Current Report Filing (8-k)
December 17 2020 - 5:10PM
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):
December 14, 2020
Adial Pharmaceuticals, Inc.
(Exact name of registrant as specified in
charter)
Delaware
(State or other jurisdiction of incorporation)
001-38323
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82-3074668
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(Commission File Number)
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(IRS Employer Identification No.)
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1001 Research Park Blvd., Suite 100
Charlottesville, Virginia 22911
(Address of principal executive offices and
zip code)
(434) 422-9800
(Registrant’s telephone number including
area code)
(Former Name and Former Address)
Check the appropriate box below if the Form
8-K filing is intended to simultaneously satisfy the filing obligation of 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(b) 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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Securities registered pursuant to Section 12(b) of the Act:
Title of each class
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Trading Symbols
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Name of each exchange on which registered
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Common Stock
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ADIL
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NASDAQ
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Warrants
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ADILW
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NASDAQ
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Indicate by check mark whether the registrant
is an emerging growth company as defined in in Rule 405 of the Securities Act of 1933 (17 CFR §230.405 of this chapter) or
Rule 12b-2 of the Securities Exchange Act of 1934 (17 CFR §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.
Effective
December 14, 2020, Adial Pharmaceuticals, Inc. (the “Company”) appointed Dr. Jack Reich as Head of Regulatory pursuant
to an Offer Letter, dated December 14, 2020 (the “Offer Letter”).
Pursuant
to the Offer Letter, Dr. Reich will serve as Head of Regulatory, report directly to the Company’s Chief Executive Officer
and receive a salary of $225,000 per year. Dr. Reich will also be eligible for an annual bonus with a target of 30% of his salary,
subject to the discretion of the Company’s board of directors.
The
foregoing description of the Offer Letter does not purport to be complete and is subject to, and is qualified in its entirety
by reference to, the provisions of the Offer Letter, which is filed as Exhibit 10.1 to this Current Report on Form 8-K and is
incorporated herein by reference.
Item
9.01. Financial Statements and Exhibits.
(d)
Exhibits
The
following exhibit is filed with this Current Report on Form 8-K:
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.
Dated: December 17, 2020
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ADIAL PHARMACEUTICALS, INC.
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By:
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/s/ William B. Stilley, III
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Name:
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William B. Stilley
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Title:
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President and Chief Executive Officer
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