Current Report Filing (8-k)
August 16 2021 - 7:52AM
Edgar (US Regulatory)
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2021-08-16
2021-08-16
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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): August 16, 2021
SONNET
BIOTHERAPEUTICS HOLDINGS, INC.
(Exact
name of registrant as specified in its charter)
Delaware
|
|
001-35570
|
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20-2932652
|
(State
or other jurisdiction
of
incorporation)
|
|
(Commission
File
Number)
|
|
(IRS
Employer
Identification
No.)
|
100
Overlook Center, Suite 102
Princeton,
New Jersey 08540
(Address
of principal executive offices)
Registrant’s
telephone number, including area code: (609) 375-2227
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)
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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, $0.0001 Par Value
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SONN
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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 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
2.02. Results of Operations and Financial Condition.
On
August 16, 2021, Sonnet BioTherapeutics Holdings, Inc. (the “Registrant”) issued a press release regarding financial results
for the quarter ended June 30, 2021. A copy of the press release is furnished as Exhibit 99.1 hereto and is incorporated by reference
herein.
Forward-Looking
Statements
This
report, including Exhibit 99.1 furnished herewith, contains forward-looking statements within the meaning of the federal securities laws.
Forward-looking statements typically are identified by use of terms such as “may,” “will,” “should,”
“plan,” “expect,” “anticipate,” “estimate” and similar words, and the opposites of such
words, although some forward-looking statements are expressed differently. Forward-looking statements involve known and unknown risks
and uncertainties that exist in the Registrant’s operations and business environment, which may be beyond the Registrant’s
control, and which may cause actual results, performance or achievements to be materially different from future results, performance
or achievements expressed or implied by such forward-looking statements. All statements other than statements of historical fact are
statements that could be forward- looking statements. For example, forward-looking statements include, without limitation: statements
regarding prospects for additional customers; market forecasts; projections of earnings, revenues, synergies, accretion or other financial
information; and plans, strategies and objectives of management for future operations. The risks and uncertainties referred to above
include, but are not limited to, risks detailed from time to time in the Registrant’s filings with the Securities and Exchange
Commission, including its Annual Report on Form 10-K for the year ended September 30, 2020 and subsequently filed Quarterly Reports on
Form 10-Q. These risks could cause actual results to differ materially from those expressed in any forward- looking statements made by,
or on behalf of, the Registrant. Forward-looking statements represent the judgment of management of the Registrant regarding future events.
Although the Registrant believes that the expectations reflected in such forward-looking statements are reasonable at the time that they
are made, the Registrant can give no assurance that such expectations will prove to be correct. Unless otherwise required by applicable
law, the Registrant assumes no obligation to update any forward-looking statements, and expressly disclaims any obligation to do so,
whether as a result of new information, future events or otherwise.
Item
9.01. Financial Statements and Exhibits.
(d)
Exhibits.
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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Sonnet
BioTherapeutics Holdings, Inc.
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a
Delaware corporation
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|
(Registrant)
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Date:
August 16, 2021
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By:
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/s/
Pankaj Mohan, Ph.D.
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Name:
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Pankaj
Mohan, Ph.D.
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Title:
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Chief
Executive Officer
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