Current Report Filing (8-k)
June 29 2021 - 4:23PM
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):
June 29, 2021
AVID BIOSERVICES, INC.
(Exact name of registrant as specified in its charter)
Delaware
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001-32839
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95-3698422
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(State of other jurisdiction
of incorporation)
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(Commission File Number)
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(IRS Employer
Identification No.)
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2642 Michelle Drive, Suite 200, Tustin, California
92780
(Address of Principal Executive Offices)
Registrant’s telephone number, including
area code: (714) 508-6100
_________________________________________________________
(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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o
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Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425).
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o
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Soliciting material pursuant to Rule 14A-12 under the Exchange Act (17 CFR 240.14a-12)
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o
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Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR.14d-2(b))
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o
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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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Securities registered pursuant to Section 12(b)
of the Act:
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 per share
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CDMO
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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(§230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act
of 1934 (§240.12b-2 of this chapter).
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o
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Emerging growth company
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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. o
ITEM 2.02
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RESULTS OF OPERATIONS AND FINANCIAL CONDITION
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On June 29, 2021, Avid Bioservices,
Inc. (the “Company”) issued a press release to report the Company’s financial results for the fourth quarter and fiscal
year ended April 30, 2021. A copy of the press release is attached to this Current Report on Form 8-K as Exhibit 99.1. No additional information
is included in this Current Report on Form 8-K.
The information included in
this Current Report on Form 8-K, including the exhibit hereto, shall not be deemed “filed” for purposes of, nor shall it be
deemed incorporated by reference in, any filing under the Securities Act of 1933 or the Securities Exchange Act of 1934, except as expressly
set forth by specific reference in such a filing.
ITEM 7.01
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REGULATION FD DISCLOSURE
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On June 29, 2021, at 4:30
p.m. EDT/1:30 p.m. PDT, the Company will host a conference call to discuss its fourth quarter and fiscal year ended April 30, 2021 financial
results. The webcast of the conference call will be archived on the Company’s website for approximately 30 days.
ITEM 9.01
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FINANCIAL STATEMENTS AND EXHIBITS
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(d) Exhibits. The following material
is filed as an exhibit to this Current Report on Form 8-K:
Exhibit
Number
99.1 Press Release issued June 29, 2021.
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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AVID BIOSERVICES, INC.
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Date: June 29, 2021
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By:
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/s/ Daniel R. Hart
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Daniel R. Hart
Chief Financial Officer
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