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): July 13, 2020

Vaxart, Inc.

(Exact name of registrant as specified in its charter)

  

 

 

 

 

Delaware

 

001-35285

 

59-1212264

(State or other jurisdiction of incorporation)

 

(Commission File Number)

 

(IRS Employer Identification No.)

 

 

385 Oyster Point Boulevard, Suite 9A, South San Francisco, California

 

94080

(Address of principal executive offices)

 

(Zip Code)

 

Registrant’s telephone number, including area code: (650) 550-3500

 

Not Applicable

(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:

 

 

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

 

Trading symbol

 

Name of each exchange on which registered

Common stock, $0.0001 par value

 

VXRT

 

The Nasdaq Capital Market

 

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 July 13, 2020, Vaxart, Inc. (the “Company”) issued a press release relating to sales made by the Company under its at-the-market facility (the “ATM Program”). After the closing of such sale, there will be 109,094,467 shares of the Company’s common stock outstanding.

 

Following the sale, the Company will have sold a total of $100 million under the ATM Program, which amount constitutes the maximum aggregate offering price of shares that was available for sale in the ATM Program. As a result, the Company does not have any common stock available for sale under its sales agreement prospectus, dated July 8, 2020, relating to the ATM Program.

 

The Company’s press release is attached as Exhibit 99.1 to this current report and is incorporated herein by reference.

 

 

Item 9.01.      Financial Statements and Exhibits.

 

(d) Exhibits

 

Exhibit Number

Description

   

99.1

Press Release, dated July 13, 2020.

 

 

 

  

 

 

SIGNATURES

 

Pursuant to the requirements of the Securities Exchange Act of 1934, as amended, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.

 

 

 

 

 

 

 

Vaxart, Inc.

 

 

 

Dated: July 13, 2020

 

 

 

 

 

 

 

 

By:

 

/s/ Andrei Floroiu

 

 

 

 

 

 

 

Andrei Floroiu

 

 

 

 

 

 

President and Chief Executive Officer

 

 

 
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