Current Report Filing (8-k)
August 28 2020 - 8:05AM
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 27, 2020
Qualigen
Therapeutics, Inc.
(Exact
name of registrant as specified in its charter)
Delaware
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001-37428
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26-3474527
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(State
or other jurisdiction
of
incorporation)
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(Commission
File
Number)
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(I.R.S.
Employer
Identification
No.)
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2042
Corte Del Nogal, Carlsbad, California 92011
(Address
of principal executive offices) (Zip Code)
(760)
918-9165
(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:
[ ]
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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))
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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
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Name
of each exchange on which registered
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Common
Stock, par value $.001 per share
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QLGN
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The
Nasdaq Capital Market of 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 (§230.405
of this chapter) or Rule 12b-2 of the Exchange Act (§240.12b-2 of this chapter).
Emerging
growth company [X]
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.
(d)
On August 27, 2020, our Board of Directors (the “Board”) appointed Amy Broidrick as a member of the Board, to
fill a vacant seat on the Board. The Board has determined that Ms. Broidrick is an independent director under applicable
rules of the Securities and Exchange Commission (the “SEC”) and the Nasdaq Stock Market LLC.
Ms.
Broidrick will receive the standard compensation for her service at the same level as our other non-employee directors: a $40,000
annual cash stipend (prorated for time of service) and 50,000 stock options. Ms. Broidrick is expected to enter into our standard
form of indemnification agreement.
It
has not yet been determined which Board committee(s) Ms. Broidrick might serve on.
There
is no arrangement or understanding between Ms. Broidrick and any other persons or entities pursuant to which she was elected as
a director.
Since
the beginning of our last fiscal year, there have been no transactions, or currently proposed transactions, in which we were or
are to be a participant and the amount involved exceeds $120,000, and in which Ms. Broidrick, or any member of her immediate family,
had or will have a direct or indirect material interest.
Since
2016, Ms. Broidrick has served as Senior Vice President, Global Head of Corporate Development of Viking Therapeutics, Inc. (Nasdaq:
VKTX), a clinical-stage biopharmaceutical company. Before that, she was Vice President, Head of Global Marketing Excellence and
Business Innovation with EMD Serono (part of Merck KGaA). Earlier, she was Vice President, Head of Marketing and Commercialization
at Arena Pharmaceuticals, Inc., and had significant roles and responsibilities at Merck & Co., Inc. and G.D. Searle &
Company.
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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QUALIGEN
THERAPEUTICS, INC.
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Date:
August 28, 2020
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By:
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/s/
Michael S. Poirier
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Michael
S. Poirier, President and Chief Executive Officer
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