Current Report Filing (8-k)
September 15 2022 - 8:44AM
Edgar (US Regulatory)
0001638287
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2022-09-15
2022-09-15
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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): September 15, 2022
NeuroBo
Pharmaceuticals, Inc.
(Exact name of Registrant as Specified in Its Charter)
Delaware |
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001-37809 |
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47-2389984 |
(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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200 Berkeley Street, 19th Floor
Boston, Massachusetts 02116
(Address of principal executive offices, including Zip
Code) |
Registrant’s
Telephone Number, Including Area Code: (857) 702-9600
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)) |
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 |
Common Stock, par value $0.001 per share |
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NRBO |
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The Nasdaq Stock Market LLC |
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 8.01 Other Events.
On September 15, 2022, the
Company issued a press release announcing the Company’s entry on September 14, 2022 into a License Agreement between the Company
and Dong-A ST Co. Ltd. and related transactions. A copy of the press release is attached as Exhibit 99.1 hereto.
The information in Item 8.01
and Exhibit 99.1 attached hereto shall not be deemed “filed” for purposes of Section 18 of the Securities Exchange Act of
1934, as amended (the “Exchange Act”), or otherwise subject to the liabilities under that section, nor shall
it be deemed incorporated by reference in any filing under the Securities Act, or the Exchange Act, regardless of any general incorporation
language in such filing.
Forward-Looking Statements
This Form 8-K contains forward-looking statements
within the meaning of The Private Securities Litigation Reform Act of 1995, including without limitation, statements regarding the expected
effectiveness of the transactions contemplated by the License Agreement and the closing of the Dong-A Financing, statements regarding
the License Agreement, the Company’s integration of the assets licensed therein, the effect of the transactions contemplated by
the License Agreement and the closing of the Dong-A Financing on the Company’s business strategy, the market size and potential
growth opportunities of the Company’s current and future product candidates, capital requirements and use of proceeds, clinical
development activities, the timeline for, and results of, clinical trials, regulatory submissions, and potential regulatory approval and
commercialization of its current and future product candidates. Forward-looking statements are usually identified by the use of words,
such as “believes,” “anticipates,” “expects,” “intends,” “plans,” “may,”
“potential,” “will,” “could” and similar expressions. Actual results may differ materially from those
indicated by forward-looking statements as a result of various important factors and risks. These factors, risks and uncertainties include,
but are not limited to: (1) the structure, timing and ability to satisfy the conditions to closing the License Agreement; (2) the Company’s
ability to be continued to be listed on the NASDAQ Capital Market; (3) the ability to realize the benefits of the License Agreement, including
the impact on future financial and operating results of the Company; (4) the ability to integrate the new product candidates to be licensed
as part of the transaction into the Company’s business in a timely and cost-efficient manner; (5) the cooperation of our contract
manufacturers, clinical study partners and others involved in the development of our current and future product candidates; (6) costs
related to the License Agreement, known and unknown, including costs of any litigation or regulatory actions relating to the License Agreement;
(7) changes in applicable laws or regulations; (8) effects of changes to the Company’s stock price on the terms of the License Agreement
and any future fundraising; and (9) the ability of the Company to successfully raise funds to meet the conditions of the License Agreement.
Please refer to the Company’s most recent annual report on Form 10-K, as well as the Company’s subsequent filings on Form
10-Q and Form 8-K, which are available on the SEC’s website (www.sec.gov), for a full discussion of the risks and other factors
that may impact any forward-looking statements in this Form 8-K. In addition, the forward-looking statements included in this Form 8-K
represent the Company’s views as of the date hereof. The Company anticipates that subsequent events and developments will cause
its views to change. However, while the Company may elect to update these forward-looking statements at some point in the future, the
Company specifically disclaims any obligation to do so. These forward-looking statements should not be relied upon as representing the
Company’s views as of any date subsequent to the date hereof.
Item 9.01 Financial Statements and Exhibits.
The following exhibit is filed
as part of this report:
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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NeuroBo Pharmaceuticals, Inc. |
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Date: September 15, 2022 |
By: |
/s/ Gil Price, M.D. |
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Gil Price, M.D. |
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President and Chief Executive Officer |
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