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Pursuant to Section 13 or 15(d)

of the Securities Exchange Act of 1934

Date of Report (Date of earliest event reported): June 16, 2023



Lyell Immunopharma, Inc.

(Exact name of Registrant as Specified in Its Charter)




Delaware   001-40502   83-1300510

(State or Other Jurisdiction

of Incorporation)



File Number)


(IRS Employer

Identification No.)


201 Haskins Way  
South San Francisco, California   94080
(Address of Principal Executive Offices)   (Zip Code)

Registrant’s Telephone Number, Including Area Code: 650 695-0677


(Former Name or Former Address, if Changed Since Last Report)

Not Applicable



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





Name of each exchange

on which registered

Common Stock, $0.0001 par value per share   LYEL   The Nasdaq Global Select 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  

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 June 16, 2023, Lyell Immunopharma, Inc. (the “Company”) virtually held its 2023 annual meeting of stockholders (the “Annual Meeting”). Present at the beginning of the Annual Meeting via remote communication or by proxy were the holders of 187,850,683 shares of common stock of the Company, representing 75.25% of the 249,609,247 shares of common stock outstanding as of the close of business on April 18, 2023, the record date for the Annual Meeting, and constituting a quorum for the transaction of business.

At the Annual Meeting, the Company’s stockholders voted on four proposals, each of which is described in more detail in the Company’s definitive proxy statement on Schedule 14A filed with the U.S. Securities and Exchange Commission on April 27, 2023 (the “Proxy Statement”). The following is a brief description of each matter voted upon and the certified results, including the number of votes cast for or against each matter and, if applicable, the number of votes withheld, abstentions and broker non-votes with respect to each matter.



To elect the following three Class II directors to hold office until the Company’s 2026 annual meeting of stockholders. The voting results were as follows:



   Votes For      Votes

Richard Klausner, M.D.

     150,646,318        3,290,081        33,914,284        187,850,683  

Otis Brawley, M.D.

     143,059,192        10,877,207        33,914,284        187,850,683  

William Rieflin

     150,032,005        3,904,394        33,914,284        187,850,683  



To ratify the appointment of Ernst & Young LLP as the Company’s independent registered public accounting firm for the fiscal year ending December 31, 2023. The voting results were as follows:


Votes For


Votes Against





187,794,458   16,913   39,312   187,850,683



To approve, on an advisory basis, the compensation of the Company’s named executive officers, as disclosed in the Proxy Statement. The voting results were as follows:


Votes For


Votes Against




Broker Non-Votes



131,476,834   3,278,721   19,180,844   33,914,284   187,850,683



To indicate, on an advisory basis, the preferred frequency of stockholder advisory votes to approve the compensation of the Company’s named executive officers. The voting results were as follows:


Vote For Every
One Year


Vote For Every
Two Years


Vote For Every
Three Years




Broker Non-Votes



142,962,684   695   33,332   10,939,688   33,914,284   187,850,683

In light of the outcome of the stockholder vote and other relevant factors, on June 19, 2023, the Company’s Board of Directors adopted a resolution providing that the Company will hold future stockholder advisory votes on the compensation of the Company’s named executive officers on an annual basis. This policy will remain in effect until the next required stockholder vote on the frequency of advisory votes on the compensation of named executive officers, which is required to occur no later than the Company’s Annual Meeting of Stockholders in 2029.


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 thereunto duly authorized.


      Lyell Immunopharma, Inc.
Date: June 21, 2023     By:  

/s/ Charles Newton

      Charles Newton
      Chief Financial Officer