SOCKET MOBILE, INC. — Regulatory Filings 2017

Jun 14, 2017

8-K 1 form-8k0614.htm FORM 8-K

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UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, DC 20549

FORM 8-K

CURRENT REPORT

Pursuant to Section 13 or 15(d) of

The Securities Exchange Act of 1934

June 14, 2017

Date of Report

(Date of earliest event reported)

SOCKET MOBILE, INC.

(Exact name of registrant as specified in its charter)

Delaware	001-13810	94-3155066
(State
or other jurisdiction of incorporation)	(Commission
File Number)	(IRS
Employer Identification No.)

39700 Eureka Drive

Newark, CA 94560

(Address of principal executive offices, including zip code)

(510) 933-3000

(Registrant’s telephone number, including area code)

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))

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Item 5.07 Submission of Matters to a Vote of Security Holders

On June 14, 2017, Socket Mobile, Inc. (the “Company”) held its Annual Meeting of Stockholders at 10:30 a.m. at the Company’s headquarters at 39700 Eureka Drive, Newark, California 94560 for the following purposes:

Item 1 To elect six directors to serve until their respective successors are elected;

Item 2 Advisory vote on executive compensation policies and practices as described in the annual meeting proxy;

Item 3 To ratify the appointment of Sadler, Gibb & Associates LLC as independent registered public accountants of the Company for the fiscal year ending December 31, 2017.

Only stockholders of record at the close of business on April 17, 2017 were entitled to notice of and to vote at the meeting. At the Record Date, 5,959,915 shares of Common Stock were issued and outstanding and each share of Common Stock was entitled to one vote. The Company had no other class of voting securities outstanding and entitled to vote at the meeting. A total of 4,891,280 shares or 82.07% of total shares outstanding were voted representing a quorum of stockholders entitled to vote at the meeting for the transaction of business.

RESULTS OF THE STOCKHOLDER VOTE:

Item 1 Election of Directors

| Name | Votes
For | Votes
Withheld | Outcome |
| --- | --- | --- | --- |
| 1.
Charlie Bass | 1,466,748 | 517,399 | Elected |
| 2.
Kevin J. Mills | 1,464,718 | 519,429 | Elected |
| 3.
David W. Dunlap | 1,467,148 | 516,999 | Elected |
| 4.
Nelson C. Chan | 1,802,448 | 181,699 | Elected |
| 5.
Brenton Earl MacDonald | 1,795,558 | 188,589 | Elected |
| 6.
Bill Parnell | 1,802,440 | 181,707 | Elected |

Item 2. Advisory vote on executive compensation policies as described in the annual meeting proxy

| Votes
For | Votes
Against | Outcome |
| --- | --- | --- |
| 1,743,482 | 234,516 | Approved
with an affirmative vote of 88.1% |

Item 3. Ratification of Sadler, Gibb & Associates LLC as Independent Public Accountants for Fiscal Year 2017

| Votes
For | Votes
Against | Votes
Abstained | Outcome |
| --- | --- | --- | --- |
| 4,841,517 | 47,794 | 1,969 | Approved
with an affirmative vote of 99.0% of votes cast |

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.

| SOCKET MOBILE,
INC. — /s/
David W. Dunlap |
| --- |
| Name: David W. Dunlap |
| Vice President, Finance and Administration and Chief Financial Officer |