- Current report filing (8-K)
December 28 2009 - 3:46PM
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): December 23, 2009
ALSERES PHARMACEUTICALS, INC.
(Exact Name of Registrant as Specified in Charter)
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Delaware
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0-6533
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87-0277826
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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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239 South Street, Hopkinton, Massachusetts
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01748
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(Address of Principal Executive Offices)
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(Zip Code)
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Registrants telephone number, including area code: (508) 497-2360
(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 (
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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o
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Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)
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o
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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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o
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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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TABLE OF CONTENTS
Item 1.01. Entry into a Material Definitive Agreement.
On December 23, 2009, Alseres Pharmaceuticals, Inc. (the Company), issued to Robert L.
Gipson (the Holder) an unsecured promissory note, pursuant to which the Company borrowed an
aggregate principal amount of $350,000 (the Note). Interest on the Note shall accrue at the rate
of 7% per annum and all principal and accrued interest shall be due and payable on demand of the
Holder.
The foregoing description of the Note is qualified in its entirety by the full text of
the Note, a complete copy of which is filed herewith as Exhibit 10.7 and is incorporated herein by
reference.
Item 9.01. Financial Statements and Exhibits.
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(d)
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Exhibits
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See Exhibit Index attached hereto.
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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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Alseres Pharmaceuticals, Inc.
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Date: December 28, 2009
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By:
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/s/ Kenneth L. Rice, Jr.
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Kenneth L. Rice, Jr.
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Executive Vice President,
Finance and Administration
and Chief Financial Officer
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-2-
EXHIBIT INDEX
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Exhibit
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No.
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Description
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10.7
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Promissory Note dated December 23, 2009
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-3-
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