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<title>avnw-20201111</title></head><body><div style="display:none"><ix:header><ix:hidden><ix:nonNumeric contextRef="i89989b93a8e54626a17b2fb46d972da0_D20201111-20201111" name="dei:EntityCentralIndexKey" id="id3VybDovL2RvY3MudjEvZG9jOmZkNzU5MmZkNTcxODRmZDJhM2IyMDRhMjgyNTM5YmU0L3NlYzpmZDc1OTJmZDU3MTg0ZmQyYTNiMjA0YTI4MjUzOWJlNF80L2ZyYWc6NzA4MDA3Mzk2YzYwNGZlNTk3MzM2NTA0ZGZmNWUwNjcvdGFibGU6Y2E5N2U0YzY5NjE4NGUxZjkzNGIwNGRhOTE1YTVlYzMvdGFibGVyYW5nZTpjYTk3ZTRjNjk2MTg0ZTFmOTM0YjA0ZGE5MTVhNWVjM18xLTEtMS0xLTA_2c4935c0-0e37-4dec-8313-4bceafdc69d0">0001377789</ix:nonNumeric><ix:nonNumeric contextRef="i89989b93a8e54626a17b2fb46d972da0_D20201111-20201111" name="dei:AmendmentFlag" 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style="margin-bottom:5pt;margin-top:5pt;padding-left:2.25pt"><table style="border-collapse:collapse;display:inline-table;vertical-align:top;width:99.853%"><tr><td style="width:1.0%"></td><td style="width:98.900%"></td><td style="width:0.1%"></td></tr><tr style="height:3pt"><td colspan="3" style="border-bottom:1pt solid #000000;border-top:1pt solid #000000;padding:0 1pt"></td></tr></table></div><div style="margin-top:3pt;text-align:center"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:16pt;font-weight:700;line-height:144%">UNITED STATES</span></div><div style="text-align:center"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:16pt;font-weight:700;line-height:144%">SECURITIES AND EXCHANGE COMMISSION</span></div><div style="text-align:center"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:12pt;font-weight:700;line-height:144%">Washington, D.C. 20549</span></div><div style="margin-top:4pt;text-align:center"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:700;line-height:144%">_______________________</span></div><div style="margin-top:5pt;text-align:center"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:16pt;font-weight:700;line-height:144%">Form&#160;<ix:nonNumeric contextRef="i89989b93a8e54626a17b2fb46d972da0_D20201111-20201111" name="dei:DocumentType" id="id3VybDovL2RvY3MudjEvZG9jOmZkNzU5MmZkNTcxODRmZDJhM2IyMDRhMjgyNTM5YmU0L3NlYzpmZDc1OTJmZDU3MTg0ZmQyYTNiMjA0YTI4MjUzOWJlNF8xL2ZyYWc6MjZiNzA3MGM1YmU3NGMwNmJlZjBlMmIyM2U3ZmUzNDEvdGV4dHJlZ2lvbjoyNmI3MDcwYzViZTc0YzA2YmVmMGUyYjIzZTdmZTM0MV82Mjg_852ac171-0f5a-4744-b6e8-8c247a55ddc1">8-K</ix:nonNumeric></span></div><div style="margin-top:4pt;text-align:center"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:6pt;font-weight:700;line-height:144%">______________________________________</span></div><div style="margin-top:5pt;text-align:center"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:14pt;font-weight:700;line-height:144%">CURRENT REPORT</span></div><div style="margin-top:9pt;text-align:center"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:12pt;font-weight:700;line-height:144%">Pursuant to Section&#160;13 or 15(d) of the</span></div><div style="text-align:center"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:12pt;font-weight:700;line-height:144%">Securities Exchange Act of 1934</span></div><div style="text-align:center"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:12pt;font-weight:700;line-height:144%">Date of Report (Date of earliest event reported): <ix:nonNumeric contextRef="i89989b93a8e54626a17b2fb46d972da0_D20201111-20201111" format="ixt:datemonthdayyearen" name="dei:DocumentPeriodEndDate" 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id="id3VybDovL2RvY3MudjEvZG9jOmZkNzU5MmZkNTcxODRmZDJhM2IyMDRhMjgyNTM5YmU0L3NlYzpmZDc1OTJmZDU3MTg0ZmQyYTNiMjA0YTI4MjUzOWJlNF8xL2ZyYWc6MjZiNzA3MGM1YmU3NGMwNmJlZjBlMmIyM2U3ZmUzNDEvdGV4dHJlZ2lvbjoyNmI3MDcwYzViZTc0YzA2YmVmMGUyYjIzZTdmZTM0MV82Mjk_050662d3-03e3-42c0-ad1a-3e1d9ff35aca">AVIAT NETWORKS, INC.</ix:nonNumeric></span></div><div style="text-align:center"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:700;line-height:144%">(Exact name of registrant as specified in its charter)</span></div><div style="margin-bottom:7pt;margin-top:4pt;text-align:center"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:6pt;font-weight:700;line-height:120%">______________________________________</span></div><div style="margin-bottom:5pt;margin-top:5pt;padding-left:2.25pt"><table style="border-collapse:collapse;display:inline-table;vertical-align:top;width:97.660%"><tr><td style="width:1.0%"></td><td style="width:28.840%"></td><td 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Employer</span></div></td></tr><tr><td colspan="3" style="padding:2px 1pt;text-align:left;vertical-align:top"><div style="margin-bottom:2pt;padding-left:2.25pt;padding-right:2.25pt;text-align:center"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:8pt;font-weight:400;line-height:100%">of incorporation)</span></div></td><td colspan="3" style="padding:0 1pt"></td><td colspan="3" style="padding:2px 1pt;text-align:left;vertical-align:top"><div style="margin-bottom:2pt;padding-left:2.25pt;padding-right:2.25pt;text-align:center"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:8pt;font-weight:400;line-height:100%">Number)</span></div></td><td colspan="3" style="padding:0 1pt"></td><td colspan="3" style="padding:2px 1pt;text-align:left;vertical-align:top"><div style="margin-bottom:2pt;padding-left:2.25pt;padding-right:2.25pt;text-align:center"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:8pt;font-weight:400;line-height:100%">Identification No.)</span></div></td></tr><tr style="height:11pt"><td colspan="3" style="padding:0 1pt"></td><td colspan="3" style="padding:0 1pt"></td><td colspan="3" style="padding:0 1pt"></td><td colspan="3" style="padding:0 1pt"></td><td colspan="3" style="padding:0 1pt"></td></tr><tr><td colspan="15" style="padding:2px 1pt;text-align:left;vertical-align:bottom"><div style="margin-top:9pt;text-align:center"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:700;line-height:144%"><ix:nonNumeric contextRef="i89989b93a8e54626a17b2fb46d972da0_D20201111-20201111" name="dei:EntityAddressAddressLine1" 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id="id3VybDovL2RvY3MudjEvZG9jOmZkNzU5MmZkNTcxODRmZDJhM2IyMDRhMjgyNTM5YmU0L3NlYzpmZDc1OTJmZDU3MTg0ZmQyYTNiMjA0YTI4MjUzOWJlNF8xL2ZyYWc6MjZiNzA3MGM1YmU3NGMwNmJlZjBlMmIyM2U3ZmUzNDEvdGFibGU6ZDg4OGE5YjdmMzk1NDY2ZThiNjRlNWIwMWU2MDlkMWIvdGFibGVyYW5nZTpkODg4YTliN2YzOTU0NjZlOGI2NGU1YjAxZTYwOWQxYl80LTAtMS0xLTAvdGV4dHJlZ2lvbjo0MjczZjBhNjliNTM0ZWI2YmYyM2FhOTgwNDZiYWJmOV8xNg_eb9c335e-723b-4766-810e-2a609e741e14">78728</ix:nonNumeric></span></div></td></tr><tr><td colspan="15" style="padding:2px 1pt;text-align:left;vertical-align:bottom"><div style="margin-top:12pt;text-align:center"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:8pt;font-weight:400;line-height:144%">(Address of principal executive offices, including