Current Report Filing (8-k)
January 20 2023 - 3:06PM
Edgar (US Regulatory)
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2023-01-17
2023-01-17
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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 17, 2023
HOOKIPA PHARMA INC.
(Exact name of registrant as specified in its charter)
Delaware |
|
001-38869 |
|
81-5395687 |
(State
or other jurisdiction of
incorporation) |
|
(Commission
File Number) |
|
(I.R.S.
Employer
Identification No.) |
350
Fifth Avenue, 72nd Floor
Suite 7240 |
|
|
New York, New York |
|
10018 |
(Address
of principal executive offices) |
|
(Zip Code) |
Registrant’s telephone number, including
area code: +43 1 890 63 60
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 |
Common stock, $0.0001 par value per share |
HOOK |
The Nasdaq Global Select Market |
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 x
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 17, 2023, HOOKIPA Pharma Inc.
(the “Company”) received a letter from the Nasdaq Stock Market LLC (“Nasdaq”) indicating that the closing
bid price of the Company’s common stock was below $1.00 per share for 30 consecutive business days, and that, therefore, the
Company is not in compliance with Nasdaq Listing Rule 5450(a)(1), which is the minimum bid price requirement for continued listing
on the Nasdaq Global Select Market.
The notice from Nasdaq has no immediate effect
on the listing of the Company’s common stock, and the common stock will continue to be listed on the Nasdaq Global Select Market
under the symbol “HOOK”.
Pursuant to Nasdaq Listing Rule 5810(c)(3)(A),
the Company has automatically been afforded a 180-calendar day period, or until July 17, 2023, to regain compliance with the minimum
bid price requirement. The continued listing standard will be met if the closing bid price of the Company’s common stock is at least
$1.00 per share for a minimum of ten consecutive business days during the 180-calendar day period. If the Company is not in compliance
by July 17, 2023, the Company may be afforded a second 180-calendar day period to regain compliance if it meets certain requirements.
The Company intends to monitor the closing
bid price of its common stock and is currently evaluating its options for regaining compliance, which could include a reverse stock split
of the Company’s common stock, pursuant to the authority granted to the Company at the Annual Meeting of the Company’s stockholders
on June 30, 2022.
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.
Date: January 20, 2023 |
HOOKIPA Pharma, Inc. |
|
|
|
By: |
/s/ Joern Aldag |
|
|
Joern Aldag |
|
|
Chief Executive Officer
(Principal Executive Officer) |
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