Current Report Filing (8-k)
August 20 2020 - 8:01AM
Edgar (US Regulatory)
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): August
19, 2020
Aditx Therapeutics, Inc.
(Exact name of registrant as specified in its
charter)
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Delaware
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001-39336
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82-3204328
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(State or other jurisdiction
of incorporation)
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(Commission File Number)
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(IRS Employer
Identification No.)
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11161 Anderson Street
Suite 105-10014
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92354
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(Address of principal executive offices)
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(Zip Code)
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Registrant’s telephone number, including
area code: (909) 488-0844
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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☐
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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:
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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
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ADTX
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The Nasdaq Stock Market LLC
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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. ☐
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Item 1.01
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Entry into a Material Definitive Agreement.
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On August
19, 2020, Aditx Therapeutics, Inc. (the “Company”) entered into an Amendment Agreement (the “Amendment”)
with VStock Transfer, LLC, the Company’s warrant agent (the “Warrant Agent”) in connection with its Series A
Warrants (the “Series A Warrants”) to purchase shares of the Company’s common stock, par value $0.001 per share.
Pursuant to the Amendment, the Company and Warrant Agent agreed to modify the exercise price of the Series A Warrants from $9.00
per share to $4.50 per share. The Series A Warrants were issued as part of the Units offered by the Company in its initial public
offering that were registered under the Securities Act of 1933, as amended (the “Securities Act”), as set forth in
the Company’s Prospectus, dated June 29, 2020, filed with the SEC on July 2, 2020 pursuant to Rule 424(b) under the Securities
Act, File No. 333-235933.
The foregoing description of the Amendment is qualified in its entirety
by reference to the text of such agreement, which is filed as Exhibit 10.1 to this Current Report on Form 8-K and incorporated
herein by reference.
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Item 9.01
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Financial Statements and Exhibits
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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.
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ADITX THERAPEUTICS, INC.
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Date: August 20, 2020
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By:
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/s/ Corinne Pankovcin
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Corinne Pankovcin
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Chief Financial Officer
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