Form 8-K - Current report
2024年5月17日 - 4:10AM
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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
Date of Report (Date of earliest event reported): May
14, 2024
SPECTRAL
AI, INC.
(Exact name of registrant as specified in its charter)
Delaware |
|
001-40058 |
|
85-3987148 |
(State or other jurisdiction
of incorporation) |
|
(Commission File Number) |
|
(I.R.S. Employer
Identification No.) |
2515 McKinney Avenue, Suite 1000
Dallas, Texas |
|
75201 |
(Address of principal executive offices) |
|
(Zip Code) |
(972) 499-4934
(Registrant’s telephone number, including area
code)
Not Applicable
(Former name or former address, if changed since last
report)
Check the appropriate box below if the Form 8-K is
intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions:
☐ |
Written communication 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-commencements 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 Symbols |
|
Name of each exchange on which registered |
Common Stock, par value $0.0001 per share |
|
MDAI |
|
The Nasdaq Stock Market LLC |
Redeemable Warrants, each whole warrant exercisable for one share of Common Stock, at an exercise price of $11.50 per share |
|
MDAIW |
|
The Nasdaq Stock Market LLC |
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 5.02 |
Departure of Directors or Certain Officers; Election of Directors; Appointment
of Certain Officers; Compensatory Arrangements of Certain Officers |
Following the Annual
Meeting (as defined below), the board of directors (the “Board”) of Spectral AI, Inc., a Delaware corporation (the
“Company”) unanimously approved the expansion of the Board from six to seven members and appointed Erich Spangenberg
to serve as a director on the Company’s Board. Mr. Spangenberg has been the longest-tenured Board member of the Company and, after
declining to stand for reelection at the Annual Meeting, the Board was pleased that Mr. Spangenberg affirmatively responded to their request
for his appointment to serve the Company as a director.
Item 5.07 |
Submission of Matters to a Vote of Security Holders |
The 2024 Annual
Meeting (the "Annual Meeting") of Shareholders of the Company was held on May 14, 2024. A total of 17,482,333 shares
of the Company's Common Stock, par value $0.0001 per share (“Common Stock”), were eligible and entitled to vote at
the Annual Meeting and a total of 9,289,312 shares of the Company's Common Stock were represented at the Annual Meeting (or 53.14% of
the eligible shares). The matters voted on at the Annual Meeting were as follows:
| 1. | Proposal 1: Election of Directors: |
The following
individuals, each of whom was nominated for election to the Board by the Company, were elected by the shareholders at the Annual Meeting
for a term of one year expiring at the 2025 Annual Meeting of shareholders.
Name |
|
Votes
For |
|
Votes
Against |
|
Abstentions |
|
Broker
Non-Votes |
Richard Cotton |
|
4,379,965 |
|
- |
|
295,459 |
|
4,613,888 |
Peter M. Carlson |
|
4,413,021 |
|
- |
|
262,403 |
|
4,613,888 |
J. Michael DiMaio |
|
4,379,932 |
|
- |
|
295,492 |
|
4,613,888 |
Martin Mellish |
|
4,571,221 |
|
- |
|
104,203 |
|
4,613,888 |
Deepak Sadagopan |
|
4,578,011 |
|
- |
|
97,413 |
|
4,613,888 |
Marion Snyder |
|
4,389,195 |
|
- |
|
286,229 |
|
4,613,888 |
The nomination of
each of the above listed directors was made by the Board of Directors of the Company. Mr. Cotton, Mr. Mellish and Mr. Sadagopan were each
completing their initial term as members of the Board of Directors since the Company’s listing on Nasdaq as of September 12, 2023.
Mr. Carlson, as the Company’s Chief Executive Officer, Dr. DiMaio, as a Board member since February 7, 2024 and Ms. Snyder were
also nominated by the Board of Directors in connection with the 2024 Annual Meeting.
| 2. | Proposal 2: Ratification of the adoption of the Spectral AI, Inc. 2023 Long Term Incentive Plan: |
The shareholders
voted at the Annual Meeting to ratify the adoption of the Company’s 2023 Long Term Incentive Plan (the “2023 Plan”).
The options, restricted stock units and other securities issued pursuant to our 2018 Long Term Incentive Plan (the “2018 Plan”)
and 2022 Long Term Incentive Plan (the “2022 Plan”) will be replaced with a corresponding security to be issued pursuant to
the 2023 Plan. No new grants will be made under the 2022 Plan and the 2018 Plan and all outstanding grants under the 2018 Plan and 2022
Plan will be assumed by the 2023 Plan.
Votes For |
|
Votes Against |
|
Abstentions |
|
Broker Non-Votes |
4,410,233 |
|
200,529 |
|
64,662 |
|
4,613,888 |
| 3. | Proposal 3: (Advisory) Non-Binding ratification of the appointment of the
Company’s independent registered public accounting firm: |
The shareholders
voted at the Annual Meeting to ratify the appointment of KPMG LLP as the Company’s independent registered public accounting firm
for fiscal year 2024.
Votes For |
|
Votes Against |
|
Abstentions |
|
Broker Non-Votes |
9,118,326 |
|
46,845 |
|
124,141 |
|
0 |
| 4. | Proposal 4: Authorization of the reservation and issuance of shares of
Common Stock of the Company pursuant to the Standby Equity Purchase Agreement, dated March 20, 2024: |
The shareholders
voted at the Annual Meeting to authorize, for purposes of Nasdaq Marketplace Rule 5635, the reservation and issuance of 6,369,937 shares
of Common Stock for sale to YA II PN, Ltd. pursuant to that certain Standby Equity Purchase Agreement, dated March 20, 2024 (the “Purchase
Agreement”) at a purchase price per share as determined pursuant to the Purchase Agreement.
Votes For |
|
Votes Against |
|
Abstentions |
|
Broker Non-Votes |
4,488,372 |
|
150,199 |
|
36,853 |
|
4,613,888 |
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 16, 2024
|
SPECTRAL AI, INC. |
|
|
|
By: |
/s/ Peter M. Carlson |
|
Name: |
Peter M. Carlson |
|
Title: |
Chief Executive Officer |
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|
May 14, 2024 |
Document Type |
8-K
|
Amendment Flag |
false
|
Document Period End Date |
May 14, 2024
|
Entity File Number |
001-40058
|
Entity Registrant Name |
SPECTRAL
AI, INC.
|
Entity Central Index Key |
0001833498
|
Entity Tax Identification Number |
85-3987148
|
Entity Incorporation, State or Country Code |
DE
|
Entity Address, Address Line One |
2515 McKinney Avenue
|
Entity Address, Address Line Two |
Suite 1000
|
Entity Address, City or Town |
Dallas
|
Entity Address, State or Province |
TX
|
Entity Address, Postal Zip Code |
75201
|
City Area Code |
(972)
|
Local Phone Number |
499-4934
|
Written Communications |
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Pre-commencement Tender Offer |
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Entity Emerging Growth Company |
true
|
Elected Not To Use the Extended Transition Period |
false
|
Entity Information, Former Legal or Registered Name |
Not Applicable
|
Common Stock, par value $0.0001 per share |
|
Title of 12(b) Security |
Common Stock, par value $0.0001 per share
|
Trading Symbol |
MDAI
|
Security Exchange Name |
NASDAQ
|
Redeemable Warrants, each whole warrant exercisable for one share of Common Stock, at an exercise price of $11.50 per share |
|
Title of 12(b) Security |
Redeemable Warrants, each whole warrant exercisable for one share of Common Stock, at an exercise price of $11.50 per share
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Trading Symbol |
MDAIW
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Security Exchange Name |
NASDAQ
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