Current Report Filing (8-k)
June 07 2022 - 4:06PM
Edgar (US Regulatory)
0001649989
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0001649989
2022-06-02
2022-06-02
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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 2, 2022
Outlook Therapeutics,
Inc.
(Exact name of registrant as specified in its charter)
Delaware |
001-37759 |
38-3982704 |
(State or other jurisdiction
of incorporation) |
(Commission File Number) |
(IRS Employer Identification No.) |
485 Route 1 South
Building F, Suite 320
Iselin, New Jersey |
08830 |
(Address of principal executive offices) |
(Zip Code) |
Registrant's telephone number, including area code:
(609) 619-3990
(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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¨ |
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)) |
Securities pursuant to Section 12 (b) of the Act:
Title of Each Class |
|
Trading Symbol(s) |
|
Name of Each Exchange on Which
Registered |
Common Stock |
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OTLK |
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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 (§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 Departure of Directors
or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers.
On June 2, 2022, Outlook Therapeutics,
Inc. (the “Company”) entered into an Amended and Restated Employment Agreement (the “Agreement”) with Lawrence
Kenyon, the Company’s Executive Vice President and Chief Financial Officer. The Agreement supersedes Mr. Kenyon’s prior Employment
Agreement with the Company.
The Agreement provides for, among other
things, Mr. Kenyon’s employment as Executive Vice President and Chief Financial Officer of the Company and a base salary of $475,000,
as well as a discretionary annual cash bonus with a target amount of 50% of Mr. Kenyon’s base salary. If the Company terminates
Mr. Kenyon’s employment without Cause (as defined in the Agreement) or Mr. Kenyon terminates his employment for Good Reason (as
defined in the Agreement), Mr. Kenyon will be entitled to receive an amount equal to 12 months of his base salary plus a bonus equal to
50% of his base salary, as well as the acceleration of 50% of Mr. Kenyon’s unvested equity awards subject to time-based vesting
requirements.
The foregoing description
of the Agreement is not complete and is qualified in its entirety by reference to the Agreement, a copy of which is attached as Exhibit
10.1 to this Current Report on Form 8-K.
Item 9.01 Financial Statements and Exhibits
(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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Outlook Therapeutics, Inc. |
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Date: June 7, 2022 |
By: |
/s/ Lawrence A. Kenyon |
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Lawrence A. Kenyon |
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Chief Financial Officer |
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