Current Report Filing (8-k)

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

FORM 8-K

CURRENT REPORT

Pursuant to Section 12 OR 15(d) of The Securities Exchange Act of 1934

Date of Report (date of earliest event reported):

December 14, 2021

NAVIDEA BIOPHARMACEUTICALS, INC.

(Exact name of registrant as specified in its charter)

Delaware	001-35076	31-1080091
(State or other jurisdiction	(Commission	(IRS Employer
of incorporation)	File Number)	Identification No.)

4995 Bradenton Avenue, Suite 240, Dublin, Ohio	43017
(Address of principal executive offices)	(Zip Code)

Registrant's telephone number, including area code

(614) 793-7500

(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 (see General Instruction A.2. below):

☐	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(s)		Name of Each Exchange on Which Registered
Common Stock, par value $.001 per share		NAVB		NYSE American

Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 or Rule 12b-2 of the Securities Exchange Act of 1934.

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 1.02

Termination of a Material Definitive Agreement.

On December 15, 2021, Navidea Biopharmaceuticals, Inc. (the “Company”) issued a press release announcing that it had terminated that certain Stock Purchase Agreement, dated August 30, 2020, by and between the Company and each of the investors named therein, effective December 14, 2021. A copy of the Company’s December 15, 2021 press release is furnished as Exhibit 99.1 to this Current Report on Form 8-K and is incorporated herein by reference.

Item 8.01

Other Events.

On December 15, 2021, the Company issued a press release announcing that it had achieved full enrollment in its NAV3-35 Phase 2b normative database clinical study. A copy of the Company’s December 15, 2021 press release is furnished as Exhibit 99.2 to this Current Report on Form 8-K and is incorporated herein by reference.

On December 16, 2021, the Company issued a press release announcing that it had received approval to launch its pivotal NAV3-33 Phase 3 clinical study in rheumatoid arthritis. A copy of the Company’s December 16, 2021 press release is furnished as Exhibit 99.3 to this Current Report on Form 8-K and is incorporated herein by reference.

Item 9.01.	Financial Statements and Exhibits.

	(a) Not applicable.

	(b) Not applicable.

	(c) Not applicable.

	(d) Exhibits

Exhibit No.	Description

99.1	Press Release dated December 15, 2021

99.2	Press Release dated December 15, 2021

99.3	Press Release dated December 16, 2021

104	Cover Page Interactive Data File (embedded within the Inline XBRL document)

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.

	Navidea Biopharmaceuticals, Inc.


Date: December 16, 2021	By:	/s/ Michael S. Rosol
		Michael S. Rosol, Ph.D. Senior Vice President and Chief Medical Officer