zip code)</span></div></td></tr><tr style="height:11pt"><td colspan="3" style="padding:0 1pt"></td><td colspan="3" style="padding:0 1pt"></td><td colspan="3" style="padding:0 1pt"></td><td colspan="3" style="padding:0 1pt"></td><td colspan="3" style="padding:0 1pt"></td></tr><tr><td colspan="3" style="padding:0 1pt"></td><td colspan="3" style="padding:0 1pt"></td><td colspan="3" style="padding:2px 1pt;text-align:left;vertical-align:top"><div style="margin-bottom:2pt;padding-left:2.25pt;padding-right:2.25pt;text-align:center"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:9pt;font-weight:700;line-height:100%;text-decoration:underline"><ix:nonNumeric contextRef="i89989b93a8e54626a17b2fb46d972da0_D20201111-20201111" name="dei:CityAreaCode" id="id3VybDovL2RvY3MudjEvZG9jOmZkNzU5MmZkNTcxODRmZDJhM2IyMDRhMjgyNTM5YmU0L3NlYzpmZDc1OTJmZDU3MTg0ZmQyYTNiMjA0YTI4MjUzOWJlNF8xL2ZyYWc6MjZiNzA3MGM1YmU3NGMwNmJlZjBlMmIyM2U3ZmUzNDEvdGFibGU6ZDg4OGE5YjdmMzk1NDY2ZThiNjRlNWIwMWU2MDlkMWIvdGFibGVyYW5nZTpkODg4YTliN2YzOTU0NjZlOGI2NGU1YjAxZTYwOWQxYl83LTItMS0xLTAvdGV4dHJlZ2lvbjoyNDAxY2FiYzg3OGU0OWI2YTFlNzcyN2YzNTZlNDk2Zl81_4770d4f9-0c06-488b-a51b-9cb5a49a49ae">(408)</ix:nonNumeric>-<ix:nonNumeric contextRef="i89989b93a8e54626a17b2fb46d972da0_D20201111-20201111" name="dei:LocalPhoneNumber" id="id3VybDovL2RvY3MudjEvZG9jOmZkNzU5MmZkNTcxODRmZDJhM2IyMDRhMjgyNTM5YmU0L3NlYzpmZDc1OTJmZDU3MTg0ZmQyYTNiMjA0YTI4MjUzOWJlNF8xL2ZyYWc6MjZiNzA3MGM1YmU3NGMwNmJlZjBlMmIyM2U3ZmUzNDEvdGFibGU6ZDg4OGE5YjdmMzk1NDY2ZThiNjRlNWIwMWU2MDlkMWIvdGFibGVyYW5nZTpkODg4YTliN2YzOTU0NjZlOGI2NGU1YjAxZTYwOWQxYl83LTItMS0xLTAvdGV4dHJlZ2lvbjoyNDAxY2FiYzg3OGU0OWI2YTFlNzcyN2YzNTZlNDk2Zl84_f3b24a80-6043-419d-afac-7da96b457d0b">941-7100</ix:nonNumeric></span></div></td><td colspan="3" style="padding:0 1pt"></td><td colspan="3" style="padding:0 1pt"></td></tr><tr><td colspan="3" style="padding:0 1pt"></td><td colspan="9" style="padding:2px 1pt;text-align:left;vertical-align:bottom"><div style="margin-top:9pt;text-align:center"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:8pt;font-weight:400;line-height:144%">Registrant&#8217;s telephone number, including area code</span></div></td><td colspan="3" style="padding:0 1pt"></td></tr><tr style="height:11pt"><td colspan="3" style="padding:0 1pt"></td><td colspan="3" style="border-top:1pt solid #000000;padding:0 1pt"></td><td colspan="3" style="border-top:1pt solid #000000;padding:0 1pt"></td><td colspan="3" style="border-top:1pt solid #000000;padding:0 1pt"></td><td colspan="3" style="padding:0 1pt"></td></tr></table></div><div style="margin-bottom:12pt;margin-top:5pt;text-align:center"><table style="border-collapse:collapse;display:inline-table;vertical-align:top;width:94.883%"><tr><td style="width:1.0%"></td><td style="width:29.716%"></td><td style="width:0.1%"></td><td style="width:1.0%"></td><td style="width:1.981%"></td><td style="width:0.1%"></td><td style="width:1.0%"></td><td style="width:26.172%"></td><td style="width:0.1%"></td><td style="width:1.0%"></td><td style="width:1.981%"></td><td style="width:0.1%"></td><td style="width:1.0%"></td><td style="width:34.650%"></td><td style="width:0.1%"></td></tr><tr><td colspan="15" style="padding:2px 1pt;text-align:center;vertical-align:top"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:9pt;font-weight:400;line-height:100%">Securities registered pursuant to Section&#160;12(b) of the Act:</span></td></tr><tr style="height:12pt"><td colspan="3" style="padding:0 1pt"></td><td colspan="3" style="padding:0 1pt"></td><td colspan="3" style="padding:0 1pt"></td><td colspan="3" style="padding:0 1pt"></td><td colspan="3" style="padding:0 1pt"></td></tr><tr><td colspan="3" style="padding:2px 1pt;text-align:center;vertical-align:bottom"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:8pt;font-weight:400;line-height:100%;text-decoration:underline">Title of Each Class</span></td><td colspan="3" style="padding:0 1pt"></td><td colspan="3" style="padding:2px 1pt;text-align:center;vertical-align:bottom"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:8pt;font-weight:400;line-height:100%;text-decoration:underline">Trading Symbol(s)</span></td><td colspan="3" style="padding:0 1pt"></td><td colspan="3" style="padding:2px 1pt;text-align:center;vertical-align:bottom"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:8pt;font-weight:400;line-height:100%;text-decoration:underline">Name of Each Exchange on Which Registered</span></td></tr><tr><td colspan="3" style="padding:2px 1pt;text-align:center;vertical-align:middle"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:8pt;font-weight:400;line-height:100%"><ix:nonNumeric contextRef="i89989b93a8e54626a17b2fb46d972da0_D20201111-20201111" name="dei:Security12bTitle" id="id3VybDovL2RvY3MudjEvZG9jOmZkNzU5MmZkNTcxODRmZDJhM2IyMDRhMjgyNTM5YmU0L3NlYzpmZDc1OTJmZDU3MTg0ZmQyYTNiMjA0YTI4MjUzOWJlNF8xL2ZyYWc6MjZiNzA3MGM1YmU3NGMwNmJlZjBlMmIyM2U3ZmUzNDEvdGFibGU6YzY2MWM2ZDU5NmViNDA1NGFkMmIyZWUwZTQyOWY5MjkvdGFibGVyYW5nZTpjNjYxYzZkNTk2ZWI0MDU0YWQyYjJlZTBlNDI5ZjkyOV8zLTAtMS0xLTA_c14904ad-5d17-4566-9583-2d1ef8906e5e">Common Stock, par value $0.01 per share</ix:nonNumeric><br/></span></td><td colspan="3" style="padding:0 1pt"></td><td colspan="3" style="padding:2px 1pt;text-align:center;vertical-align:middle"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:8pt;font-weight:400;line-height:100%"><ix:nonNumeric contextRef="i89989b93a8e54626a17b2fb46d972da0_D20201111-20201111" name="dei:TradingSymbol" id="id3VybDovL2RvY3MudjEvZG9jOmZkNzU5MmZkNTcxODRmZDJhM2IyMDRhMjgyNTM5YmU0L3NlYzpmZDc1OTJmZDU3MTg0ZmQyYTNiMjA0YTI4MjUzOWJlNF8xL2ZyYWc6MjZiNzA3MGM1YmU3NGMwNmJlZjBlMmIyM2U3ZmUzNDEvdGFibGU6YzY2MWM2ZDU5NmViNDA1NGFkMmIyZWUwZTQyOWY5MjkvdGFibGVyYW5nZTpjNjYxYzZkNTk2ZWI0MDU0YWQyYjJlZTBlNDI5ZjkyOV8zLTItMS0xLTA_882e3289-4c22-447f-85de-6f6aa8f3201d">AVNW</ix:nonNumeric></span></td><td colspan="3" style="padding:0 1pt"></td><td colspan="3" style="padding:2px 1pt;text-align:center;vertical-align:middle"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:8pt;font-weight:400;line-height:100%"><ix:nonNumeric contextRef="i89989b93a8e54626a17b2fb46d972da0_D20201111-20201111" format="ixt-sec:exchnameen" name="dei:SecurityExchangeName" id="id3VybDovL2RvY3MudjEvZG9jOmZkNzU5MmZkNTcxODRmZDJhM2IyMDRhMjgyNTM5YmU0L3NlYzpmZDc1OTJmZDU3MTg0ZmQyYTNiMjA0YTI4MjUzOWJlNF8xL2ZyYWc6MjZiNzA3MGM1YmU3NGMwNmJlZjBlMmIyM2U3ZmUzNDEvdGFibGU6YzY2MWM2ZDU5NmViNDA1NGFkMmIyZWUwZTQyOWY5MjkvdGFibGVyYW5nZTpjNjYxYzZkNTk2ZWI0MDU0YWQyYjJlZTBlNDI5ZjkyOV8zLTQtMS0xLTA_07bfdd80-e244-4070-a612-77b766a8fa04">NASDAQ Stock Market LLC</ix:nonNumeric><br/></span></td></tr><tr style="height:15pt"><td colspan="3" style="padding:0 1pt"></td><td colspan="3" style="padding:0 1pt"></td><td colspan="3" style="padding:0 1pt"></td><td colspan="3" style="padding:0 1pt"></td><td