Current Report Filing (8-k)
May 20 2019 - 6:31AM
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):
May 17, 2019
CHROMADEX CORPORATION
(Exact name of registrant as specified in its
charter)
Delaware
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001-37752
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26-2940963
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(State
or other jurisdiction of incorporation)
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(Commission
File Number)
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(IRS
Employer Identification No.)
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10900 Wilshire Blvd. Suite 650, Los Angeles, California
90024
(Address
of principal executive offices, including zip code)
(310) 388-6706
(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, par value $0.001 per share
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CDXC
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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.
☐
Item 3.02 Unregistered Sales of Equity Securities.
As previously disclosed, on May 9, 2019, ChromaDex Corporation (the
“Company”) entered into
a Note Purchase
Agreement (the
“
Purchase
Agreement
”
) with Winsave
Resources Limited and Pioneer Step Holdings Limited (the
“
Purchasers
”
), pursuant to which the Company
agreed to sell and issue convertible promissory notes (the
“Notes”) in the aggregate principal amount of $10.0
million to the Purchasers (the
“
Financing
”
).
On
May 17, 2019, the Company closed the Financing, and, in connection
therewith, issued
the Notes to the Purchasers
.
The
Notes and the shares of the Company’s common stock, par value
$0.001 per share issuable upon conversion of the Notes are not
registered under the Securities Act of 1933, as amended (the
“Securities Act”), or any state securities laws. The
Company has relied on the exemption from the registration
requirements of the Securities Act by virtue of Section 4(a)(2)
thereof and Rule 506 of Regulation D thereunder. In connection with
the Purchasers
’
execution
of the Purchase Agreement, the Purchasers represented to the
Company that they are each an
“
accredited investor
”
as defined in Regulation D of the
Securities Act and that the securities to be purchased by them will
be acquired solely for their own account and for investment
purposes and not with a view to the future sale or
distribution.
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.
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CHROMADEX CORPORATION
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Dated:
May 20, 2019
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By:
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/s/ Kevin M.
Farr
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Name:
Kevin M. Farr
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Chief
Financial Officer
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