# EDGAR Filing Document

**Accession Number:** 0001862150
**File Stem:** 0001641172-25-014621
**Filing Date:** 2025-6
**Character Count:** 10739
**Document Hash:** d0c1425ac50dc0e7041404ff09db6eb5
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001641172-25-014621.hdr.sgml**: 20250611

**ACCESSION NUMBER**: 0001641172-25-014621

**CONFORMED SUBMISSION TYPE**: 8-K

**PUBLIC DOCUMENT COUNT**: 14

**CONFORMED PERIOD OF REPORT**: 20250610

**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

**ITEM INFORMATION**: Financial Statements and Exhibits

**FILED AS OF DATE**: 20250611

**DATE AS OF CHANGE**: 20250611

**FILER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** Cingulate Inc.
- **CENTRAL INDEX KEY:** 0001862150
- **STANDARD INDUSTRIAL CLASSIFICATION:** PHARMACEUTICAL PREPARATIONS [2834]
- **ORGANIZATION NAME:** 03 Life Sciences
- **EIN:** 863825535
- **STATE OF INCORPORATION:** DE
- **FISCAL YEAR END:** 1231

**FILING VALUES:**
- **FORM TYPE:** 8-K
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 001-40874
- **FILM NUMBER:** 251038756

**BUSINESS ADDRESS:**
- **STREET 1:** 1901 W. 47TH PLACE
- **CITY:** KANSAS CITY
- **STATE:** KS
- **ZIP:** 66205
- **BUSINESS PHONE:** (913) 942-2300

**MAIL ADDRESS:**
- **STREET 1:** 1901 W. 47TH PLACE
- **CITY:** KANSAS CITY
- **STATE:** KS
- **ZIP:** 66205

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

**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): **June 10, 2025**

**CINGULATE INC.**

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

---

| | | |
|:---|:---|:---|
| **Delaware** | **001-40874** | **86-3825535** |
| *(State or other jurisdiction* | *(Commission* | *(IRS Employer* |
| *of incorporation)* | *File Number)* | *Identification No.)* |

---

**1901 W. 47<sup>th</sup> Place**

**Kansas City, KS 66205**

*(Address of principal executive offices) (Zip Code)*

 

**(913) 942-2300**

*(Registrant's telephone number, including area code)*

*(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)** | <br> **Name of exchange on which registered** |
| Common Stock, par value $0.0001 per share | CING | The Nasdaq Stock Market LLC<br> (Nasdaq Capital Market) |
| Warrants, exercisable for one share of common stock | CINGW | The Nasdaq Stock Market LLC<br> (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 (17 CFR §230.405) or Rule 12b-2 of the Securities Exchange Act of 1934 (17 CFR §240.12b-2).

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.**

At the Cingulate Inc. (the "Company") 2025 Annual Meeting of Stockholders held on June 10, 2025 (the "Annual Meeting"), the Company's stockholders approved Amendment No. 2 to the Cingulate Inc. 2021 Omnibus Equity Incentive Plan (the "Equity Plan") to increase the number of shares of common stock authorized for issuance thereunder by 800,000 shares (the "Amendment"). The board of directors of the Company had previously approved the Amendment, subject to stockholder approval, and the Amendment became effective upon such stockholder approval.

A copy of the Amendment is included with this Form 8-K as Exhibit 10.1 and is incorporated herein by reference, and the foregoing summary is qualified in its entirety by reference to the terms and provisions of the Amendment.

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

At the Annual Meeting, five proposals were submitted to the Company's stockholders. The final voting results were as follows:

Proposal 1

The Company's stockholders elected the following Class I director to serve for a term expiring at the 2028 annual meeting of stockholders and until his successor has been duly elected.

---

| | | | | | | |
|:---|:---|:---|:---|:---|:---|:---|
| **Name** | **For** | **For** | **Withhold** | **Withhold** | **Broker Non-Votes** | **Broker Non-Votes** |
| Peter J. Werth |  | 732644 |  | 42708 |  | 1663518 |

---

Proposal 2

The Company's stockholders approved the ratification of the appointment of KPMG LLP as the Company's independent registered public accounting firm for the year ending December 31, 2025.

---

| | | | | | | | |
|:---|:---|:---|:---|:---|:---|:---|:---|
| **For** | **For** | **Against** | **Against** | **Abstain** | **Abstain** | **Broker Non-Votes** | **Broker Non-Votes** |
|  | 2434032 |  | 1630 |  | 3208 |  | 0 |

---

Proposal 3

The Company's stockholders approved the Amendment to the Equity Plan to increase the number of shares of common stock authorized for issuance thereunder by 800,000 shares to 1,141,826 shares.

