Amended Current Report Filing (8-k/a)
March 05 2021 - 04:17PM
Edgar (US Regulatory)
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, DC 20549
FORM 8-K/A
(Amendment No. 1)
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 18, 2020
EYEGATE PHARMACEUTICALS, INC.
(Exact name of registrant as specified in
its charter)
Delaware
(State or other jurisdiction of incorporation)
001-36672
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98-0443284
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(Commission File Number)
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(IRS Employer Identification No.)
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271 Waverley Oaks Road
Suite 108
Waltham, MA
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02452
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(Address of principal executive offices)
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(Zip Code)
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(781) 788-9043
(Registrant’s telephone number, including
area code)
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))
Securities registered pursuant to Section 12(b) of
the Act:
Title of each class:
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Trading Symbol(s)
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Name of each exchange on which registered:
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Common Stock, $0.01 par value
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EYEG
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The Nasdaq Capital Market
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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. ¨
Explanatory Note
On December 21, 2020, EyeGate Pharmaceuticals, Inc.
(the “Company”) filed a Current Report on Form 8-K (the “Original Form 8-K”) reporting, among
other items, that on December 18, 2020, the Company entered into a Share Purchase Agreement (the “Purchase Agreement”),
by and among the Company and the Sellers named therein (the “Sellers”). Pursuant to the Purchase Agreement, the Company
acquired 100% of the outstanding equity interests of Panoptes Pharma Ges.m.b.H. (“Panoptes”) and Panoptes became a
wholly-owned subsidiary of the Company. This Amendment No. 1 to Current Report on Form 8-K amends the Original Form 8-K
to provide (i) the historical audited financial statements of Panoptes and (ii) the pro forma condensed combined financial
information as required by Items 9.01(a) and 9.01(b) of Current Report on Form 8-K, respectively. Such financial
information was excluded from the Original Form 8-K in reliance on the instructions to such Items.
Item 9.01.
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Financial Statements and Exhibits.
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(a) Financial statements of businesses acquired.
The audited financial statements of Panoptes as of and for the
years ended December 31, 2019 and 2018 and the notes related thereto are filed herewith as Exhibit 99.1 and are incorporated
herein by reference. The unaudited financial statements of Panoptes as of and for the nine months ended September 30, 2020
and the notes related thereto are filed herewith as Exhibit 99.2 and are incorporated herein by reference.
(b) Pro Forma Financial Information.
The unaudited pro forma condensed combined financial information
of the Company and Panoptes, which include a pro forma condensed combined balance sheet as of September 30, 2020 and pro forma
condensed combined statements of operations for the year ended December 31, 2019 and the nine months ended September 30,
2020 and the notes related thereto, are filed herewith as Exhibit 99.4 and are incorporated herein by reference.
(d) Exhibits.
The Company hereby files the following 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 thereunto duly authorized.
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EYEGATE
PHARMACEUTICALS, INC.
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By:
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/s/ Franz Obermayr
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Franz Obermayr
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Acting Chief Executive Officer
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Date: March 5, 2021
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