Current Report Filing (8-k)
February 22 2022 - 09:14AM
Edgar (US Regulatory)
false 0001318641 0001318641 2022-02-22
2022-02-22
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): February 22,
2022
Statera Biopharma, Inc.
(Exact Name of Registrant as Specified in Charter)
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Delaware
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001-32954
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20-0077155
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(State or Other Jurisdiction of Incorporation)
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(Commission File Number)
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(I.R.S. Employer Identification Number)
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2537 Research Boulevard, Suite 201
Fort Collins, CO 80526
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(Address of Principal Executive Offices and zip code)
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(888) 613-8802
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(Registrant's Telephone Number, Including Area Code)
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Securities registered or to be registered pursuant to Section 12(b)
of the Act:
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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 $0.005
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STAB
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NASDAQ Capital Market
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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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☐
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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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☐
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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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☐
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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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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 2.02. Results of Operations and Financial
Condition.
On February 22, 2022, Statera Biopharma, Inc. (“Statera”) issued a
press release announcing Statera’s preliminary revenue and
financial results for the year ending December 31, 2021. A copy of
this press release is attached hereto as Exhibit 99.1 and
incorporated herein by reference. The information in this Item 2.02
of Form 8-K and Exhibit 99.1 attached hereto shall not be deemed
“filed” for purposes of Section 18 of the Securities Exchange Act
of 1934, as amended, or otherwise subject to the liabilities under
that section, nor shall it be deemed incorporated by reference in
any filing under the Securities Act of 1933, as amended, except as
shall be expressly set forth by specific reference. The information
contained in the website is not a part of this Current Report on
Form 8-K.
Item 9.01. Financial Statements and Exhibits.
(d) Exhibits.
The following exhibits are filed with this Current Report on Form
8-K:
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Exhibit
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Number
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Description
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99.1
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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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STATERA BIOPHARMA, INC.
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February 22, 2022
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By:
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/s/ Peter Aronstam
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Name:
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Peter Aronstam
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Title:
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Chief Financial Officer
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