Form 8-K - Current report
17 Enero 2024 - 5:15AM
Edgar (US Regulatory)
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2024-01-12
2024-01-12
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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):
January 12, 2024
NeuBase Therapeutics, Inc.
(Exact Name of Registrant as Specified in Its
Charter)
Delaware |
|
001-35963 |
|
46-5622433 |
(State
or Other Jurisdiction
of Incorporation) |
|
(Commission
File Number) |
|
(I.R.S.
Employer
Identification No.) |
350
Technology Drive, Pittsburgh,
PA |
|
15219 |
(Address
of Principal Executive Offices) |
|
(Zip Code) |
(412)
763-3350 |
(Registrant’s
Telephone Number, Including Area Code) |
N/A |
(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:
¨ | Written
communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425) |
¨ | Soliciting
material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12) |
¨ | Pre-commencement
communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b)) |
¨ | Pre-commencement
communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c)) |
Securities registered pursuant to Section 12(b) of the Act:
Title
of each class |
Trading
Symbol(s) |
Name
of each exchange on which registered |
Common
Stock, par value $0.0001 per share |
NBSE |
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 (17 CFR § 230.405) or Rule 12b-2 of the Securities Exchange Act of 1934
(17 CFR § 240.12b-2).
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 January 12, 2024, the Board of Directors (the “Board”)
of NeuBase Therapeutics, Inc. (the “Company”) terminated the employment of Dietrich A. Stephan, Ph.D. as Chief Executive Officer
of the Company, without cause, and appointed Todd P. Branning, who has served as the Company’s Chief Financial Officer since January
2022, as the Company’s interim Chief Executive Officer, in each case effective as of January 16, 2024. Mr. Branning will continue
in his role as the Company’s Chief Financial Officer during his tenure as the Company’s interim Chief Executive Officer. Dr.
Stephan is expected to continue to serve on the Board.
Mr. Branning’s compensation did not change as a result of this
appointment. Biographical and additional information regarding Mr. Branning, including a discussion of Mr. Branning’s offer letter
and indemnification agreement with the Company, is contained in and incorporated herein by reference from the Company’s definitive
proxy statement filed with the Securities and Exchange Commission on August 11, 2023. There are no family relationships between Mr. Branning
and any director or executive officer of the Company, there are no arrangements or understandings with any other persons pursuant to
which Mr. Branning was appointed as the Company’s interim Chief Executive Officer, and there are no other transactions to which
the Company is or was a participant and in which Mr. Branning has a material interest subject to disclosure under Item 404(a) of Regulation
S-K.
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.
|
NEUBASE THERAPEUTICS, INC. (Registrant) |
|
|
Date: January 17, 2024 |
By: |
/s/ Todd P. Branning |
|
|
Todd P. Branning |
|
|
Interim Chief Executive Officer and Chief Financial Officer |
|
|
(Principal Executive, Financial and Accounting Officer) |
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