Current Report Filing (8-k)
February 10 2023 - 4:22PM
Edgar (US Regulatory)
false
0001029125
0001029125
2023-02-09
2023-02-09
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
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February 9, 2023
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Date of Report (Date of Earliest Event Reported)
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Panbela Therapeutics, Inc.
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(Exact Name of Registrant as Specified in its Charter)
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Delaware
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001-39468
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88-2805017
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(State of Incorporation)
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(Commission File Number)
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(I.R.S. Employer Identification No.)
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712 Vista Blvd #305
Waconia, Minnesota
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55387
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(Address of Principal Executive Offices)
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(Zip Code)
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(952) 479-1196
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(Registrant’s Telephone Number, Including Area Code)
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(Former Name or Former Address, if Changed Since Last Report.)
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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):
☐ 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:
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Title of each class
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Trading Symbol
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Name of each exchange on which
registered
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Common Stock, $0.001 par value
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PBLA
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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 or Rule 12b-2 of the Securities Exchange Act of 1934.
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 February 9, 2023, Panbela Therapeutics, Inc. (the “Company”) received formal notice from The Nasdaq Stock Market (“Nasdaq”) stating that the Company’s scheduled hearing has been canceled, and its common stock will continue to be listed and traded on Nasdaq, due to the Company having regained compliance with the minimum bid price requirement and minimum stockholders’ equity requirement for continued listing on Nasdaq, as set forth in Nasdaq Listing Rules 5550(a)(2) and 5550(b)(1), respectively, and all applicable listing standards.
As previously disclosed, on January 3, 2023, Nasdaq notified the Company that, as of December 30, 2022, the Company’s common stock had a closing bid price of $0.10 or less for ten consecutive trading days during the period within which Nasdaq had provided the Company to regain compliance with the minimum bid price requirement and, therefore, as contemplated under Nasdaq Listing Rule 5810(c)(3)(A), the Company’s common stock was subject to delisting from Nasdaq unless the Company timely requested a hearing before the Nasdaq Hearings Panel. The Company timely requested the hearing, which request stayed any further delisting action. The hearing has been canceled.
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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Panbela Therapeutics, Inc.
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Date: February 10, 2023
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By:
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/s/ Susan Horvath
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Susan Horvath
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Chief Financial Officer
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