Current Report Filing (8-k)

Date : 03/26/2019 @ 9:15PM
Source : Edgar (US Regulatory)
Stock : Cocrystal Pharma, Inc. (COCP)
Quote : 2.0  -0.05 (-2.44%) @ 8:59PM

Current Report Filing (8-k)

 

 

 

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, 2018

 

Cocrystal Pharma, Inc.

(Exact name of registrant as specified in its charter)

 

Delaware   001-38418   35-2528215

(State or other Jurisdiction

of Incorporation)

 

(Commission

File Number)

 

(IRS Employer

Identification No.)

 

19805 N. Creek Parkway

Bothell, WA

  98011
(Address of principal executive offices)   (Zip Code)

 

Registrant’s telephone number, including area code: (786) 459-1831

 

(Former name or former address, if changed since last report.): N/A

 

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:

 

[  ] 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))

 

Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (17 CFR §230.405) or Rule 12b-2 of the Securities Exchange Act of 1934 (17 CFR §240.12b-2).

 

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.

 

On March 20, 2019, Cocrystal Pharma, Inc. (the “Company”) and Alliance Global Partners (“AGP”) entered into an amendment (the “Amendment”) to the Equity Distribution Agreement, dated July 19, 2018 (the “Distribution Agreement”) by and among the Company, Ladenburg Thalmann & Co. Inc. (“Ladenburg”), Barrington Research Associates, Inc. (“Barrington”) and AGP, previously disclosed in Current Report on Form 8-K filed on July 20, 2018. The Amendment provides that the termination of the engagement of Ladenburg and Barrington as the sales agents pursuant to the Distribution Agreement shall not affect the validity of the Distribution Agreement to the extent it governs AGP’s engagement as the sales agent under the Distribution Agreement. In addition, the Company and AGP agreed that the sales of the Company’s common stock pursuant to the Distribution Agreement would be suspended until such later date as the Company shall notify AGP.

 

Previously, on December 14, 2018, the Company received notice from Ladenburg regarding the termination of its engagement as the sales agent pursuant to the Distribution Agreement. Barrington’s engagement as the sales agent under the Distribution Agreement was terminated on March 21, 2019. Pursuant to the terms of the Distribution Agreement, Barrington was to act as a “qualified independent underwriter,” in accordance with FINRA Rule 5121, due to Ladenburg’s conflict of interest resulting from the beneficial ownership by Dr. Phillip Frost, a director of the Company, as of July 19, 2018, of more than 10% of the Company’s common equity and more than 10% of the common equity of Ladenburg’s parent, Ladenburg Thalmann Financial Services, Inc.

 

The above description of the Amendment does not purport to be complete and is qualified in its entirety by the full text of the Amendment filed as Exhibit 10.1 hereto and is incorporated herein by reference.

 

Item 1.02 Termination of a Material Definitive Agreement.

 

To the extent required by Item 1.02, the information contained in Item 1.01 of this Current Report on Form 8-K is incorporated herein by reference.

 

Item 9.01. Financial Statements and Exhibits.

 

(d) Exhibits.

 

Exhibit No.   Description
     
10.1   Amendment to Equity Distribution Agreement, dated March 20, 2019

 

 
 

 

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.

 

  Cocrystal Pharma, Inc.
     
Dated: March 26, 2019 By: /s/ James Martin
     James Martin
     Chief Financial Officer

 

 
 

 

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