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Washington, D.C. 20549





Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934


Date of Report (Date of earliest event reported): May 18, 2023



(Exact Name of Registrant as Specified in its Charter)


Virginia   001-37372   03-0416362
(State or Other Jurisdiction
of Incorporation or Organization)
  (Commission File Number)   (IRS Employer Identification


100 Technology Center Drive
Suite 300
Stoughton, MA 02072
(Address of principal executive offices) (Zip Code)


Registrant’s telephone number, including area code: (781) 713-3699


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 $0.001 per share COLL The NASDAQ Global Select Market


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))


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 5.07Submission of Matters to a Vote of Security Holders.


A total of 34,581,020 shares of common stock of Collegium Pharmaceutical, Inc. (the “Company”) were entitled to vote as of March 31, 2023, the record date for the Annual Meeting, of which 30,815,695 were present in person or by proxy at the Annual Meeting.  The following is a summary of the final voting results for each matter presented to shareholders.




Election of nine Directors to hold office until the 2024 Annual Meeting of Shareholders.


Nominee  For   Against   Abstentions   Broker Non-Votes 
Rita Balice-Gordon   28,110,968    228,126    20,717    2,455,884 
Garen Bohlin   28,254,994    83,040    21,777    2,455,884 
Joseph Ciaffoni   28,252,708    86,385    20,718    2,455,884 
John Fallon   25,876,429    2,462,321    21,061    2,455,884 
John Freund   28,244,410    94,340    21,061    2,455,884 
Michael Heffernan   26,667,450    1,671,643    20,718    2,455,884 
Neil McFarlane   28,255,598    83,495    20,718    2,455,884 
Gwen Melincoff   27,982,535    353,536    23,740    2,455,884 
Gino Santini   28,128,667    210,074    21,070    2,455,884 


Each of Rita Balice-Gordon, Garen Bohlin, Joseph Ciaffoni, John Fallon, John Freund, Michael Heffernan, Neil F. McFarlane, Gwen Melincoff, and Gino Santini was re-elected by the Company’s shareholders as Directors to hold office until the 2024 Annual Meeting of Shareholders.




Approval of, on an advisory basis, the compensation of the Company’s named executive officers.


For   Against   Abstentions   Broker Non-Votes 
 27,953,926    315,383    90,502    2,455,884 


On an advisory basis, the Company’s shareholders approved the compensation of the Company’s named executive officers.




Ratification of the appointment of Deloitte & Touche LLP as the Company’s independent registered public accounting firm for the fiscal year ending December 31, 2023.


For   Against   Abstentions   Broker Non-Votes 
 30,742,534    44,006    29,155    0 


Proposal 3 was approved by the Company’s shareholders.







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.


Dated: May 19, 2023 Collegium Pharmaceutical, Inc.
  By: /s/ Colleen Tupper
    Name: Colleen Tupper
    Title: Executive Vice President and Chief Financial Officer