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 16, 2019
Casa Systems, Inc.
(Exact Name of Registrant as Specified in its Charter)
| Delaware | 001-38324 | 75-3108867 | ||
| (State or Other Jurisdiction of Incorporation) |
(Commission File Number) |
(IRS Employer Identification No.) | ||
| 100 Old River Road Andover, Massachusetts |
01810 | |||
| (Address of Principal Executive Offices) | (Zip Code) | |||
Registrant’s telephone number, including area code: (978) 688-6706
(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)) |
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 per share | CASA | 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 5.07. | Submission of Matters to a Vote of Security Holders. |
Casa Systems, Inc. (the “Company”) held its Annual Meeting of Stockholders on May 16, 2019. The following is a summary of the matters voted on at that meeting.
| 1. | The Company’s stockholders voted to elect Bruce R. Evans and Susana D’Emic as Class II directors to hold office until the Company’s 2022 Annual Meeting of Stockholders or until their successors are duly elected and qualified, subject to their earlier resignation or removal, and to elect Jerry Guo and Daniel S. Mead as Class I directors to hold office until the Company’s 2021 Annual Meeting of Stockholders or until their successors are duly elected and qualified, subject to their earlier resignation or removal. The results of the stockholders’ vote with respect to the election of such Class II and Class I directors were as follows: |
| Votes For | Votes Abstaining | Broker Non-Votes | ||||||||||
| Bruce R. Evans (Class II) |
47,227,367 | 11,183,007 | 19,460,994 | |||||||||
| Susana D’Emic (Class II) |
57,990,095 | 420,279 | 19,460,994 | |||||||||
| Jerry Guo (Class I) |
48,231,701 | 10,178,673 | 19,460,994 | |||||||||
| Daniel S. Mead (Class I) |
48,706,265 | 9,704,109 | 19,460,994 | |||||||||
| 2. | The Company’s stockholders voted to ratify the appointment of PricewaterhouseCoopers LLP as the Company’s independent registered public accounting firm for the fiscal year ending December 31, 2019. The results of the stockholders’ vote with respect to such ratification were as follows: |
| Votes For |
Votes Against |
Votes Abstaining |
Broker Non-Votes | |||
| 77,805,549 |
18,136 | 47,683 | 0 |
SIGNATURES
Pursuant to the requirements of the Securities Exchange Act of 1934, as amended, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.
| CASA SYSTEMS, INC. | ||||||
| Date: May 21, 2019 | By: | /s/ Maurizio Nicolelli | ||||
| Maurizio Nicolelli | ||||||
| Chief Financial Officer | ||||||