Current Report Filing (8-k)
July 01 2019 - 7:06AM
Edgar (US Regulatory)
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): June 28, 2019
SYNTHETIC BIOLOGICS, INC.
(Exact name of registrant as specified in
its charter)
Nevada
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001-12584
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13-3808303
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(State or other jurisdiction of incorporation)
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(Commission File No.)
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(IRS Employer Identification No.)
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9605 Medical Center Drive, Suite 270
Rockville, MD 20850
(Address of principal executive offices
and zip code)
Registrant’s telephone number, including
area code: (301) 417-4364
N/A
(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):
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Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)
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Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)
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Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))
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Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))
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Securities registered pursuant to Section
12(b) of the Act:
Title of each class
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Trading Symbol(s)
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Name of each exchange on which registered
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Common stock, par value $0.001 per share
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SYN
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NYSE American
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Indicate by check mark whether the registrant
is an emerging growth company as defined in in Rule 405 of the Securities Act of 1933 (17 CFR §230.405 of this chapter) or
Rule 12b-2 of the Securities Exchange Act of 1934 (17 CFR §240.12b-2 of this chapter).
Emerging
growth company
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If
an emerging growth company, indicate by checkmark 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.
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Item 8.01. Other Events
On July 1, 2019, Synthetic Biologics, Inc.
(the “Company”) issued a press release announcing that it had received notification from the NYSE American LLC (the
“Exchange”) that the Company has regained compliance with Part 10, Section 1003 of the NYSE American Company Guide
(the “Company Guide”) relating to the Exchange’s continued listing requirements. The Company previously received
notification from the NYSE American citing failure to comply with the minimum stockholders’ equity continued listing standard
as set forth in Part 10, Section 1003 of Company Guide. As a result of management’s efforts to regain compliance, the Exchange
has informed the Company that it has cured the previously cited deficiencies and is in full compliance with the continued listing
standards set forth in Part 10 of the Company Guide since it reported stockholders’ equity of approximately $13.5 million
in its most recent Form 10-Q, filed with the Securities and Exchange Commission on May 8, 2019. Effective at the start of trading
on July 1, 2019, the “.BC” designation, signifying non-compliance with NYSE American listing standards, will be removed
from the “SYN” trading symbol.
The press release attached as Exhibit 99.1
to this Current Report on Form 8-K, which is incorporated herein by reference, includes “safe harbor” language pursuant
to the Private Securities Litigation Reform Act of 1995, as amended, indicating that certain statements contained in the slide
presentation are “forward-looking” rather than historical.
The Company undertakes no duty or obligation
to update or revise information included in this Current Report on Form 8-K or the press release attached as Exhibit 99.1 hereto.
Item 9.01. Financial Statements and Exhibits.
(d) Exhibits
SIGNATURES
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: July 1, 2019
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SYNTHETIC BIOLOGICS, INC.
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By:
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/s/ Steven A. Shallcross
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Name:
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Steven A. Shallcross
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Title:
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Chief Executive Officer
and Chief Financial Officer
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