colspan="3" style="padding:0 1pt"></td></tr></table></div><div style="margin-bottom:7pt;text-indent:24.75pt"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:9pt;font-weight:400;line-height:144%">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:</span></div><div style="margin-bottom:5pt;margin-top:5pt;padding-left:2.25pt"><table style="border-collapse:collapse;display:inline-table;vertical-align:top;width:99.853%"><tr><td style="width:1.0%"></td><td style="width:4.756%"></td><td style="width:0.1%"></td><td style="width:1.0%"></td><td style="width:93.044%"></td><td style="width:0.1%"></td></tr><tr><td colspan="3" style="padding:2px 1pt;text-align:left;vertical-align:top"><div style="margin-bottom:2pt;padding-left:2.25pt;padding-right:2.25pt"><span style="color:#000000;font-family:'Wingdings',sans-serif;font-size:9pt;font-weight:400;line-height:100%"><ix:nonNumeric contextRef="i89989b93a8e54626a17b2fb46d972da0_D20201111-20201111" format="ixt-sec:boolballotbox" name="dei:WrittenCommunications" id="id3VybDovL2RvY3MudjEvZG9jOmZkNzU5MmZkNTcxODRmZDJhM2IyMDRhMjgyNTM5YmU0L3NlYzpmZDc1OTJmZDU3MTg0ZmQyYTNiMjA0YTI4MjUzOWJlNF8xL2ZyYWc6MjZiNzA3MGM1YmU3NGMwNmJlZjBlMmIyM2U3ZmUzNDEvdGFibGU6YTlhNzM0YjNlMTYwNDJlN2JiZGE1Y2Q4M2QyYmY3YmQvdGFibGVyYW5nZTphOWE3MzRiM2UxNjA0MmU3YmJkYTVjZDgzZDJiZjdiZF8wLTAtMS0xLTA_21f7b77b-f3c1-463c-809d-ef2f9fbb6a23">&#9744;</ix:nonNumeric></span></div></td><td colspan="3" style="padding:2px 1pt;text-align:left;vertical-align:top"><div style="margin-bottom:2pt;padding-left:2.25pt;padding-right:2.25pt"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:9pt;font-weight:400;line-height:100%">Written communications pursuant to Rule&#160;425 under the Securities Act (17 CFR 230.425)</span></div></td></tr></table></div><div style="margin-bottom:5pt;margin-top:5pt;padding-left:2.25pt"><table style="border-collapse:collapse;display:inline-table;vertical-align:top;width:99.853%"><tr><td style="width:1.0%"></td><td style="width:4.756%"></td><td style="width:0.1%"></td><td style="width:1.0%"></td><td style="width:93.044%"></td><td style="width:0.1%"></td></tr><tr><td colspan="3" style="padding:2px 1pt;text-align:left;vertical-align:top"><div style="margin-bottom:2pt;padding-left:2.25pt;padding-right:2.25pt"><span style="color:#000000;font-family:'Wingdings',sans-serif;font-size:9pt;font-weight:400;line-height:100%"><ix:nonNumeric contextRef="i89989b93a8e54626a17b2fb46d972da0_D20201111-20201111" format="ixt-sec:boolballotbox" name="dei:SolicitingMaterial" id="id3VybDovL2RvY3MudjEvZG9jOmZkNzU5MmZkNTcxODRmZDJhM2IyMDRhMjgyNTM5YmU0L3NlYzpmZDc1OTJmZDU3MTg0ZmQyYTNiMjA0YTI4MjUzOWJlNF8xL2ZyYWc6MjZiNzA3MGM1YmU3NGMwNmJlZjBlMmIyM2U3ZmUzNDEvdGFibGU6OGUyYWUwMjY2NTdiNDVjZGIxZjAwMDZmZWQ2Nzc1YTIvdGFibGVyYW5nZTo4ZTJhZTAyNjY1N2I0NWNkYjFmMDAwNmZlZDY3NzVhMl8wLTAtMS0xLTA_dfe881c3-214f-417f-9d5a-792a97841636">&#9744;</ix:nonNumeric></span></div></td><td colspan="3" style="padding:2px 1pt;text-align:left;vertical-align:top"><div style="margin-bottom:2pt;padding-left:2.25pt;padding-right:2.25pt"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:9pt;font-weight:400;line-height:100%">Soliciting material pursuant to Rule&#160;14a-12 under the Exchange Act (17 CFR 240.14a-12)</span></div></td></tr></table></div><div style="margin-bottom:5pt;margin-top:5pt;padding-left:2.25pt"><table style="border-collapse:collapse;display:inline-table;vertical-align:top;width:99.853%"><tr><td style="width:1.0%"></td><td style="width:4.756%"></td><td style="width:0.1%"></td><td style="width:1.0%"></td><td style="width:93.044%"></td><td style="width:0.1%"></td></tr><tr><td colspan="3" style="padding:2px 1pt;text-align:left;vertical-align:top"><div style="margin-bottom:2pt;padding-left:2.25pt;padding-right:2.25pt"><span style="color:#000000;font-family:'Wingdings',sans-serif;font-size:9pt;font-weight:400;line-height:100%"><ix:nonNumeric contextRef="i89989b93a8e54626a17b2fb46d972da0_D20201111-20201111" 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style="border-collapse:collapse;display:inline-table;vertical-align:top;width:99.853%"><tr><td style="width:1.0%"></td><td style="width:4.756%"></td><td style="width:0.1%"></td><td style="width:1.0%"></td><td style="width:93.044%"></td><td style="width:0.1%"></td></tr><tr><td colspan="3" style="padding:2px 1pt;text-align:left;vertical-align:top"><div style="margin-bottom:2pt;padding-left:2.25pt;padding-right:2.25pt"><span style="color:#000000;font-family:'Wingdings',sans-serif;font-size:10pt;font-weight:400;line-height:100%"><ix:nonNumeric contextRef="i89989b93a8e54626a17b2fb46d972da0_D20201111-20201111" format="ixt-sec:boolballotbox" name="dei:PreCommencementIssuerTenderOffer" id="id3VybDovL2RvY3MudjEvZG9jOmZkNzU5MmZkNTcxODRmZDJhM2IyMDRhMjgyNTM5YmU0L3NlYzpmZDc1OTJmZDU3MTg0ZmQyYTNiMjA0YTI4MjUzOWJlNF8xL2ZyYWc6MjZiNzA3MGM1YmU3NGMwNmJlZjBlMmIyM2U3ZmUzNDEvdGFibGU6YmFiY2QzY2JiMmI5NDA0M2EyZTk2MzcyNzBmZWYxMjgvdGFibGVyYW5nZTpiYWJjZDNjYmIyYjk0MDQzYTJlOTYzNzI3MGZlZjEyOF8wLTAtMS0xLTA_e53f046b-efb7-421a-b037-f3401a748690">&#9744;</ix:nonNumeric></span></div></td><td colspan="3" style="padding:2px 1pt;text-align:left;vertical-align:top"><div style="margin-bottom:2pt;padding-left:2.25pt;padding-right:2.25pt"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:9pt;font-weight:400;line-height:100%">Pre-commencement communications pursuant to Rule&#160;13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))</span></div></td></tr></table></div><div style="margin-bottom:5pt;margin-top:5pt;padding-left:2.25pt"><table style="border-collapse:collapse;display:inline-table;vertical-align:top;width:99.853%"><tr><td style="width:1.0%"></td><td style="width:4.756%"></td><td style="width:0.1%"></td><td style="width:1.0%"></td><td style="width:93.044%"></td><td style="width:0.1%"></td></tr><tr><td colspan="3" style="padding:2px 1pt 2px 3.25pt;text-align:left;vertical-align:top"><span style="color:#000000;font-family:'Wingdings',sans-serif;font-size:10pt;font-weight:400;line-height:100%"><ix:nonNumeric contextRef="i89989b93a8e54626a17b2fb46d972da0_D20201111-20201111" format="ixt-sec:boolballotbox" name="dei:EntityEmergingGrowthCompany" id="id3VybDovL2RvY3MudjEvZG9jOmZkNzU5MmZkNTcxODRmZDJhM2IyMDRhMjgyNTM5YmU0L3NlYzpmZDc1OTJmZDU3MTg0ZmQyYTNiMjA0YTI4MjUzOWJlNF8xL2ZyYWc6MjZiNzA3MGM1YmU3NGMwNmJlZjBlMmIyM2U3ZmUzNDEvdGFibGU6NmM4YmUxZDhhNjU5NGUxM2JjOGQ4NTViMjUzNjc4NGMvdGFibGVyYW5nZTo2YzhiZTFkOGE2NTk0ZTEzYmM4ZDg1NWIyNTM2Nzg0Y18wLTAtMS0xLTA_b5f5912c-c939-44dd-8150-d5bf8a574078">&#9744;</ix:nonNumeric><br/></span></td><td colspan="3" style="padding:2px 1pt;text-align:left;vertical-align:top"><div style="margin-bottom:2pt;padding-left:2.25pt;padding-right:2.25pt"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:9pt;font-weight:400;line-height:100%">Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (17 CFR &#167;230.405) or Rule 12b-2 of the Securities Exchange Act of 1934 (17 CFR &#167;240.12b-2)</span></div></td></tr></table></div><div style="margin-bottom:5pt;margin-top:5pt;padding-left:2.25pt"><table style="border-collapse:collapse;display:inline-table;vertical-align:top;width:99.853%"><tr><td style="width:1.0%"></td><td style="width:4.756%"></td><td style="width:0.1%"></td><td style="width:1.0%"></td><td style="width:93.044%"></td><td style="width:0.1%"></td></tr><tr><td colspan="3" style="padding:2px 1pt 2px 3.25pt;text-align:left;vertical-align:top"><span style="color:#000000;font-family:'Wingdings',sans-serif;font-size:9pt;font-weight:400;line-height:100%">&#168;<br/></span></td><td colspan="3" style="padding:2px 1pt;text-align:left;vertical-align:top"><div style="margin-bottom:2pt;padding-left:2.25pt;padding-right:2.25pt"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:9pt;font-weight:400;line-height:100%">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.