# EDGAR Filing Document

**Accession Number:** 0001533040
**File Stem:** 0001683168-25-006985
**Filing Date:** 2025-9
**Character Count:** 9322
**Document Hash:** 9f85ded29171e55d95fae7169a89e31e
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001683168-25-006985.hdr.sgml**: 20250915

**ACCESSION NUMBER**: 0001683168-25-006985

**CONFORMED SUBMISSION TYPE**: 8-K

**PUBLIC DOCUMENT COUNT**: 12

**CONFORMED PERIOD OF REPORT**: 20250911

**ITEM INFORMATION**: Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers: Compensatory Arrangements of Certain Officers

**ITEM INFORMATION**: Submission of Matters to a Vote of Security Holders

**FILED AS OF DATE**: 20250915

**DATE AS OF CHANGE**: 20250915

**FILER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** Phio Pharmaceuticals Corp.
- **CENTRAL INDEX KEY:** 0001533040
- **STANDARD INDUSTRIAL CLASSIFICATION:** PHARMACEUTICAL PREPARATIONS [2834]
- **ORGANIZATION NAME:** 03 Life Sciences
- **EIN:** 453215903
- **STATE OF INCORPORATION:** DE
- **FISCAL YEAR END:** 1231

**FILING VALUES:**
- **FORM TYPE:** 8-K
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 001-36304
- **FILM NUMBER:** 251314299

**BUSINESS ADDRESS:**
- **STREET 1:** 411 SWEDELAND ROAD
- **STREET 2:** SUITE 23-1080
- **CITY:** KING OF PRUSSIA
- **STATE:** PA
- **ZIP:** 19406
- **BUSINESS PHONE:** (508) 767-3861

**MAIL ADDRESS:**
- **STREET 1:** 411 SWEDELAND ROAD
- **STREET 2:** SUITE 23-1080
- **CITY:** KING OF PRUSSIA
- **STATE:** PA
- **ZIP:** 19406

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** RXi Pharmaceuticals Corp
- **DATE OF NAME CHANGE:** 20111019

?xml version='1.0' encoding='ASCII'? 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**

**Date of report (Date of earliest event reported): September 11, 2025**

**PHIO PHARMACEUTICALS CORP.**

**(Exact name of registrant as specified in its charter)**

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| | | |
|:---|:---|:---|
| **Delaware** | **001-36304** | **45-3215903** |
| (State or other jurisdiction of incorporation)  | (Commission File Number) | (I.R.S. Employer Identification No.) |

---

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| | |
|:---|:---|
| **411 Swedeland Road, Suite 23-1080** |  |
| **King of Prussia, PA** | **19406** |
| (Address of principal executive offices) | (Zip Code) |

---

Registrant's telephone number, including area code: **(508) 767-3861**

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:

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| | | |
|:---|:---|:---|
| Title of each class: | Trading Symbol(s): | Name of each exchange on which registered: |
| **Common Stock, par value $0.0001 per share** | **PHIO** | **The Nasdaq** **Capital 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 5.02. Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers.**

As described in Item 5.07 below, Phio Pharmaceuticals Corp. (the "Company") held its 2025 Annual Meeting of Stockholders (the "Annual Meeting") on September 11, 2025. At the Annual Meeting, the Company's stockholders, upon the recommendation of the Company's Board of Directors, approved an amendment and restatement of the 2020 Phio Pharmaceuticals Corp. Long Term Incentive Plan (as so amended and restated, the "2020 Plan"). The amendment and restatement of the 2020 Plan became effective upon stockholder approval and increased the number of shares of common stock that may be issued thereunder by 950,000, to a total of 1,023,017 shares of common stock available for issuance under the 2020 Plan, as described under Proposal No. 3 of the Company's definitive proxy statement filed on Schedule 14A with the Securities and Exchange Commission on July 30, 2025 (the "2025 Proxy Statement"), which description is incorporated herein by reference.

The foregoing description of the amended and restated 2020 Plan is qualified in its entirety by reference to the text of the 2020 Plan, which is filed as Exhibit 10.1 to this Current Report on Form 8-K and incorporated herein by reference.

