Current Report Filing (8-k)
June 10 2022 - 11:00AM
Edgar (US Regulatory)
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2022-06-09
2022-06-09
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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)
June
9, 2022
GT
Biopharma, Inc.
(Exact
name of registrant as specified in its charter)
Delaware
(State
or other Jurisdiction of Incorporation)
1-40023 |
|
94-1620407 |
(Commission
File Number) |
|
(IRS
Employer
Identification No.) |
|
8000
Marina Blvd., Suite 100
Brisbane,
CA 94005
(Address
of Principal Executive Offices and zip code) |
|
(800)
304-9888
(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 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(b) under the Exchange Act (17 CFR 240.14a-12(b)) |
☐ |
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 |
|
Trading
Symbol(s) |
|
Name
of each Exchange on which registered |
Common
stock, $0.001 par value |
|
GTBP |
|
The
Nasdaq Stock Market LLC |
Indicate
by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (17 CFR 230.405)
or Rule 12b-2 of the Securities Exchange Act of 1934 (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
5.02. |
Departure
of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers. |
Effective
June 9, 2022, pursuant to the authority granted under the Registrant’s Amended and Restated Bylaws, the Registrant’s Board
of Directors (“Board”) appointed Alan L. Urban to fill a vacant seat on the Board and to serve as a member of the Audit Committee
of the Board. The Board determined that Mr. Urban qualifies as an independent director as that term is defined in the applicable rules
for companies traded on The NASDAQ Stock Market.
Mr.
Urban, age 53, has over 25 years of experience in corporate finance and accounting. Mr. Urban has previously served in numerous senior
management positions, including: Chief Financial Officer of Research Solutions (NASDAQ: RSSS) from 2011 through 2021; Chief Financial
Officer of ReachLocal (NASDAQ: RLOC) from 2007 to 2009, an internet marketing company that ranked #1 on Deloitte’s Tech Fast 500
List; Chief Financial Officer of a leading online poker company from 2005 to 2006; and Vice President of Finance and Treasurer for Infotrieve
from 2000 to 2004. Mr. Urban has also held positions as an audit and tax manager in public accounting, and as an internal auditor. He
holds a B.S. in Business, with a concentration in Accounting Theory and Practice, from California State University, Northridge and has
been a Certified Public Accountant (currently inactive) since 1998. Mr. Urban’s significant experience as a member of senior management
of public reporting companies make him a valuable addition to the Board.
SIGNATURE
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.
|
GT
BIOPHARMA, INC. |
|
|
|
Date:
June 10, 2022 |
By: |
/s/
Manu Ohri |
|
|
Manu
Ohri |
|
|
Chief
Financial Officer |
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