</span></div></td></tr></table></div><div style="margin-bottom:5pt;margin-top:5pt;text-align:center"><table style="border-collapse:collapse;display:inline-table;vertical-align:top;width:97.222%"><tr><td style="width:1.0%"></td><td style="width:18.900%"></td><td style="width:0.1%"></td><td style="width:1.0%"></td><td style="width:18.900%"></td><td style="width:0.1%"></td><td style="width:1.0%"></td><td style="width:18.900%"></td><td style="width:0.1%"></td><td style="width:1.0%"></td><td style="width:18.900%"></td><td style="width:0.1%"></td><td style="width:1.0%"></td><td style="width:18.900%"></td><td style="width:0.1%"></td></tr><tr style="height:3pt"><td colspan="3" style="border-bottom:1pt solid #000000;border-top:1pt solid #000000;padding:0 1pt"></td><td colspan="3" style="border-bottom:1pt solid #000000;border-top:1pt solid #000000;padding:0 1pt"></td><td colspan="3" style="border-bottom:1pt solid #000000;border-top:1pt solid #000000;padding:0 1pt"></td><td colspan="3" style="border-bottom:1pt solid #000000;border-top:1pt solid #000000;padding:0 1pt"></td><td colspan="3" style="border-bottom:1pt solid #000000;border-top:1pt solid #000000;padding:0 1pt"></td></tr></table></div><div style="height:42.75pt;position:relative;width:100%"><div style="bottom:0;position:absolute;width:100%"><div style="text-align:center"><span><br/></span></div></div></div><div id="ifd7592fd57184fd2a3b204a282539be4_7"></div><hr style="page-break-after:always"/><div style="min-height:42.75pt;width:100%"><div><span><br/></span></div></div><div><span><br/></span></div><div><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:700;line-height:140%">Item 5.07  Submission of Matters to a Vote of Security Holders.</span></div><div style="text-align:justify"><span><br/></span></div><div><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:120%">VOTING RESULTS OF FISCAL YEAR 2020 ANNUAL MEETING OF STOCKHOLDERS</span></div><div><span><br/></span></div><div style="text-align:justify"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:120%">The fiscal year 2020 Annual Meeting of Stockholders of the Company was held on November 11, 2020. For more information about the proposals set forth below, please see the Company's definitive Proxy Statement filed with the SEC on September 25, 2020. A total of 4,775,288 (or approximately 88.1%) of the Company's shares issued, outstanding and entitled to vote at the fiscal year 2020 Annual Meeting of Stockholders were represented in person or by proxy at the meeting. Set forth below are the final voting results for the proposals voted on at the fiscal year 2020 Annual Meeting of Stockholders.</span></div><div><span><br/></span></div><div style="text-align:justify"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:120%">(1) Proposal 1 - Election of Directors</span></div><div style="text-align:justify"><span><br/></span></div><div style="margin-bottom:6pt;text-align:justify"><table style="border-collapse:collapse;display:inline-table;vertical-align:top;width:86.403%"><tr><td style="width:1.0%"></td><td style="width:22.588%"></td><td style="width:0.1%"></td><td style="width:0.1%"></td><td style="width:1.661%"></td><td style="width:0.1%"></td><td style="width:1.0%"></td><td style="width:15.820%"></td><td style="width:0.1%"></td><td style="width:0.1%"></td><td style="width:1.661%"></td><td style="width:0.1%"></td><td style="width:1.0%"></td><td style="width:15.820%"></td><td style="width:0.1%"></td><td style="width:0.1%"></td><td style="width:1.661%"></td><td style="width:0.1%"></td><td style="width:1.0%"></td><td style="width:15.820%"></td><td style="width:0.1%"></td><td style="width:0.1%"></td><td style="width:1.661%"></td><td style="width:0.1%"></td><td style="width:1.0%"></td><td style="width:17.008%"></td><td style="width:0.1%"></td></tr><tr><td colspan="3" style="padding:0 1pt"></td><td colspan="3" style="padding:0 1pt"></td><td colspan="21" style="padding:2px 1pt;text-align:center;vertical-align:bottom"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:100%">Number of Shares</span></td></tr><tr><td colspan="3" style="padding:2px 1pt;text-align:left;vertical-align:bottom"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:100%">Nominee</span></td><td colspan="3" style="padding:0 1pt"></td><td colspan="3" style="border-top:1pt solid #000;padding:2px 1pt;text-align:center;vertical-align:bottom"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:100%">For</span></td><td colspan="3" style="border-top:1pt solid #000;padding:0 1pt"></td><td colspan="3" style="border-top:1pt solid #000;padding:2px 1pt;text-align:center;vertical-align:bottom"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:100%">Against</span></td><td colspan="3" style="border-top:1pt solid #000;padding:0 1pt"></td><td colspan="3" style="border-top:1pt solid #000;padding:2px 1pt;text-align:center;vertical-align:bottom"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:100%">Abstain</span></td><td colspan="3" style="border-top:1pt solid #000;padding:0 1pt"></td><td colspan="3" style="border-top:1pt solid #000;padding:2px 1pt;text-align:center;vertical-align:bottom"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:100%">Broker Non-Votes</span></td></tr><tr><td colspan="3" style="background-color:#cceeff;border-top:1pt solid #000;padding:2px 1pt;text-align:left;vertical-align:bottom"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:100%">John Mutch</span></td><td colspan="3" style="background-color:#cceeff;padding:0 1pt"></td><td colspan="3" style="background-color:#cceeff;border-top:1pt solid #000;padding:2px 1pt;text-align:right;vertical-align:bottom"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:100%">3,805,120</span></td><td colspan="3" style="background-color:#cceeff;padding:0 