# EDGAR Filing Document

**Accession Number:** 0001029744
**File Stem:** 0001437749-23-006420
**Filing Date:** 2023-3
**Character Count:** 5253
**Document Hash:** 59fb64c79062b8b2beb253587422e2ab
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001437749-23-006420.hdr.sgml**: 20230314

**ACCESSION NUMBER**: 0001437749-23-006420

**CONFORMED SUBMISSION TYPE**: 8-K

**PUBLIC DOCUMENT COUNT**: 13

**CONFORMED PERIOD OF REPORT**: 20230310

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

**FILED AS OF DATE**: 20230314

**DATE AS OF CHANGE**: 20230314

**FILER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** SONIC FOUNDRY INC
- **CENTRAL INDEX KEY:** 0001029744
- **STANDARD INDUSTRIAL CLASSIFICATION:** RADIO & TV BROADCASTING & COMMUNICATIONS EQUIPMENT [3663]
- **IRS NUMBER:** 391783372
- **STATE OF INCORPORATION:** MD
- **FISCAL YEAR END:** 0930

**FILING VALUES:**
- **FORM TYPE:** 8-K
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 001-14007
- **FILM NUMBER:** 23729479

**BUSINESS ADDRESS:**
- **STREET 1:** 222 W. WASHINGTON AVENUE
- **CITY:** MADISON
- **STATE:** WI
- **ZIP:** 53703
- **BUSINESS PHONE:** 6084431600

**MAIL ADDRESS:**
- **STREET 1:** 222 W. WASHINGTON AVENUE
- **CITY:** MADISON
- **STATE:** WI
- **ZIP:** 53703

sofo20230307_8k.htm

**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**

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| | | |
|:---|:---|:---|
| **March 10**, 2023**<br> Date of Report (Date of earliest event reported) | **March 10**, 2023**<br> Date of Report (Date of earliest event reported) | **March 10**, 2023**<br> Date of Report (Date of earliest event reported) |
| **Sonic Foundry, Inc.**<br> (Exact name of registrant as specified in its charter) | **Sonic Foundry, Inc.**<br> (Exact name of registrant as specified in its charter) | **Sonic Foundry, Inc.**<br> (Exact name of registrant as specified in its charter) |
| Maryland<br> (State or other jurisdiction<br> of incorporation) | 000-30407<br> (Commission<br> File Number) | 39-1783372<br> (IRS Employer<br> Identification No.) |

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| | |
|:---|:---|
| 222 W. Washington Ave<br> Madison, WI 53703<br> (Address of principal executive offices) | (608) 443-1600<br> (Registrant's telephone number) |

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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, $0.01 par value | SOFO | Nasdaq Capital Market |

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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:

☐ 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))

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. ☐

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

The Annual Meeting of Stockholders was held on March 10, 2023. A quorum consisting of approximately 84.8% of the Company's common stock issued and outstanding was represented either in person or by proxy. At the meeting the following proposals were approved by the stockholders:

1. To elect one director to hold office for a term of five years, and until his successor is duly elected and qualified.

2. To approve a proposal to amend the 2020 Equity Incentive Plan to increase the number of shares of common stock subject to the plan from 2,000,000 to 3,000,000.

3. To approve, by a non-binding advisory vote, of the compensation paid by Sonic to its named executive officers. 

4. To ratify the appointment of Wipfli LLP as our independent auditors for the fiscal year ending September 30, 2023.

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| | | | | | | | | |
|:---|:---|:---|:---|:---|:---|:---|:---|:---|
|  | For | For | Against | Against | Abstention/<br> Withheld | Abstention/<br> Withheld | Broker<br> Non-votes | Broker<br> Non-votes |
| **Proposal #1:**<br> William St. Lawrence |  | 6361999 |  |  |  | 190616 |  | 3688603 |
| **Proposal #2** |  | 5984654 |  | 467277 |  | 100684 |  | 3688603 |
| **Proposal #3** |  | 6313636 |  | 236150 |  | 2829 |  | 3688603 |
| **Proposal #4** |  | 10136185 |  | 103250 |  | 1783 |  |  |

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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.

<u>Sonic Foundry, Inc.</u>

(Registrant)

March 14, 2023

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| | |
|:---|:---|
| By: | /s/ Kenneth A. Minor |
| By: | Kenneth A. Minor |
| Title: | Chief Financial Officer |

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