Current Report Filing (8-k)
October 02 2017 - 8:02AM
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 29, 2017
MannKind Corporation
(Exact name of registrant as specified in its charter)
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Delaware
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000-50865
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13-3607736
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(State or other jurisdiction of
incorporation or organization)
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(Commission
File Number)
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(IRS Employer
Identification No.)
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30930 Russell Ranch Road, Suite 301
Westlake Village, California
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91362
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(Address of principal executive offices)
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(Zip Code)
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Registrants telephone number, including area code:
(818) 661-5000
N/A
(Former name or former address, if changed since last report.)
Check the appropriate box below if the
Form 8-K is
intended to simultaneously satisfy the filing obligation
of the registrant under any of the following provisions (see General Instruction A.2. of
Form 8-K):
☐
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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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Pre-commencement communications
pursuant to
Rule 14d-2(b) under
the Exchange Act (17
CFR 240.14d-2(b))
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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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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 1.01 Entry into a Material Definitive Agreement.
Warrant Exchange Agreements
On September 29, 2017,
MannKind Corporation (the Company) and the four holders of all outstanding Series A Common Stock Purchase Warrants and Series B Common Stock Purchase Warrants of the Company (collectively, the Warrants) entered into separate,
privately-negotiated exchange agreements (the Exchange Agreements), pursuant to which the Company agreed to issue to such holders an aggregate of 1,292,508 shares of the Companys common stock (the Exchange Shares) in
exchange for the Warrants. The closings of the exchanges contemplated by the Exchange Agreements are expected to occur on October 3, 2017, subject to the satisfaction of certain closing conditions.
The foregoing description of the Exchange Agreements is qualified in its entirety by reference to the form of Exchange Agreement, a copy of which is attached
as Exhibit 99.1 to this report.
Item 3.02 Unregistered Sales of Equity Securities.
The information set forth under Item 1.01 of this report is incorporated by reference into this Item 3.02. The Company offered the Exchange Shares in reliance
on the exemption from registration provided by Section 3(a)(9) of the Securities Act of 1933, as amended.
This report does not constitute an offer
to sell, or a solicitation of an offer to buy, any security and shall not constitute an offer, solicitation or sale in any jurisdiction in which such offering would be unlawful.
Item 9.01 Financial Statements and Exhibits.
(d)
Exhibits.
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Exhibit
Number
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Description
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99.1
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Form of Exchange Agreement
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Forward-Looking Statements
This report contains forward-looking statements as defined under the Private Securities Litigation Reform Act of 1995, including statements regarding the
completion and timing of the transactions contemplated by the Exchange Agreements. Words such as believes, anticipates, plans, expects, intends, will, goal,
potential and similar expressions are intended to identify forward-looking statements. These forward-looking statements are based upon the Companys current expectations based on information currently known to the Company, and
involve known and unknown risks and uncertainties, which include, without limitation, risks associated with the satisfaction of closing conditions under the Exchange Agreements and other risks detailed in the Companys filings with the
Securities and Exchange Commission, including its Quarterly Report on Form
10-Q
for the quarter ended June 30, 2017. You are cautioned not to place undue reliance on these forward-looking statements,
which speak only as of the date of this report. All forward-looking statements are qualified in their entirety by this cautionary statement, and the Company undertakes no obligation to revise or update any forward-looking statements to reflect
events or circumstances after the date of this report.
EXHIBIT INDEX
SIGNATURE
Pursuant to the requirements of the Securities Exchange Act of 1934, the Company has duly caused this report to be signed on its behalf by the undersigned
hereunto duly authorized.
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MANNKIND CORPORATION
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Dated: October 2, 2017
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By:
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/s/ David Thomson
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Name:
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David Thomson, Ph.D., J.D.
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Title:
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Corporate Vice President, General Counsel and Secretary
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