1pt"></td><td colspan="3" style="background-color:#cceeff;border-top:1pt solid #000;padding:2px 1pt;text-align:right;vertical-align:bottom"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:100%">123,511</span></td><td colspan="3" style="background-color:#cceeff;padding:0 1pt"></td><td colspan="3" style="background-color:#cceeff;border-top:1pt solid #000;padding:2px 1pt;text-align:right;vertical-align:bottom"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:100%">6,784</span></td><td colspan="3" style="background-color:#cceeff;padding:0 1pt"></td><td colspan="3" style="background-color:#cceeff;border-top:1pt solid #000;padding:2px 1pt;text-align:right;vertical-align:bottom"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:100%">839,873</span></td></tr><tr><td colspan="3" style="background-color:#ffffff;padding:2px 1pt;text-align:left;vertical-align:bottom"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:100%">Dahlia Loeb</span></td><td colspan="3" style="background-color:#ffffff;padding:0 1pt"></td><td colspan="3" style="background-color:#ffffff;padding:2px 1pt;text-align:right;vertical-align:bottom"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:100%">3,809,895</span></td><td colspan="3" style="background-color:#ffffff;padding:0 1pt"></td><td colspan="3" style="background-color:#ffffff;padding:2px 1pt;text-align:right;vertical-align:bottom"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:100%">118,876</span></td><td colspan="3" style="background-color:#ffffff;padding:0 1pt"></td><td colspan="3" style="background-color:#ffffff;padding:2px 1pt;text-align:right;vertical-align:bottom"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:100%">6,644</span></td><td colspan="3" style="background-color:#ffffff;padding:0 1pt"></td><td colspan="3" style="background-color:#ffffff;padding:2px 1pt;text-align:right;vertical-align:bottom"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:100%">839,873</span></td></tr><tr><td colspan="3" style="background-color:#cceeff;padding:2px 1pt;text-align:left;vertical-align:bottom"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:100%">Kenneth Kong</span></td><td colspan="3" style="background-color:#cceeff;padding:0 1pt"></td><td colspan="3" style="background-color:#cceeff;padding:2px 1pt;text-align:right;vertical-align:bottom"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:100%">3,809,770</span></td><td colspan="3" style="background-color:#cceeff;padding:0 1pt"></td><td colspan="3" style="background-color:#cceeff;padding:2px 1pt;text-align:right;vertical-align:bottom"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:100%">119,013</span></td><td colspan="3" style="background-color:#cceeff;padding:0 1pt"></td><td colspan="3" style="background-color:#cceeff;padding:2px 1pt;text-align:right;vertical-align:bottom"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:100%">6,632</span></td><td colspan="3" style="background-color:#cceeff;padding:0 1pt"></td><td colspan="3" style="background-color:#cceeff;padding:2px 1pt;text-align:right;vertical-align:bottom"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:100%">839,873</span></td></tr><tr><td colspan="3" style="background-color:#ffffff;padding:2px 1pt;text-align:left;vertical-align:bottom"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:100%">John J. Quicke</span></td><td colspan="3" style="background-color:#ffffff;padding:0 1pt"></td><td colspan="3" style="background-color:#ffffff;padding:2px 1pt;text-align:right;vertical-align:bottom"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:100%">3,810,039</span></td><td colspan="3" style="background-color:#ffffff;padding:0 1pt"></td><td colspan="3" style="background-color:#ffffff;padding:2px 1pt;text-align:right;vertical-align:bottom"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:100%">118,739</span></td><td colspan="3" style="background-color:#ffffff;padding:0 1pt"></td><td colspan="3" style="background-color:#ffffff;padding:2px 1pt;text-align:right;vertical-align:bottom"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:100%">6,637</span></td><td colspan="3" style="background-color:#ffffff;padding:0 1pt"></td><td colspan="3" style="background-color:#ffffff;padding:2px 1pt;text-align:right;vertical-align:bottom"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:100%">839,873</span></td></tr><tr><td colspan="3" style="background-color:#cceeff;padding:2px 1pt;text-align:left;vertical-align:bottom"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:100%">Peter Smith</span></td><td colspan="3" style="background-color:#cceeff;padding:0 1pt"></td><td colspan="3" style="background-color:#cceeff;padding:2px 1pt;text-align:right;vertical-align:bottom"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:100%">3,810,133</span></td><td colspan="3" style="background-color:#cceeff;padding:0 1pt"></td><td colspan="3" style="background-color:#cceeff;padding:2px 1pt;text-align:right;vertical-align:bottom"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:100%">118,938</span></td><td colspan="3" style="background-color:#cceeff;padding:0 1pt"></td><td colspan="3" style="background-color:#cceeff;padding:2px 1pt;text-align:right;vertical-align:bottom"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:100%">6,344</span></td><td colspan="3" style="background-color:#cceeff;padding:0 1pt"></td><td colspan="3" style="background-color:#cceeff;padding:2px 1pt;text-align:right;vertical-align:bottom"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:100%">839,873</span></td></tr><tr><td colspan="3" style="padding:2px 1pt;text-align:left;vertical-align:bottom"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:100%">Dr. James C. Stoffel</span></td><td colspan="3" style="padding:0 1pt"></td><td colspan="3" style="padding:2px 1pt;text-align:right;vertical-align:bottom"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:100%">3,804,375</span></td><td colspan="3" style="padding:0 1pt"></td><td colspan="3" style="padding:2px 1pt;text-align:right;vertical-align:bottom"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:100%">120,972</span></td><td colspan="3" style="padding:0 1pt"></td><td colspan="3" style="padding:2px 1pt;text-align:right;vertical-align:bottom"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:100%">10,068</span></td><td colspan="3" style="padding:0 1pt"></td><td colspan="3" style="padding:2px 1pt;text-align:right;vertical-align:bottom"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:100%">839,873</span></td></tr><tr style="height:15pt"><td colspan="3" style="padding:0 1pt"></td><td colspan="3" style="padding:0 1pt"></td><td colspan="3" style="padding:0 1pt"></td><td colspan="3" style="padding:0 1pt"></td><td colspan="3" style="padding:0 1pt"></td><td colspan="3" style="padding:0 1pt"></td><td colspan="3" style="padding:0 1pt"></td><td colspan="3" style="padding:0 1pt"></td><td colspan="3" style="padding:0 1pt"></td></tr></table></div><div style="text-align:justify"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:120%">(2) Proposal 2 - Ratification of the appointment by the Audit Committee of BDO USA, LLP as the Company&#8217;s independent registered public accounting firm for fiscal year 2021.