Form DEFA14A ImmunoCellular Therapeut
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UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
SCHEDULE 14A
Proxy Statement Pursuant to Section 14(a) of the
Securities Exchange Act of 1934
Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐
Check the appropriate box:
| ☐ | Preliminary Proxy Statement | |
| ☐ | Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) | |
| ☐ | Definitive Proxy Statement | |
| ☒ | Definitive Additional Materials | |
| ☐ | Soliciting Materials under Rule 14a-12 | |
ImmunoCellular Therapeutics, Ltd.
(Name of Registrant as Specified In Its Charter)
(Name of Person(s) Filing Proxy Statement, if other than the Registrant)
Payment of Filing Fee (Check the appropriate box):
| ☒ | No fee required. | |||
| ☐ | Fee computed on table below per Exchange Act Rules 14a-6(i)(1) and 0-11. | |||
| (1) | Title of each class of securities to which transaction applies:
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| (2) | Aggregate number of securities to which transaction applies:
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| (3) | Per unit price or other underlying value of transaction computed pursuant to Exchange Act Rule 0-11 (set forth the amount on which the filing fee is calculated and state how it was determined):
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| (4) | Proposed maximum aggregate value of transaction:
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| (5) | Total fee paid:
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| ☐ | Fee paid previously with preliminary materials. | |||
| ☐ | Check box if any part of the fee is offset as provided by Exchange Act Rule 0-11(a)(2) and identify the filing for which the offsetting fee was paid previously. Identify the previous filing by registration statement number, or the Form or Schedule and the date of its filing. | |||
| (1) | Amount Previously Paid:
| |||
| (2) | Form, Schedule or Registration Statement No.:
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| (3) | Filing Party:
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| (4) | Date Filed:
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*** Exercise Your Right to Vote ***
Important
Notice Regarding the Availability of Proxy Materials for the
Stockholder Meeting to Be Held on November 14, 2016.
IMMUNOCELLULAR THERAPEUTICS, LTD.
Meeting Information
Meeting Type: Special Meeting
For holders as of: September 27, 2016
Date: November 14, 2016 Time: 9:00 AM, PST
Location: ImmunoCellular Therapeutics, Ltd.
23622 Calabasas Road, Suite 300
Calabasas, CA 91302
IMMUNOCELLULAR THERAPEUTICS, LTD.
23622 CALABASAS ROAD, STE. 300
CALABASAS, CA 91302
You are receiving this communication because you hold shares in the
company named above.
This is not a ballot. You cannot use this notice to vote these shares. This communication presents only an overview of the more
complete proxy materials that are available to you on the Internet. You may view the proxy materials online at www.proxyvote.com, scan the QR Barcode on the reverse side, or easily request a paper copy (see reverse side). We encourage you to access
and review all of the important information contained in the proxy materials before voting.
See the reverse side of this notice to obtain proxy materials and
voting instructions.
E13825-S50313
Before You Vote
How to Access the Proxy Materials
Proxy Materials Available to VIEW or RECEIVE:
PROXY STATEMENT
How to View Online:
Have the information that is printed in the box marked by the arrow
(located on the following page) and visit: www.proxyvote.com, or scan the QR Barcode below.
How to Request and Receive a PAPER or E-MAIL Copy:
If you want to receive a paper or e-mail copy of these documents, you must request one. There is NO charge for requesting a copy. Please choose one of the following methods to make
your request:
1) BY INTERNET: www.proxyvote.com
2) BY TELEPHONE:
1-800-579-1639
3) BY E-MAIL*: [email protected]
* If requesting
materials by e-mail, please send a blank e-mail with the information that is printed in the box marked by the arrow (located on the following page) in the subject line.
Requests, instructions and other inquiries sent to this e-mail address will NOT be forwarded to your investment advisor. Please make the request as instructed above on or before
October 31, 2016 to facilitate timely delivery.
How To Vote
Please Choose One
of the Following Voting Methods
SCAN TO
VIEW MATERIALS & VOTE
Vote In Person: Many stockholder meetings have attendance requirements including, but not limited to, the possession of an attendance ticket issued by the entity holding the
meeting. Please check the meeting materials for any special requirements for meeting attendance. At the meeting, you will need to request a ballot to vote these shares.
Vote By Internet: Go to www.proxyvote.com or from a smart phone, scan the QR Barcode above. Have the information that is printed in the box marked by the arrow (located on the
following page) available and follow the instructions.
Vote By Mail: You can vote by mail by requesting a paper copy of the materials, which will include a proxy
card.
E13826-S50313
Voting Items
The Board of Directors recommends you
vote FOR the following proposals:
1. To approve an amendment to the Company’s Amended and Restated Certificate of Incorporation to effect (i) a reverse stock
split of the Company’s common stock, par value $0.0001 per share (the “Common Stock”), whereby each outstanding forty (40) shares of Common Stock would be combined, converted and changed into one (1) share of Common Stock and (ii) a
reduction in the number of authorized shares of the Common Stock from 249,000,000 to 25,000,000 shares.
2. To adjourn the Special Meeting, if necessary or
appropriate, to establish a quorum or to permit further solicitation of proxies if there are not sufficient votes at the time of the Special Meeting cast in favor of Proposal One.
NOTE: Such other business as may properly come before the meeting or any adjournment thereof.
E13827-S50313
E13828-S50313
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