Current Report Filing (8-k)
April 10 2020 - 5:00PM
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): April 6, 2020
Hancock
Jaffe Laboratories, Inc.
(Exact
name of registrant as specified in its charter)
Delaware
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001-38325
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33-0936180
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(State
or other jurisdiction
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(Commission
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(I.R.S.
Employer
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of
incorporation)
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File
Number)
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Identification
No.)
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70
Doppler
Irvine,
California 92618
(Address
of principal executive offices) (Zip Code)
(949)
261-2900
(Registrant’s
telephone number, including area code)
N/A
(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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☐
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Written
communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)
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☐
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Soliciting
material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)
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☐
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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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☐
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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(s)
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Name
of each exchange on which registered
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Common
Stock, par value $0.00001 per share
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HJLI
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The
NASDAQ Stock Market LLC
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Warrant
to Purchase Common Stock
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HJLIW
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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 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. ☒
Item
5.02
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Departure
of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain
Officers.
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On
April 6, 2020, the Board of Directors of Hancock Jaffe Laboratories, Inc. (the “Company”) appointed Craig Glynn as
Interim Chief Financial Officer and Interim Treasurer.
Mr.
Glynn, age 59, has more than thirty-five years of experience providing financial services to a variety of public and private companies,
including in the role as Chief Financial Officer. In 2012, Mr. Glynn founded Edward Thomas Associates, a firm that provides public
and private companies with accounting and finance services, including chief financial officer services. Mr. Glynn is a Managing
Director of Edward Thomas Associates. Mr. Glynn has a proven record of success managing the financial aspects of dynamic organizations
either as a member of the management team or in a consulting capacity. He started his career as an auditor with Deloitte and went
on to be the CFO and Controller of several technology, manufacturing, and distribution companies. Mr. Glynn earned his BS and
MS degrees in Accounting from California State University Northridge. He is a member of the American Institute of CPAs.
For
his services as Interim Chief Financial Officer and Interim Treasurer, Mr. Glynn will be paid $10,000 per month of employment.
Mr. Glynn has not been involved in any transaction with the Company that would require disclosure under Item 404(a) of Regulation
S-K. There are no family relationships between Mr. Glynn and any other director, executive officer, or person nominated or chosen
by the Company to become a director or executive officer of the Company and there are no arrangements or understandings between
him and any other persons pursuant to which he was or is to be selected as an officer.
SIGNATURE
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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HANCOCK
JAFFE LABORATORIES, INC.
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Dated
April 10, 2020
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/s/
Robert A. Berman
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Robert
A. Berman
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Chief
Executive Officer
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