Form 8-K
8-K — Transcode Therapeutics, Inc.
Accession: 0001104659-26-085073
Filed: 2026-07-20
Period: 2026-07-20
CIK: 0001829635
SIC: 2834 (PHARMACEUTICAL PREPARATIONS)
Item: Submission of Matters to a Vote of Security Holders
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8-K — tm2620898d1_8k.htm (Primary)
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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): July 20 2026
TRANSCODE
THERAPEUTICS, INC.
(Exact name of registrant as specified in its
charter)
Delaware
001-40363
81-1065054
(State or other jurisdiction
of incorporation)
(Commission
File Number)
(I.R.S. Employer
Identification No.)
TransCode
Therapeutics, Inc.
6
Liberty Square, #2382
Boston, Massachusetts
02109
(Address
of principal executive offices, including zip code)
(857)
837-3099
(Registrant’s
telephone number, including area code)
Not Applicable
(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:
¨
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, par value $0.0001 per share
RNAZ
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 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
Submission of Matters to a Vote of Security Holders.
On July 202, 2026, TransCode Therapeutics, Inc. (the “Company”)
held its 2026 Annual Meeting of Stockholder (the “Annual Meeting”). Present at the Annual Meeting in person or by proxy were
holders of 495,162 shares of the Company’s common stock, par value $0.0001 per share (“Common Stock”), representing
52.1% of the voting power of the shares of Common Stock as of the close of business on May 28, 2026, the record date for the Annual Meeting,
and constituting a quorum for the transaction of business. All matters voted upon at the Annual Meeting were approved with the required
votes, including for purposes of applicable Nasdaq Listing Rules. The matters that were voted upon at the Annual Meeting, and the number
of votes cast for or against, as well as the number of abstentions and broker non-votes, as to each such matter are set forth below.
(i) Approval, for the purposes of complying with the applicable provisions of Nasdaq Listing Rule 5635, of the issuance of the
Company’s Common Stock upon conversion of the Company’s Series A Non-Voting Convertible Preferred Stock, par value $0.0001
per share (“Series A Preferred Stock”), and the Company’s Series B Non-Voting Convertible Preferred Stock, par
value $0.0001 per share (“Series B Preferred Stock”) (“Proposal 1”).
The conversion of the Series A Preferred Stock and Series B Preferred
Stock into shares of Common Stock and the issuance of the Common Stock thereunder was approved. The following votes were tabulated:
For
Against
Abstain
Broker Non-Votes
143,162
11,518
742
256,450
(ii) Approval, for the purposes of complying with the applicable provisions of Nasdaq Listing Rule 5635(a), of the issuance of
the Company’s Common Stock upon conversion of our Series C Non-Voting Convertible Preferred Stock, par value $0.0001 per share
(“Series C Preferred Stock”) (“Proposal 2”).
The conversion of the Series C Preferred Stock into shares of Common
Stock and the issuance of the Common Stock thereunder was approved. The following votes were tabulated:
For
Against
Abstain
Broker Non-Votes
140,517
14,216
689
256,450
(iii) Approval, for the purposes of complying with the applicable provisions of Nasdaq Listing Rule 5635(d), of the issuance of shares
of the Company’s Common Stock pursuant to the Standby Equity Purchase Agreement, dated as of April 6, 2026, by and between the Company
and YA II PN, Ltd. (the “SEPA”) and convertible promissory notes issued or to be issued to by the Company to YA II PN, Ltd.
(the “Convertible Notes”).
The issuance of Common Stock pursuant to the SEPA and Convertible Notes
was approved. The following votes were tabulated:
For
Against
Abstain
Broker Non-Votes
108,292
14,170
32,960
256,450
2
(iv) Election of six (6) directors, Philippe P. Calais, PharmD, PhD, Elizabeth Czerepak, Thomas A. Fitzgerald, Erik Manting, PhD, Magda
Marquet, PhD and Jack E. Stover for one-year terms until his or her successor has been duly elected and qualified, or until his or her
earlier death, resignation or removal.
The Company’s stockholders voted to approve the election of each
of the director nominees. The following votes were tabulated:
Director Nominee
For
Withhold
Broker Non-Votes
Philippe P. Calais
149,389
6,033
256,450
Elizabeth Czerepak
149,336
6,086
256,450
Thomas A. Fitzgerald
149,321
6,101
256,450
Erik Manting
149,628
5,794
256,450
Magda Marquet
149,584
5,838
256,450
Jack E. Stover
149,416
6,006
256,450
(v) Approval of an amendment to the TransCode Therapeutics, Inc. 2021 Stock Option and Incentive Plan to increase the number of shares
available for issuance thereunder by 1,734,262 shares.
The Company’s stockholders approved the amendment to the TransCode
Therapeutics, Inc. 2021 Stock Option and Incentive Plan. The following votes were tabulated:
For
Against
Abstain
Broker Non-Votes
124,643
30,449
330
256,450
(vi) Ratification of the appointment of WithumSmith+Brown, PC as the Company’s independent registered public accounting firm for
the fiscal year ending December 31, 2026.
The Company’s stockholders ratified the appointment
of WithumSmith+Brown, PC as the Company’s independent registered public accounting firm for the fiscal year ending December 31,
2026. The following votes were tabulated:
For
Against
Abstain
393,497
18,172
203
(vii) Approval of the adjournment of the Annual Meeting to a later date or dates, if necessary or appropriate.
The Company’s stockholders approved the adjournment
of the Annual Meeting, if necessary. No corresponding motion was made to approve an adjournment to the Annual Meeting following approval
of the proposal, because sufficient votes were received to approve all other matters brought before the Annual Meeting. The following
votes were tabulated:
For
Against
Abstain
Broker Non-Votes
137,062
18,253
107
256,450
The proposals are described in detail in the Company’s
Definitive Proxy Statement filed with the Securities and Exchange Commission on June 2, 2026, as supplemented by the supplement to the
Definitive Proxy Statement filed with the Securities and Exchange Commission on July 17, 2026.
Nasdaq has approved the Company’s Nasdaq Initial Listing Application
required under Nasdaq Listing Rules 5110 and 5635(b) in connection with the approval of Proposal 1 and Proposal 2.
3
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.
TRANSCODE
THERAPEUTICS, INC.
By:
/s/
Thomas A. Fitzgerald
Name:
Thomas A. Fitzgerald
Title:
Chief
Financial Officer and Secretary
July
20, 2026
4
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