Current Report Filing (8-k)
September 15 2020 - 4:05PM
Edgar (US Regulatory)
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, DC 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):
September 15, 2020 (September 15, 2020)
PLURISTEM THERAPEUTICS INC.
(Exact Name of Registrant as Specified in
Its Charter)
Nevada
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001-31392
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98-0351734
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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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MATAM Advanced Technology Park
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Building No. 5
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Haifa, Israel
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3508409
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(Address of Principal Executive Offices)
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(Zip Code)
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011 972 74 710 7171
(Registrant’s telephone number, including
area code)
Not applicable
(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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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, par value $0.00001 per share
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PSTI
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The Nasdaq Capital Market
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Indicate by check mark whether the registrant
is an emerging growth company as defined in 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 8.01. Other Events.
On September 15, 2020, Pluristem Therapeutics
Inc., or the registrant, announced that it expects to complete enrollment of its Phase II study of the treatment of patients suffering
from severe COVID-19 complicated by Acute Respiratory Distress Syndrome with PLX-PAD in the first quarter of calendar year 2021.
Warning Concerning
Forward Looking Statements
This Current Report on Form 8-K contains
forward-looking statements within the meaning of the “safe harbor” provisions of the Private Securities Litigation
Reform Act of 1995 and federal securities laws. For example, forward-looking statements are being used when the registrant discusses
that it expects to complete enrollment of its Phase II COVID-19 study in the first quarter of calendar year 2021. These forward-looking
statements and their implications are based on the current expectations of the management of the registrant only, and are subject
to a number of factors and uncertainties that could cause actual results to differ materially from those described in the forward-looking
statements. The following factors, among others, could cause actual results to differ materially from those described in the forward-looking
statements: changes in technology and market requirements; the registrant may encounter delays or obstacles in launching and/or
successfully completing its clinical trials; the registrant’s products may not be approved by regulatory agencies, the registrant’s
technology may not be validated as it progresses further and its methods may not be accepted by the scientific community; the registrant
may be unable to retain or attract key employees whose knowledge is essential to the development of our products; unforeseen scientific
difficulties may develop with our process; the registrant’s products may wind up being more expensive than the registrant
anticipates; results in the laboratory may not translate to equally good results in real surgical settings; results of preclinical
studies may not correlate with the results of human clinical trials; the registrant’s patents may not be sufficient; the
registrant’s products may harm recipients; changes in legislation; inability to timely develop and introduce new technologies,
products and applications; loss of market share and pressure on pricing resulting from competition, which could cause the actual
results or performance of the registrant to differ materially from those contemplated in such forward-looking statements. In addition,
historic results of scientific research do not guarantee that the conclusions of future research would not suggest different conclusions
or that historic results would not be interpreted differently in light of additional research or otherwise. Except as otherwise
required by law, the registrant undertakes no obligation to publicly release any revisions to these forward-looking statements
to reflect events or circumstances after the date hereof or to reflect the occurrence of unanticipated events. For a more detailed
description of the risks and uncertainties affecting the registrant, reference is made to the registrant’s reports filed
from time to time with the Securities and Exchange Commission.
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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PLURISTEM THERAPEUTICS INC.
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By:
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/s/ Chen Franco-Yehuda
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Name:
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Chen Franco-Yehuda
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Title:
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Chief Financial Officer
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Date: September 15, 2020
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