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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): December 18, 2025

 

 

 

TAO Synergies Inc.

(Exact name of registrant as specified in its charter)

 

 

 

Delaware   001-40458   48-1585656
(State or other jurisdiction
of incorporation)
  (Commission File Number)   (IRS Employer
Identification No.)

 

1185 Avenue of the Americas, 3rd Floor
New York, New York 10036
(Address of principal executive offices and zip code)

 

Registrant’s telephone number, including area code: (973) 242-0005

 

(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 (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:

 

Title of each class   Trading
Symbol(s)
  Name of each exchange on which
registered
Common Stock, $0.0001 par value per share   TAOX   The Nasdaq Capital Market LLC

 

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 5.02. Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers.

 

(e) At the Annual Meeting (as defined below) of TAO Synergies Inc. (the “Company”), stockholders approved an amendment and restatement of the Company’s 2020 Equity Incentive Plan (as amended and restated, the “Amended and Restated Equity Incentive Plan”) to increase the number of shares of common stock (“Common Stock”) reserved for issuance thereunder by 500,000 shares to 3,175,000 shares.

 

The foregoing description of the Amended and Restated Equity Incentive Plan does not purport to be complete and is qualified in its entirety by reference to the full text of the Amended and Restated Equity Incentive Plan, a copy of which is attached as Exhibit 10.1 to this Current Report on Form 8-K (the “Current Report”) and incorporated herein by reference.

 

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

 

On December 18, 2025, the Company held its Annual Meeting of Stockholders (the “Annual Meeting”). At the Annual Meeting, the holders of 3,318,341 shares of the Company’s Common Stock, or approximately 43.18% of the Company’s outstanding shares of Common Stock, were represented in person or by proxy and, therefore, a quorum was present. At the Annual Meeting, the Company’s stockholders considered five proposals, which are described briefly below and in more detail in the proxy statement. The final voting results for each proposal are set forth below.

 

Proposal 1 – Election of Directors

 

The Company’s stockholders voted to elect one director, Bruce T. Bernstein, to hold office until the 2028 annual meeting of stockholders, and until his successor is elected and qualified, by the following votes:

 

Nominee   Shares Voted For   Shares Voted Against   Abstentions
Bruce T. Bernstein   1,040,943   74,437   12,198

 

Proposal 2 - Approval of the Issuance of Common Stock Underlying Shares of Convertible Preferred Stock and Warrants

 

The Company’s stockholders voted to authorize, for purposes of complying with Nasdaq Listing Rule 5635(d), the issuance of shares of Common Stock underlying shares of convertible preferred stock and warrants issued by the Company pursuant to the terms of (a) that certain Securities Purchase Agreement, dated October 13, 2025, by and among the Company and the investors named therein and (b) that certain engagement letter by and among the Company and GP Nurmenkari Inc. as placement agent, in an amount equal to or in excess of 20% of the Company’s Common Stock outstanding before the issuance of such convertible preferred stock and warrants (including upon the operation of anti-dilution provisions contained in such convertible preferred stock and warrants), by the following votes:

 

Shares Voted For   Shares Voted Against   Abstentions
504,481   78,798   2,109

 

Proposal 3 – Approval of Amendment to Equity Incentive Plan

 

The Company’s stockholders voted to approve a proposed amendment to the Company’s 2020 Equity Incentive Plan to increase the number of shares available for the grant of awards by 500,000 shares, by the following votes:

 

Shares Voted For   Shares Voted Against   Abstentions
994,315   110,637   22,626

 

 

 

 

Proposal 4 – Ratification of Selection of Independent Registered Public Accounting Firm

 

The ratification of the appointment of Stephano Slack LLC as the Company’s independent registered public accounting firm for the fiscal year ending December 31, 2025, by the following votes:

 

Shares Voted For   Shares Voted Against   Abstentions
3,241,023   22,536   54,782

 

Proposal 5 - Approval of Adjournment

 

The Company’s stockholders voted to approve the adjournment of the Annual Meeting to a later date or dates, if necessary or appropriate, to solicit additional proxies if there were insufficient votes to adopt either of Proposal #2 or Proposal #3 or to establish a quorum, by the following votes:

 

Shares Voted For   Shares Voted Against   Abstentions
3,210,518   150,935   46,883

 

Item 9.01. Financial Statements and Exhibits.

 

(d) Exhibits

 

Exhibit Number   Description
10.1   Amended and Restated TAO Synergies Inc. 2020 Equity Incentive Plan
104   Cover Page Interactive Data File (embedded within the Inline XBRL Document)

 

 

 

 

SIGNATURES

 

Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant hass duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.

 

  TAO SYNERGIES INC.

 

Date: December 19, 2025 By: /s/ Robert Weinstein
  Name: Robert Weinstein
  Title: Chief Financial Officer