---

| | | | | | | | |
|:---|:---|:---|:---|:---|:---|:---|:---|
| **For** | **For** | **Against** | **Against** | **Abstain** | **Abstain** | **Broker Non-Votes** | **Broker Non-Votes** |
|  | 606730 |  | 165846 |  | 2776 |  | 1663518 |

---

Proposal 4

The Company's stockholders adopted and approved an amendment to the Company's Amended and Restated Certificate of Incorporation to effect a reverse stock split of the Company's issued shares of common stock, at a specific ratio, ranging from one-for-two (1:2) to one-for-twenty-five (1:25), at any time prior to the one-year anniversary date of the Annual Meeting, with the exact ratio to be determined by the Board of Directors without further approval or authorization of the Company's stockholders.

---

| | | | | | | | |
|:---|:---|:---|:---|:---|:---|:---|:---|
| **For** | **For** | **Against** | **Against** | **Abstain** | **Abstain** | **Broker Non-Votes** | **Broker Non-Votes** |
|  | 1565119 |  | 823046 |  | 50705 |  | 0 |

---

Proposal 5

The Company's stockholders approved the adjournment of the Annual Meeting to a later date or dates, if necessary or appropriate, to permit further solicitation and vote of proxies in the event that there are insufficient votes for, or otherwise in connection with, the approval of one or more of foregoing proposals. Adjournment of the Annual Meeting was deemed not necessary, because there were sufficient votes at the time of the Annual Meeting to approve each proposal.

---

| | | | | | | | |
|:---|:---|:---|:---|:---|:---|:---|:---|
| **For** | **For** | **Against** | **Against** | **Abstain** | **Abstain** | **Broker Non-Votes** | **Broker Non-Votes** |
|  | 1910553 |  | 499038 |  | 29279 |  | 0 |

---

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

(d) Exhibits

---

| | |
|:---|:---|
| Exhibit No. | Description |
| 10.1 | [Amendment No. 2 to the Cingulate Inc. 2021 Omnibus Equity Incentive Plan](ex10-1.htm) |
| 104 | Cover Page Interactive Data File (embedded within the Inline XBRL document) |

---

**SIGNATURE**

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.

---

| | | |
|:---|:---|:---|
|  | **CINGULATE INC.** | **CINGULATE INC.** |
| Dated: June 11, 2025 | By: | */s/ Shane J. Schaffer* |
|  | Name: | Shane J. Schaffer |
|  | Title: | Chief Executive Officer |

---

## Exhibit 10.1

**Exhibit 10.1**

**AMENDMENT No. 2 TO THE CINGULATE INC. 2021 OMNIBUS**

**EQUITY INCENTIVE PLAN**

This second Amendment (the "<u>Amendment</u>") to the Cingulate Inc. 2021 Omnibus Equity Incentive Plan (the "<u>Plan</u>") of Cingulate Inc. (the "<u>Company</u>"), is made as of April 14, 2025. All capitalized terms used but not defined in this Amendment shall have the meanings assigned to such terms in the Plan.

**W I T N E S S E T H:**

**WHEREAS**, Section 17.2 of the Plan reserves to the Board of Directors of the Company (the "<u>Board</u>") the right to amend the Plan from time to time;

**WHEREAS**, the Board desires to increase the number of shares of Common Stock reserved for issuance under the Plan from 341,826 shares to 1,141,826 shares, subject to approval by the Company's stockholders.

**NOW**, **THEREFORE**, be it effective as of the date of approval by the Company's stockholders, the Plan is hereby amended as follows:

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;1. **Amendment to Section 4.1**. Section 4.1(a) of the Plan is hereby amended and restated in
 its entirety, to read as follows:

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;(a) Subject
 to adjustment pursuant to <u>Section 4.3</u> and any other applicable provisions hereof, the maximum aggregate number of shares
 of Common Stock, which may be issued under all Awards granted to Participants under the Plan, shall be 1,141,826 shares; all of which
 may, but need not, be issued in respect of Incentive Stock Options.

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;2. This
 Amendment shall be subject to approval by the stockholders of the Company within 12 months
 after the date this Amendment is adopted. Such stockholder approval shall be obtained in
 the manner and to the degree required under applicable laws.

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;3. Except
 as set forth herein, the Plan shall remain in full force and effect without modification.

**IN WITNESS WHEREOF**, the undersigned officer hereby certifies that the foregoing amendment to the Plan was duly adopted and approved by the Board.

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| | | |
|:---|:---|:---|
| Dated: April 14, 2025 | **CINGULATE INC.** | **CINGULATE INC.** |
|  |  | */s/ Shane J. Schaffer* |
|  | Name: | Shane J. Schaffer |
|  | Title: | Chairman and Chief Executive Officer |

---