# EDGAR Filing Document

**Accession Number:** 0001792581
**File Stem:** 0001104659-23-029544
**Filing Date:** 2023-3
**Character Count:** 6097
**Document Hash:** e60b133d2db4e057cf12434f5318b547
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001104659-23-029544.hdr.sgml**: 20230307

**ACCESSION NUMBER**: 0001104659-23-029544

**CONFORMED SUBMISSION TYPE**: 8-K

**PUBLIC DOCUMENT COUNT**: 12

**CONFORMED PERIOD OF REPORT**: 20230307

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

**FILED AS OF DATE**: 20230307

**DATE AS OF CHANGE**: 20230307

**FILER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** Kiromic Biopharma, Inc.
- **CENTRAL INDEX KEY:** 0001792581
- **STANDARD INDUSTRIAL CLASSIFICATION:** BIOLOGICAL PRODUCTS (NO DIAGNOSTIC SUBSTANCES) [2836]
- **IRS NUMBER:** 464762913
- **STATE OF INCORPORATION:** DE
- **FISCAL YEAR END:** 1231

**FILING VALUES:**
- **FORM TYPE:** 8-K
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 001-39619
- **FILM NUMBER:** 23712572

**BUSINESS ADDRESS:**
- **STREET 1:** 7707 FANNIN ST.
- **STREET 2:** SUITE 140
- **CITY:** HOUSTON
- **STATE:** TX
- **ZIP:** 77054
- **BUSINESS PHONE:** 832-968-4888

**MAIL ADDRESS:**
- **STREET 1:** 7707 FANNIN ST.
- **STREET 2:** SUITE 140
- **CITY:** HOUSTON
- **STATE:** TX
- **ZIP:** 77054

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** Kiromic, Inc.
- **DATE OF NAME CHANGE:** 20191029

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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**

Date of Report (Date of earliest event reported): March 7, 2023

<u>**Kiromic BioPharma, Inc.**</u>

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

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| | | |
|:---|:---|:---|
| **Delaware** | **001-39619** | **46-4762913** |
| (State or other jurisdiction<br> of incorporation) | (Commission File Number) | (IRS Employer Identification No.) |

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**7707 Fannin, Suite 140**

**Houston, TX, 77054**

(Address of principal executive offices) (Zip Code)

Registrant's telephone number, including area code **(832) 968-4888**

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<br> Registered** |
| Common Stock, $0.001 par value | KRBP | The Nasdaq Stock Market LLC |

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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 x

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&nbsp;&nbsp;&nbsp;&nbsp; Submission of Matters to a Vote of Security Holders**

On March 7, 2023, Kiromic Biopharma, Inc. (the "Company") held its Special Meeting of Stockholders (the "Special Meeting"). A total of 11,756,187 shares of common stock, constituting a quorum, were represented in person or by valid proxies at the Special Meeting. The final results for each of the matters submitted to a vote of stockholders at the Special Meeting, as set forth in the Definitive Proxy Statement, filed with the Securities and Exchange Commission on January 25, 2023 are as follows:

*Proposal 1*. The grant of discretionary authority to our board of directors to (i) amend our certificate of incorporation to combine outstanding shares of our common stock into a lesser number of outstanding shares, or a "reverse stock split," at a specific ratio within a range of one-for-two (1-for-2) to a maximum of a one-for-thirty (1-for-30) split, with the exact ratio to be determined by our board of directors in its sole discretion; and (ii) effect the reverse stock split, if at all, within one year is approved by the stockholders:

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| | | | |
|:---|:---|:---|:---|
| **For** | **Against** | **Abstain** | **Broker Non-Vote** |
| 11276965 | 447527 | 31695 | 1753718 |

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*Proposal 2.* In accordance with Nasdaq Marketplace Rule 5635(d), the issuance of our common stock to YA II PN, Ltd. ("Yorkville") in excess of the exchange cap of the Standby Equity Purchase Agreement dated October 13, 2022, by and between the Company and Yorkville (included in Appendix B to the proxy statement) is approved by the stockholders:

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| | | |
|:---|:---|:---|
| **For** | **Against** | **Abstain** |
| 8389732 | 240016 | 1372721 |

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*Proposal 3.* In accordance with Nasdaq Marketplace Rule 5635(d), the issuance of our common stock to the holder of the 25% Senior Secured Convertible Promissory Note ("the Holder") in excess of the share cap of the Amended and Restated 25% Senior Secured Convertible Promissory Note and Security Agreement dated December 12, 2022, by and between the Company and the Holder (included in Appendix C to the proxy statement) is approved by the stockholders:

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| | | |
|:---|:---|:---|
| **For** | **Against** | **Abstain** |
| 8371648 | 253588 | 1377233 |

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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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| | | |
|:---|:---|:---|
|  | **Kiromic BioPharma, Inc.** | **Kiromic BioPharma, Inc.** |
| Date: March 7, 2023 | By: | */s/ Pietro Bersani* |
|  |  | Pietro Bersani |
|  |  | Chief Executive Officer |

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