Current Report Filing (8-k)
January 11 2023 - 8:28AM
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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
9, 2023
BIOTECH ACQUISITION COMPANY
(Exact name of registrant as specified in its charter)
| Cayman Islands |
|
001-39935 |
|
N/A |
(State or other jurisdiction
of incorporation) |
|
(Commission File Number) |
|
(IRS Employer
Identification No.) |
545 West 25th Street, 20th Floor
New York, New York 10001
(Address of principal executive offices, including
zip code)
Registrant’s telephone number, including
area code: (212) 227-1905
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:
| ☐ | 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 |
| Units, each consisting of one Class A ordinary share, $0.0001 par value, and one-half of one redeemable warrant |
|
BIOTU |
|
The Nasdaq Stock Market LLC |
| Class A ordinary shares included as part of the units |
|
BIOT |
|
The Nasdaq Stock Market LLC |
| Redeemable warrants included as part of the units |
|
BIOTW |
|
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 3.01 Notice of Delisting or Failure to
Satisfy a Continued Listing Rule or Standard; Transfer of Listing.
On January 9, 2023, Biotech
Acquisition Company (the “Company”) received written notice (the “Notice”) from the Listing Qualifications Department
of The Nasdaq Stock Market LLC (“Nasdaq”) indicating that the Company is not in compliance with Nasdaq Listing Rule 5620(a),
due to the Company’s failure to hold an annual meeting of shareholders for the fiscal year ended December 31, 2021. The Notice is
only a notification of deficiency, not of imminent delisting, and has no current effect on the listing or trading of the Company’s
securities on the Nasdaq Capital Market.
The Notice states that the
Company has until February 23, 2023 to submit a plan to regain compliance with Listing Rule 5620(a). The Company intends to submit a plan
to regain compliance with Listing Rule 5620(a) within the required timeframe. If Nasdaq accepts the Company’s plan, Nasdaq may grant
the Company an extension of up to 180 calendar days from the fiscal year end, or until June 29, 2023, to evidence compliance with Listing
Rule 5620(a). If Nasdaq does not accept the Company’s plan, the Company will have the opportunity to appeal the decision in front
of a Nasdaq Hearings Panel.
Item 9.01. Financial Statements
and Exhibits.
| Exhibit No. |
|
Description |
| 104 |
|
Cover Page Interactive Data File |
SIGNATURE
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.
Dated: January 11, 2023
| |
BIOTECH ACQUISITION COMPANY |
| |
|
|
| |
By: |
/s/ Michael Shleifer |
| |
|
Name: |
Michael Shleifer |
| |
|
Title: |
Chief Executive Officer |
2
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