Current Report Filing (8-k)
August 21 2020 - 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):
August 19, 2020
Lantern Pharma Inc.
(Exact name of registrant as specified in
its charter)
Delaware
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001-39318
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46-3973463
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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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1920 McKinney Avenue, 7th Floor
Dallas, Texas
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75201
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(Address of Principal Executive Offices)
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(Zip Code)
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(972) 277-1136
(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
(see General Instruction A.2. below):
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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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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:
Common Stock
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, $0.0001 par value
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LTRN
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The Nasdaq Stock 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 5.02
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Departure of Directors or Certain
Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers.
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Amended and Restated Lantern Pharma
Inc. 2018 Equity Incentive Plan.
On August 19, 2020, the Board of Directors
(the “Board”) of Lantern Pharma Inc. (the “Company”) adopted an Amended and Restated Lantern Pharma Inc.
2018 Equity Incentive Plan.
The Amended and Restated Lantern Pharma
Inc. 2018 Equity Incentive Plan (the “Plan”) was adopted (i) to reflect an amendment that was previously approved by
the Board and the Company’s stockholders in connection with the Company’s initial public offering (“IPO”)
to increase the total shares reserved for issuance pursuant to stock based awards under the Plan, and (ii) to reflect the 1.74 for
1 forward stock split (the “Stock Split”) of the Company’s common stock that took place in connection with the
IPO. The amendment to the Plan and the Stock Split were described in the Company’s
final prospectus, dated June 10, 2020, filed with the Securities and Exchange Commission on June 12, 2020, pursuant to SEC Rule
424(b).
Pursuant to the previously approved amendment,
and after giving effect to the Stock Split, a total of 1,489,680 shares of common stock are reserved for issuance pursuant to stock-based
awards under the Plan.
The foregoing description of the Plan is
qualified in its entirety by reference to the full text of the Plan, a copy of which is attached hereto as Exhibit 99.1 and is
incorporated herein by reference.
Item 9.01
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Financial Statements and Exhibits.
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(d) Exhibits.
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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Lantern Pharma Inc.,
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A Delaware Corporation
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Dated: August 21,
2020
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By:
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/s/ David R. Margrave
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David R. Margrave, Chief Financial Officer
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2
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