Current Report Filing (8-k)
November 15 2018 - 6:07AM
Edgar (US Regulatory)
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): November 12, 2018
INTERNATIONAL STEM CELL CORPORATION
(Exact name of registrant as specified in its charter)
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Delaware
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000-51891
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20-4494098
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(State or other jurisdiction
of incorporation)
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(Commission
File Number)
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(IRS Employer
Identification Number)
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5950 Priestly Drive, Carlsbad, CA 92008
(Address of principal executive offices, including zip code)
(760)
940-6383
(Registrants telephone number, including area code)
(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:
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Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)
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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
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Entry into a Material Definitive Agreement.
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On November 12, 2018, International Stem Cell Corporation (the Company) entered into the First Amendment to Promissory Note
(the Amendment) with Dr. Andrey Semechkin, pursuant to which the Company and Dr. Semechkin amended the terms of that certain Promissory Note, dated August 8, 2018 (the Note), in order to extend the maturity
date of the Note from November 1, 2018 to January 15, 2019. Dr. Semechkin is the Companys
Co-Chairman
and Chief Executive Officer.
The Note currently has an outstanding principal amount of $2,000,000 and may be
pre-paid
by the
Company without penalty at any time.
The foregoing summary of the Amendment is qualified in its entirety by reference to the full text of
the Amendment filed as Exhibit 10.1 to this Current Report on Form
8-K.
Item 9.01
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Financial Statements and Exhibits.
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(d) Exhibits
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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International Stem Cell Corporation
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By:
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/s/ Sophia Garnette
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Sophia Garnette
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Vice President, Legal Affairs and Operations
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Dated: November 12, 2018
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