</span></div><div style="text-align:justify"><span><br/></span></div><div style="margin-bottom:6pt;text-align:justify"><table style="border-collapse:collapse;display:inline-table;vertical-align:top;width:71.052%"><tr><td style="width:1.0%"></td><td style="width:29.558%"></td><td style="width:0.1%"></td><td style="width:0.1%"></td><td style="width:2.063%"></td><td style="width:0.1%"></td><td style="width:1.0%"></td><td style="width:19.476%"></td><td style="width:0.1%"></td><td style="width:0.1%"></td><td style="width:2.063%"></td><td style="width:0.1%"></td><td style="width:1.0%"></td><td style="width:19.476%"></td><td style="width:0.1%"></td><td style="width:1.0%"></td><td style="width:1.986%"></td><td style="width:0.1%"></td><td style="width:1.0%"></td><td style="width:19.478%"></td><td style="width:0.1%"></td></tr><tr><td colspan="3" style="padding:0 1pt"></td><td colspan="3" style="padding:0 1pt"></td><td colspan="15" style="padding:2px 1pt;text-align:center;vertical-align:bottom"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:100%">Number of Shares</span></td></tr><tr><td colspan="3" style="padding:0 1pt"></td><td colspan="3" style="padding:0 1pt"></td><td colspan="3" style="border-top:1pt solid #000;padding:2px 1pt;text-align:center;vertical-align:bottom"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:100%">For</span></td><td colspan="3" style="border-top:1pt solid #000;padding:0 1pt"></td><td colspan="3" style="border-top:1pt solid #000;padding:2px 1pt;text-align:center;vertical-align:bottom"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:100%">Against</span></td><td colspan="3" style="border-top:1pt solid #000;padding:0 1pt"></td><td colspan="3" style="border-top:1pt solid #000;padding:2px 1pt;text-align:center;vertical-align:bottom"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:100%">Abstain</span></td></tr><tr><td colspan="3" style="background-color:#cceeff;padding:2px 1pt;text-align:left;vertical-align:bottom"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:100%">Proposal 2</span></td><td colspan="3" style="background-color:#cceeff;padding:0 1pt"></td><td colspan="3" style="background-color:#cceeff;border-top:1pt solid #000;padding:2px 1pt;text-align:right;vertical-align:bottom"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:100%">4,714,124</span></td><td colspan="3" style="background-color:#cceeff;padding:0 1pt"></td><td colspan="3" style="background-color:#cceeff;border-top:1pt solid #000;padding:2px 1pt;text-align:right;vertical-align:bottom"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:100%">42,822</span></td><td colspan="3" style="background-color:#cceeff;padding:0 1pt"></td><td colspan="3" style="background-color:#cceeff;border-top:1pt solid #000;padding:2px 1pt;text-align:right;vertical-align:bottom"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:100%">18,342</span></td></tr><tr style="height:15pt"><td colspan="3" style="background-color:#ffffff;padding:0 1pt"></td><td colspan="3" style="background-color:#ffffff;padding:0 1pt"></td><td colspan="3" style="background-color:#ffffff;padding:0 1pt"></td><td colspan="3" style="background-color:#ffffff;padding:0 1pt"></td><td colspan="3" style="background-color:#ffffff;padding:0 1pt"></td><td colspan="3" style="background-color:#ffffff;padding:0 1pt"></td><td colspan="3" style="background-color:#ffffff;padding:0 1pt"></td></tr></table></div><div style="text-align:justify"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:120%">(3) Proposal 3- Advisory, non-binding vote to approve the Company&#8217;s named executive officer compensation.</span></div><div><span><br/></span></div><div style="margin-bottom:6pt"><table style="border-collapse:collapse;display:inline-table;vertical-align:top;width:88.304%"><tr><td style="width:1.0%"></td><td style="width:23.568%"></td><td style="width:0.1%"></td><td style="width:0.1%"></td><td style="width:1.621%"></td><td style="width:0.1%"></td><td style="width:1.0%"></td><td style="width:15.456%"></td><td style="width:0.1%"></td><td style="width:0.1%"></td><td style="width:1.621%"></td><td style="width:0.1%"></td><td style="width:1.0%"></td><td style="width:15.456%"></td><td style="width:0.1%"></td><td style="width:0.1%"></td><td style="width:2.283%"></td><td style="width:0.1%"></td><td style="width:1.0%"></td><td style="width:15.456%"></td><td style="width:0.1%"></td><td style="width:0.1%"></td><td style="width:2.283%"></td><td style="width:0.1%"></td><td style="width:1.0%"></td><td style="width:15.956%"></td><td style="width:0.1%"></td></tr><tr><td colspan="3" style="padding:0 1pt"></td><td colspan="3" style="padding:0 1pt"></td><td colspan="15" style="padding:2px 1pt;text-align:center;vertical-align:bottom"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:100%">Number of Shares</span></td><td colspan="3" style="padding:0 1pt"></td><td colspan="3" style="padding:0 1pt"></td></tr><tr><td colspan="3" style="padding:0 1pt"></td><td colspan="3" style="padding:0 1pt"></td><td colspan="3" style="border-top:1pt solid #000;padding:2px 1pt;text-align:center;vertical-align:bottom"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:100%">For</span></td><td colspan="3" style="border-top:1pt solid #000;padding:0 1pt"></td><td colspan="3" style="border-top:1pt solid #000;padding:2px 1pt;text-align:center;vertical-align:bottom"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:100%">Against</span></td><td colspan="3" style="border-top:1pt solid #000;padding:0 1pt"></td><td colspan="3" style="border-top:1pt solid #000;padding:2px 1pt;text-align:center;vertical-align:bottom"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:100%">Abstain</span></td><td colspan="3" style="padding:0 1pt"></td><td colspan="3" style="border-top:1pt solid #000;padding:2px 1pt;text-align:center;vertical-align:bottom"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:100%">Broker Non-Votes</span></td></tr><tr><td colspan="3" style="background-color:#cceeff;padding:2px 1pt;text-align:left;vertical-align:bottom"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:100%">Proposal 3</span></td><td colspan="3" style="background-color:#cceeff;padding:0 1pt"></td><td colspan="3" style="background-color:#cceeff;border-top:1pt solid #000;padding:2px 1pt;text-align:right;vertical-align:bottom"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:100%">3,721,424</span></td><td