Current Report Filing (8-k)
January 05 2022 - 6:05AM
Edgar (US Regulatory)
0001476963
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0001476963
2022-01-04
2022-01-04
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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):
January 4, 2022
Heat Biologics, Inc.
(Exact name of registrant as specified in
charter)
Delaware
(State or other jurisdiction of incorporation)
001-35994
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26-2844103
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(Commission File Number)
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(IRS Employer Identification No.)
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627 Davis Drive,
Suite 400
Morrisville, North Carolina 27560
(Address of principal executive offices and
zip code)
(919) 240-7133
(Registrant’s telephone number including
area code)
N/A
(Former Name and Former Address)
Check the appropriate box below if the Form
8-K filing is intended to simultaneously satisfy the filing obligation of registrant under any of the following provisions:
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¨
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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(b) 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:
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, $0.0002 par value per share
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HTBX
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The Nasdaq Stock Market
(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 ¨
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If an emerging growth company, indicate by
checkmark 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 7.01. Regulation
FD Disclosure.
Heat
Biologics, inc. (the “Company”) will be making several
presentations to investors over the next several weeks. In connection with the presentations,
the Company intends to discuss the investor presentation, which is furnished as Exhibit 99.1 to this Current Report on Form 8-K.
The information in this Item
7.01 and in the investor presentation attached as Exhibit 99.1 to this Current Report on Form 8-K shall not be deemed to be “filed”
for purposes of Section 18 of the Securities Exchange Act of 1934, as amended, or otherwise subject to the liabilities of that section
or Sections 11 and 12(a)(2) of the Securities Act of 1933, as amended. The information contained in this Item 7.01 and in the investor
presentation attached as Exhibit 99.1 to this Current Report on Form 8-K shall not be incorporated by reference into any filing with the
U.S. Securities and Exchange Commission made by the Company, whether made before or after the date hereof, regardless of any general incorporation
language in such filing.
The
investor presentation attached as Exhibit 99.1 to this Current Report on Form 8-K includes “safe harbor” language pursuant
to the Private Securities Litigation Reform Act of 1995, as amended, indicating that certain statements contained therein are “forward-looking”
rather than historical.
The
Company undertakes no duty or obligation to update or revise the information contained in this Current Report on Form 8-K, although
it may do so from time to time if its management believes it is appropriate. Any such updating may be made through the filing of other
reports or documents with the Securities and Exchange Commission, through press releases or through other public disclosures.
Item 9.01. Financial
Statements and Exhibits.
(d) Exhibits.
Exhibit 99.1 is furnished with 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: January 5, 2022
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HEAT BIOLOGICS, INC.
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By:
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/s/ Jeffrey Wolf
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Name:
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Jeffrey Wolf
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Title:
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Chairman, President and
Chief Executive Officer
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