**Item 5.07. Submission of Matters to a Vote of Security Holders.**

At the Annual Meeting, the Company's stockholders voted and: (1) elected each of the six directors to serve until the Company's 2026 Annual Meeting of Stockholders; (2) ratified the appointment of Grant Thornton, LLP as the Company's independent registered public accounting firm for the year ending December 31, 2025; (3) approved the amendment and restatement of the 2020 Plan to increase the number of shares of common stock available for issuance thereunder by 950,000; (4) approved, by non-binding advisory vote, the compensation of the Company's named executive officers ("Say on Pay"); and (5) approved, by non-binding advisory vote, "3 years" as the preferred frequency of future advisory votes on the compensation of the Company's named executive officers ("Say on Frequency").

The Company had 4,798,154 shares of common stock issued and outstanding at the close of business on July 18, 2025, the record date for eligibility to vote at the Annual Meeting, and there were present (in person virtually or represented by valid proxy) a total of 2,374,235 shares of common stock at the Annual Meeting.

At the Annual Meeting, the Company's stockholders voted in the following manner with respect to the following proposals:

**Proposal 1: Election of Directors**

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| | | | |
|:---|:---|:---|:---|
| **Nominee** | **Votes**<br> **For** | **Votes**<br> **Withheld** | **Broker**<br> **Non-Votes** |
| Robert J. Bitterman | 500163 | 45607 | 1828465 |
| Patricia A. Bradford | 459167 | 86603 | 1828465 |
| David H. Deming | 525365 | 20405 | 1828465 |
| Robert L. Ferrara | 506485 | 39285 | 1828465 |
| Jonathan E. Freeman, Ph.D. | 430195 | 115575 | 1828465 |
| Curtis A. Lockshin, Ph.D. | 509802 | 35968 | 1828465 |

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**Proposal 2: Ratification of Auditor**

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| | | | |
|:---|:---|:---|:---|
| **Votes**<br> **For** | **Votes**<br> **Against** | **Votes**<br> **Abstained** | **Broker**<br> **Non-Votes** |
| 2330465 | 40532. | 3238 |  |

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**Proposal 3: Amendment and Restatement of the 2020 Phio Pharmaceuticals Corp. Long Term Incentive Plan**

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| | | | |
|:---|:---|:---|:---|
| **Votes**<br> **For** | **Votes**<br> **Against** | **Votes**<br> **Abstained** | **Broker**<br> **Non-Votes** |
| 387895 | 152069 | 5806 | 1828465 |

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**Proposal 4: Say on Pay**

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| | | | |
|:---|:---|:---|:---|
| **Votes For** | **Votes Against** | **Votes Abstained** | **Broker** <br> **Non-Votes** |
| 474987 | 43515 | 27268 | 1828465 |

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**Proposal 5: Say on Frequency**

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| | | | |
|:---|:---|:---|:---|
| **1 Year** | **2 Years** | **3 Years** | **Votes Abstained** |
| 206148 | 39751 | 276177 | 23694 |

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The Company's Board of Directors has determined, in light of and consistent with the advisory vote of the Company's stockholders as to the preferred frequency of stockholder advisory votes on the compensation of the Company's named executive officers, to include a stockholder advisory vote on the compensation of the Company's named executive officers in its annual meeting proxy materials once every three years until the next advisory vote on the frequency of stockholder votes on the compensation of the Company's named executive officers.

**Item 9.01. Financial Statements and Exhibits.**

**(d) Exhibits.**

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| | |
|:---|:---|
| **Exhibit Number** | **Description** |
| 10.1 | [2020 Phio Pharmaceuticals Corp. Long Term Incentive Plan, as amended and restated](https://www.sec.gov/Archives/edgar/data/1533040/000168316825006846/phio_ex0408.htm) (incorporated by reference to Exhibit 4.8 to the Registrant's Registration Statement on Form S-8 filed with the Commission on September 11, 2025). |
| 104 | Cover page interactive data file (formatted as inline XBRL). |

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**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.

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| | | |
|:---|:---|:---|
| Date: September 15, 2025 | **PHIO PHARMACEUTICALS CORP.** | **PHIO PHARMACEUTICALS CORP.** |
|  | By: | /s/ Robert J. Bitterman |
|  | Name:<br> Title: | Robert J. Bitterman<br> President & Chief Executive Officer |

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