colspan="3" style="background-color:#cceeff;padding:0 1pt"></td><td colspan="3" style="background-color:#cceeff;border-top:1pt solid #000;padding:2px 1pt;text-align:right;vertical-align:bottom"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:100%">199,335</span></td><td colspan="3" style="background-color:#cceeff;padding:0 1pt"></td><td colspan="3" style="background-color:#cceeff;border-top:1pt solid #000;padding:2px 1pt;text-align:right;vertical-align:bottom"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:100%">14,656</span></td><td colspan="3" style="background-color:#cceeff;padding:0 1pt"></td><td colspan="3" style="background-color:#cceeff;border-top:1pt solid #000;padding:2px 1pt;text-align:right;vertical-align:bottom"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:100%">839,873</span></td></tr><tr style="height:15pt"><td colspan="3" style="background-color:#ffffff;padding:0 1pt"></td><td colspan="3" style="background-color:#ffffff;padding:0 1pt"></td><td colspan="3" style="background-color:#ffffff;padding:0 1pt"></td><td colspan="3" style="background-color:#ffffff;padding:0 1pt"></td><td colspan="3" style="background-color:#ffffff;padding:0 1pt"></td><td colspan="3" style="background-color:#ffffff;padding:0 1pt"></td><td colspan="3" style="background-color:#ffffff;padding:0 1pt"></td><td colspan="3" style="background-color:#ffffff;padding:0 1pt"></td><td colspan="3" style="background-color:#ffffff;padding:0 1pt"></td></tr></table></div><div style="margin-bottom:8pt"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:120%">(4) Proposal 4- Approval of the Company&#8217;s tax benefit preservation plan.</span></div><div style="margin-bottom:8pt;text-align:justify"><table style="border-collapse:collapse;display:inline-table;vertical-align:top;width:87.865%"><tr><td style="width:1.0%"></td><td style="width:23.692%"></td><td style="width:0.1%"></td><td style="width:0.1%"></td><td style="width:1.630%"></td><td style="width:0.1%"></td><td style="width:1.0%"></td><td style="width:15.538%"></td><td style="width:0.1%"></td><td style="width:0.1%"></td><td style="width:1.630%"></td><td style="width:0.1%"></td><td style="width:1.0%"></td><td style="width:15.538%"></td><td style="width:0.1%"></td><td style="width:0.1%"></td><td style="width:2.295%"></td><td style="width:0.1%"></td><td style="width:1.0%"></td><td style="width:15.538%"></td><td style="width:0.1%"></td><td style="width:0.1%"></td><td style="width:2.295%"></td><td style="width:0.1%"></td><td style="width:1.0%"></td><td style="width:15.544%"></td><td style="width:0.1%"></td></tr><tr><td colspan="3" style="padding:0 1pt"></td><td colspan="3" style="padding:0 1pt"></td><td colspan="15" style="padding:2px 1pt;text-align:center;vertical-align:bottom"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:100%">Number of Shares</span></td><td colspan="3" style="padding:0 1pt"></td><td colspan="3" style="padding:0 1pt"></td></tr><tr><td colspan="3" style="padding:0 1pt"></td><td colspan="3" style="padding:0 1pt"></td><td colspan="3" style="border-top:1pt solid #000;padding:2px 1pt;text-align:center;vertical-align:bottom"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:100%">For</span></td><td colspan="3" style="border-top:1pt solid #000;padding:0 1pt"></td><td colspan="3" style="border-top:1pt solid #000;padding:2px 1pt;text-align:center;vertical-align:bottom"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:100%">Against</span></td><td colspan="3" style="border-top:1pt solid #000;padding:0 1pt"></td><td colspan="3" style="border-top:1pt solid #000;padding:2px 1pt;text-align:center;vertical-align:bottom"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:100%">Abstain</span></td><td colspan="3" style="border-top:1pt solid #000;padding:0 1pt"></td><td colspan="3" style="border-top:1pt solid #000;padding:2px 1pt;text-align:center;vertical-align:bottom"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:100%">Broker Non-Votes</span></td></tr><tr><td colspan="3" style="background-color:#cceeff;padding:2px 1pt;text-align:left;vertical-align:bottom"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:100%">Proposal 4</span></td><td colspan="3" style="background-color:#cceeff;padding:0 1pt"></td><td colspan="3" style="background-color:#cceeff;border-top:1pt solid #000;padding:2px 1pt;text-align:right;vertical-align:bottom"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:100%">3,597,976</span></td><td colspan="3" style="background-color:#cceeff;padding:0 1pt"></td><td colspan="3" style="background-color:#cceeff;border-top:1pt solid #000;padding:2px 1pt;text-align:right;vertical-align:bottom"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:100%">328,407</span></td><td colspan="3" style="background-color:#cceeff;padding:0 1pt"></td><td colspan="3" style="background-color:#cceeff;border-top:1pt solid #000;padding:2px 1pt;text-align:right;vertical-align:bottom"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:100%">9,032</span></td><td colspan="3" style="background-color:#cceeff;padding:0 1pt"></td><td colspan="3" style="background-color:#cceeff;border-top:1pt solid #000;padding:2px 1pt;text-align:right;vertical-align:bottom"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:100%">839,873</span></td></tr><tr style="height:15pt"><td colspan="3" style="background-color:#ffffff;padding:0 1pt"></td><td colspan="3" style="background-color:#ffffff;padding:0 1pt"></td><td colspan="3" style="background-color:#ffffff;padding:0 1pt"></td><td colspan="3" style="background-color:#ffffff;padding:0 1pt"></td><td colspan="3" style="background-color:#ffffff;padding:0 1pt"></td><td colspan="3" style="background-color:#ffffff;padding:0 1pt"></td><td colspan="3" style="background-color:#ffffff;padding:0 1pt"></td><td colspan="3" style="background-color:#ffffff;padding:0 1pt"></td><td colspan="3" style="background-color:#ffffff;padding:0 1pt"></td></tr></table></div><div style="height:42.75pt;position:relative;width:100%"><div style="bottom:0;position:absolute;width:100%"><div style="text-align:center"><span><br/></span></div></div></div><div id="ifd7592fd57184fd2a3b204a282539be4_13"></div><hr style="page-break-after:always"/><div style="min-height:42.75pt;width:100%"><div><span><br/></span></div></div><div style="text-align:center"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:700;line-height:144%">SIGNATURE</span></div><div style="margin-top:9pt;text-align:justify;text-indent:24.75pt"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:144%">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.