Current Report Filing (8-k)
October 01 2019 - 8:43AM
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): October 1, 2019
ZIOPHARM Oncology, Inc.
(Exact Name of Registrant as Specified in Charter)
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Delaware
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001-33038
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84-1475642
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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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One First Avenue, Parris Building 34, Navy Yard Plaza
Boston, Massachusetts
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02129
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(Address of Principal Executive Offices)
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(Zip Code)
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(617) 259-1970
(Registrants telephone number, including area code)
Not applicable
(Former
Name or Former Address, if Changed Since Last Report)
Check the appropriate box below
if the Form 8-K 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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Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12).
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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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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:
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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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ZIOP
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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 (17 CFR 230.405) or Rule 12b-2 of the Exchange Act (17 CFR 240.12b-2).
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 8.01 Other Events.
On October 1, 2019, Ziopharm Oncology, Inc. (the Company) issued a press release announcing that the U.S. Food and Drug Administration has
cleared an investigational new drug application submitted by MD Anderson Cancer Center for a phase 1 clinical trial to evaluate CD19-specific CAR-T therapies for patients with relapsed CD19+ leukemias and lymphomas. The clinical trial will evaluate
CAR-T therapies manufactured and infused in two days or less from gene transfer using the Companys Sleeping Beauty platform. A copy of the press release is attached hereto as Exhibit 99.1 and is incorporated herein by reference.
Forward-Looking Statements
This Current Report on
Form 8-K contains forward-looking statements, including, but not limited to, statements regarding the Companys development plans for CD19-specific CAR-T therapies for patients with relapsed CD19+ leukemias and lymphomas. These
statements relate to future events and involve known and unknown risks, uncertainties and other factors which may cause the Companys actual results, performance or achievements to be materially different from any future results, performances
or achievements expressed or implied by the forward-looking statements. In some cases, you can identify forward-looking statements by terms such as may, will, could, expects, plans,
anticipates, believes, and similar expressions intended to identify forward-looking statements. These statements reflect the Companys current views with respect to future events and are based on assumptions and subject
to risks and uncertainties. Given these uncertainties, you should not place undue reliance on these forward-looking statements. Any forward-looking statements set forth in this Current Report speak only as of the date of this Current Report. The
Company does not intend to update any of these forward-looking statements to reflect events or circumstances that occur after the date hereof other than as required by law. You are cautioned not to place undue reliance on any forward-looking
statements.
Item 9.01
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Financial Statements and Exhibits.
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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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ZIOPHARM ONCOLOGY, INC.
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By:
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/s/ Robert Hadfield
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Date: October 1, 2019
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Name: Robert Hadfield
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Title: General Counsel and Secretary
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