Current Report Filing (8-k)
May 19 2023 - 4:32PM
Edgar (US Regulatory)
0001821586
false
0001821586
2023-05-15
2023-05-15
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xbrli:shares
iso4217:USD
xbrli:shares
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): May 15, 2023
MOONLAKE IMMUNOTHERAPEUTICS
(Exact name of registrant
as specified in its charter)
Cayman Islands |
|
001-39630 |
|
98-1711963 |
(State or other jurisdiction
of incorporation) |
|
(Commission File Number) |
|
(IRS Employer
Identification No.) |
Dorfstrasse 29
Zug, Switzerland |
|
6300 |
(Address of principal executive offices) |
|
(Zip Code) |
41 415108022
(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:
☐ |
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 Securities Exchange Act of 1934:
Title of each class |
|
Trading Symbol(s) |
|
Name of each exchange on which registered |
Class A ordinary share, par value $0.0001 per share |
|
MLTX |
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The Nasdaq Capital Market |
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.
Item 5.02 Departure of Directors or Certain
Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers.
On May 15, 2023, following a review of the Company’s
equity-based compensation arrangements, the Board of Directors of MoonLake Immunotherapeutics (the “Company”) determined to
amend the Employee Share Participation Plan and the Employee Stock Option Plan of MoonLake Immunotherapeutics AG (as so amended, the “Plans”)
as well as all outstanding equity awards under the Plans, including those granted to the Company’s named executive officers, to,
effective immediately, provide for automatic vesting in full of outstanding awards (whether currently outstanding or granted in the future)
upon a Change of Control (as the term is defined in the Plans) in order to more closely align with market practice.
Signature
Pursuant to the requirements of the Securities
Exchange Act of 1934, as amended, the Registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly
authorized.
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MoonLake Immunotherapeutics |
|
|
Date: May 19, 2023 |
By: |
/s/ Matthias Bodenstedt |
|
Name: |
Matthias Bodenstedt |
|
Title: |
Chief Financial Officer |
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