</span></div><div style="margin-bottom:5pt;margin-top:5pt;padding-left:2.25pt"><table style="border-collapse:collapse;display:inline-table;vertical-align:top;width:99.122%"><tr><td style="width:1.0%"></td><td style="width:38.870%"></td><td style="width:0.1%"></td><td style="width:0.1%"></td><td style="width:0.832%"></td><td style="width:0.1%"></td><td style="width:1.0%"></td><td style="width:4.357%"></td><td style="width:0.1%"></td><td style="width:0.1%"></td><td style="width:1.569%"></td><td style="width:0.1%"></td><td style="width:1.0%"></td><td style="width:6.717%"></td><td style="width:0.1%"></td><td style="width:0.1%"></td><td style="width:0.537%"></td><td style="width:0.1%"></td><td style="width:1.0%"></td><td style="width:42.118%"></td><td style="width:0.1%"></td></tr><tr style="height:15pt"><td colspan="3" style="padding:0 1pt"></td><td colspan="3" style="padding:0 1pt"></td><td colspan="3" style="padding:0 1pt"></td><td colspan="3" style="padding:0 1pt"></td><td colspan="3" style="padding:0 1pt"></td><td colspan="3" style="padding:0 1pt"></td><td colspan="3" style="padding:0 1pt"></td></tr><tr><td colspan="3" style="padding:0 1pt"></td><td colspan="3" style="padding:0 1pt"></td><td colspan="15" style="padding:2px 1pt;text-align:left;vertical-align:bottom"><div style="margin-bottom:2pt;padding-left:2.25pt;padding-right:2.25pt"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:100%">AVIAT NETWORKS, INC.</span></div></td></tr><tr style="height:15pt"><td colspan="3" style="padding:0 1pt"></td><td colspan="6" style="padding:0 1pt"></td><td colspan="12" style="padding:0 1pt"></td></tr><tr><td colspan="3" style="padding:2px 1pt 2px 3.25pt;text-align:left;vertical-align:top"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:100%">November 13, 2020</span></td><td colspan="3" style="padding:0 1pt"></td><td colspan="3" style="padding:2px 1pt;text-align:left;vertical-align:bottom"><div style="margin-bottom:2pt;padding-left:2.25pt;padding-right:2.25pt"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:100%">By:</span></div></td><td colspan="3" style="padding:0 1pt"></td><td colspan="9" style="padding:2px 1pt;text-align:left;vertical-align:bottom"><div style="margin-bottom:2pt;padding-left:2.25pt;padding-right:2.25pt"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:100%">/s/ Eric Chang</span></div></td></tr><tr><td colspan="3" style="padding:0 1pt"></td><td colspan="3" style="padding:0 1pt"></td><td colspan="3" style="padding:0 1pt"></td><td colspan="3" style="padding:0 1pt"></td><td colspan="3" style="border-top:1pt solid #000000;padding:2px 1pt;text-align:left;vertical-align:middle"><div style="margin-bottom:2pt;padding-left:2.25pt;padding-right:2.25pt"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:100%">Name:</span></div></td><td colspan="3" style="border-top:1pt solid #000000;padding:0 1pt"></td><td colspan="3" style="border-top:1pt solid #000000;padding:2px 1pt;text-align:left;vertical-align:middle"><div style="margin-bottom:2pt;padding-left:2.25pt;padding-right:2.25pt"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:100%">Eric Chang</span></div></td></tr><tr><td colspan="3" style="padding:0 1pt"></td><td colspan="3" style="padding:0 1pt"></td><td colspan="3" style="padding:0 1pt"></td><td colspan="3" style="padding:0 1pt"></td><td colspan="3" style="padding:2px 1pt;text-align:left;vertical-align:middle"><div style="margin-bottom:2pt;padding-left:2.25pt;padding-right:2.25pt"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:100%">Title:</span></div></td><td colspan="3" style="padding:0 1pt"></td><td colspan="3" style="padding:2px 1pt;text-align:left;vertical-align:middle"><div style="margin-top:2pt;padding-left:2.25pt;padding-right:2.25pt"><span style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:100%">Senior Vice President and Chief Financial Officer</span></div></td></tr></table></div><div style="margin-bottom:17pt;margin-top:19pt"><span><br/></span></div><div><span><br/></span></div><div style="height:42.75pt;position:relative;width:100%"><div style="bottom:0;position:absolute;width:100%"><div style="text-align:center"><span><br/></span></div></div></div></body></html>
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avnw-20201111
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):
November 11, 2020
_______________________
AVIAT NETWORKS, INC.
(Exact name of registrant as specified in its charter)
______________________________________
Delaware
001-33278
20-5961564
(State or other jurisdiction
(Commission File
(I.R.S. Employer
of incorporation)
Number)
Identification No.)
200 Parker Dr., Suite C100A
,
Austin
,
Texas
78728
(Address of principal executive offices, including zip code)
(408)
-
941-7100
Registrant's telephone number, including area code
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 $0.01 per share
AVNW
NASDAQ Stock Market LLC
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 (17 CFR §230.405) or Rule 12b-2 of the Securities Exchange Act of 1934 (17 CFR §240.12b-2)
¨
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.
VOTING RESULTS OF FISCAL YEAR 2020 ANNUAL MEETING OF STOCKHOLDERS
The fiscal year 2020 Annual Meeting of Stockholders of the Company was held on November 11, 2020. For more information about the proposals set forth below, please see the Company's definitive Proxy Statement filed with the SEC on September 25, 2020. A total of 4,775,288 (or approximately 88.1%) of the Company's shares issued, outstanding and entitled to vote at the fiscal year 2020 Annual Meeting of Stockholders were represented in person or by proxy at the meeting. Set forth below are the final voting results for the proposals voted on at the fiscal year 2020 Annual Meeting of Stockholders.
(1) Proposal 1 - Election of Directors
Number of Shares
Nominee
For
Against
Abstain
Broker Non-Votes
John Mutch
3,805,120
123,511
6,784
839,873
Dahlia Loeb
3,809,895
118,876
6,644
839,873
Kenneth Kong
3,809,770
119,013
6,632
839,873
John J. Quicke
3,810,039
118,739
6,637
839,873
Peter Smith
3,810,133
118,938
6,344
839,873
Dr. James C. Stoffel
3,804,375
120,972
10,068
839,873
(2) Proposal 2 - Ratification of the appointment by the Audit Committee of BDO USA, LLP as the Company's independent registered public accounting firm for fiscal year 2021.
Number of Shares
For
Against
Abstain
Proposal 2
4,714,124
42,822
18,342
(3) Proposal 3- Advisory, non-binding vote to approve the Company's named executive officer compensation.
Number of Shares
For
Against
Abstain
Broker Non-Votes
Proposal 3
3,721,424
199,335
14,656
839,873
(4) Proposal 4- Approval of the Company's tax benefit preservation plan.
Number of Shares
For
Against
Abstain
Broker Non-Votes
Proposal 4
3,597,976
328,407
9,032
839,873
SIGNATURE
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.
AVIAT NETWORKS, INC.
November 13, 2020
By:
/s/ Eric Chang
Name:
Eric Chang
Title:
Senior Vice President and Chief Financial Officer