Current Report Filing (8-k)
September 14 2017 - 7:04AM
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):
September 12, 2017
TONIX PHARMACEUTICALS HOLDING CORP.
(Exact name of registrant as specified in
its charter)
Nevada
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001-36019
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26-1434750
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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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509 Madison Avenue, Suite 306, New York, New
York 10022
(Address of principal executive offices)
(Zip Code)
Registrant’s telephone number, including
area code:
(212) 980-9155
Copy of correspondence to:
Marc J. Ross, Esq.
James M. Turner, Esq.
Sichenzia Ross Ference Kesner LLP
1185 Avenue of the Americas, 37
th
Floor
New York, New York 10036
Tel: (212) 930-9700 Fax: (212) 930-9725
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):
o
Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)
o
Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)
o
Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))
o
Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))
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.
On September 12, 2017,
the Board of Directors (the “Board”) of Tonix Pharmaceuticals Holding Corp. (the “Company”), on the recommendation
of its Nominating and Corporate Governance Committee, increased the number of directors to nine and appointed Ms. Margaret Smith
Bell as a director of the Company, effective immediately.
Previously, Ms. Bell was
a Vice President at Standard Life Investments where she was a portfolio manager and health care equity analyst. Ms. Bell was also
a Managing Director at Putnam Investments, and served as a senior health care analyst and a portfolio manager of the Putnam Health
Sciences Trust. Ms. Bell was an analyst and vice president at State Street Research and a research analyst at Alex. Brown &
Sons, Inc. Ms. Bell is a past member of the Board of Overseers at Beth Israel Deaconess Medical Center. Ms. Bell holds a B.A. from
Wesleyan University and an M.B.A. from the Wharton School at the University of Pennsylvania.
Ms. Bell will hold office
until the next annual meeting of shareholders and until her successor shall have been elected and qualified or until her earlier
death, resignation or removal. The Board has determined that Ms. Bell satisfies the definition of “independent” director,
including, without limitation, the applicable requirements of the NASDAQ Listing Rules and the Securities Exchange Act of 1934,
as amended. The committee or committees of the Board to which Ms. Bell will be appointed has not been determined.
The Board, on the recommendation
of its Compensation Committee, awarded Ms. Bell 20,000 stock options, which vest on the first anniversary of issuance and are exercisable
at $4.25 per share.
There is no understanding
or arrangement between Ms. Bell and any other person pursuant to which Ms. Bell was selected as a director. Ms. Bell
does not have any family relationship with any director, executive officer or person nominated or chosen by us to become a director
or executive officer.
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ITEM 7.01
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Regulation FD Disclosure.
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On September 14, 2017,
the Company issued a press release relating to the appointment of Ms. Bell, as discussed in Item 5.02 above. A copy of the press
release that discusses these matters is filed as Exhibit 99.01 to, and incorporated by reference in, this report.
A copy of the press release
that discusses this matter is filed as Exhibit 99.01 to, and incorporated by reference in, this report. The information in this
Current Report is being furnished and shall not be deemed "filed" for the purposes of Section 18 of the Securities Exchange
Act of 1934 or otherwise subject to the liabilities of that Section. The information in this Current Report shall not be incorporated
by reference into any registration statement or other document pursuant to the Securities Act of 1933, except as shall be expressly
set forth by specific reference in any such filing.
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ITEM 9.01
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Financial Statements and Exhibits.
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______
* Furnished herewith.
SIGNATURE
Pursuant to the requirement
of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned
thereunto duly authorized.
TONIX PHARMACEUTICALS HOLDING CORP.
Date: September 14, 2017
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By:
/s/ BRADLEY SAENGER
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Bradley Saenger
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Chief Financial Officer
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