. The ratification of the appointment of BDO USA, LLP as our independent registered public accounting firm for the fiscal year ending December 31, 2023:
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For |
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Against |
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Abstain |
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Broker Non-Votes |
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67,880,241 |
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12,508 |
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93,762 |
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N/A |
The proposal was approved.
3. The approval of the amendment to the Company’s Second Amended and Restated Certificate of Incorporation to limit the liability of certain officers of the Company:
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For |
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Against |
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Abstain |
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Broker Non-Votes |
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52,629,885 |
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657,621 |
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16,027 |
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14,682,978 |
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The proposal was approved.
Item 9.01 Financial Statements and Exhibits.
d) Exhibits.
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 thereunto duly authorized.
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AdTheorent Holding Company, Inc. |
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Date: |
May 30, 2023 |
By: |
/s/ James Lawson |
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James Lawson
Chief Executive Officer |
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