Current Report Filing (8-k)
March 24 2021 - 5:25PM
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): March
19, 2021
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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2569 Wyandotte St., Suite 101
Mountain View, CA
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94043
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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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☐
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Soliciting material pursuant
to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)
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☐
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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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☐
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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. ☐
Item 5.02 Departure of
Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain
Officers.
Appointment of Principal Accounting
Officer
On March 19, 2021,
the board of directors of Aditx Therapeutics, Inc. (the “Company”) appointed Thomas J. Farley as Principal Accounting
Officer of the Company. Mr. Farley currently serves as the Controller of the Company.
Set forth below is
the biographical information of Mr. Farley, age 47, as required by Item 401 of Regulation S-K.
Since October 2020, Mr.
Farley has been the Controller on the Company. From December 2015 to April 2020, Mr. Farley was the Senior Controller and Treasurer
of Business Development Corporation of America (“BDCA”), a business development company. Prior thereto, from January
2011 to August 2015, Mr. Farley was the Senior Controller of Blackrock Capital Investment Corporation (NASDAQ: BKCC). Prior to
joining BlackRock, Mr. Farley was a Senior Controller for PineBridge Investments. Mr. Farley began his career with PricewaterhouseCoopers
LLP, from 1991 to 2001. Mr. Farley earned his B.S. in Accounting from Long Island University. He is a Certified Public Accountant.
Item 7.01 Regulation
FD Disclosure.
Attached as Exhibit
99.1 to this Current Report on Form 8-K is an updated version of the Company’s investor presentation, which may be used in
presentations to investors from time to time in the future.
The information in
this Item 7.01 and Exhibit 99.1 of this Current Report on Form 8-K is furnished and shall not be deemed to be “filed”
for the purposes of Section 18 of the Securities Exchange Act of 1934, as amended (the “Exchange Act”), or otherwise
subject to the liabilities of that section. The information in this Item 7.01 and Exhibit 99.1 of this Current Report on Form 8-K
shall not be incorporated by reference into any filing under the Securities Act of 1933, as amended, or the Exchange Act, whether
made before or after the date of this Current Report, regardless of any general incorporation language in any such filing.
Item 9.01 Financial Statements and
Exhibits
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: March 24, 2021
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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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