Additional Proxy Soliciting Materials (definitive) (defa14a)
August 23 2019 - 4:43PM
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): August 23, 2019
SPHERIX
INCORPORATED
(Exact
name of registrant as specified in its charter)
Delaware
|
|
000-05576
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52-0849320
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(State
or other jurisdiction
of
incorporation)
|
|
(Commission
File
Number)
|
|
(I.R.S.
Employer
Identification
No.)
|
One
Rockefeller Plaza, 11th Floor, New York, NY
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|
10020
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(Address
of principal executive offices)
|
|
(Zip
Code)
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|
Registrant’s
telephone number, including area code: (212) 745-1374
|
|
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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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))
|
|
|
☐
|
Pre-commencement communications pursuant to
Rule 13e-4(c) under the Exchange Act (17 CFR 240.13a-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 (§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. ☐
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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SPEX
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The
Nasdaq Capital Market LLC
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Additional Information about the Transactions and Where to
Find It
In connection with that
certain Asset Purchase Agreement (the “Asset Agreement”) by and between Spherix Incorporated (the “Company”)
and CBM BioPharma, Inc., dated as of May 15, 2019 and as amended on May 30, 2019, the Company has filed a Definitive Proxy Statement
on Schedule 14A (the “Proxy Statement”) with the Securities and Exchange Commission (“SEC”). Investors
and security holders of the Company are advised to read the Proxy Statement, and amendments thereto, in connection with the Company’s
solicitation of proxies for its stockholders’ meeting to be held on September 5, 2019 to approve the transactions contemplated
by the Asset Agreement because the proxy statements will contain important information about the Asset Acquisition and the other
Transactions and the parties thereto. The Proxy Statement and other relevant materials were mailed to stockholders of the Company
as of July 22, 2019, the record date established for voting on the transactions contemplated by the Asset Agreement. Stockholders
are also able to obtain copies of the proxy statement, without charge, once available, at the SEC’s website at www.sec.gov or
by directing a request to: Spherix Incorporated, One Rockefeller Plaza, 11th Floor, New York, NY 10020.
Participants in the Solicitation
The Company, CBM BioPharma,
Inc., and their respective directors, executive officers and other members of their management and employees, under SEC rules,
may be deemed to be participants in the solicitation of proxies of the Company’s stockholders in connection with the Asset
Agreement and the other transactions contemplated thereby. Information regarding the participants is available in the Proxy
Statement filed by the Company with the SEC on July 24, 2019. Additional information regarding the participants is in the proxy
solicitation and a description of their direct and indirect interests is contained in the Proxy Statement, which can be obtained
free of charge from the sources indicated above.
Disclaimer
This report shall neither
constitute an offer to sell or the solicitation of an offer to buy any securities, nor shall there be any sale of securities in
any jurisdiction in which the offer, solicitation or sale would be unlawful prior to the registration or qualification under the
securities laws of any such jurisdiction.
Item 8.01 Other Events.
On July 24, 2019, the Company
filed the Proxy Statement in connection with its upcoming Special Meeting to be held on September 5, 2019, at which the Company’s
stockholders shall vote on the proposed transaction with CBM BioPharma, Inc. This Current Report on Form 8-K is being filed to
make certain corrections to the form of Certificate of Designation of Preferences, Rights and Limitations of Series L Convertible
Preferred Stock (the “Certificate”) included as Annex C in the Proxy Statement, specifically as to the beneficial ownership
limitation set forth in Section 6(d). No other changes were made to the Certificate.
Item 9.01. Financial
Statements and Exhibits
d) Exhibits.
The exhibit listed in the
following Exhibit Index is filed as part of this Current Report on Form 8-K.
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.
Dated:
August 23, 2019
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SPHERIX
INCORPORATED
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|
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By:
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/s/
Anthony Hayes
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Name:
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Anthony
Hayes
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Title:
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Chief
Executive Officer
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