0001834645 false NONE 0001834645 2023-10-31 2023-10-31

 

 

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): October 31, 2023

 

 

Peak Bio, Inc.

(Exact name of registrant as specified in its charter)

 

 

 

Delaware   001-39951   85-2448157

(State or other jurisdiction

of incorporation)

  

(Commission

File Number)

  

(I.R.S. Employer

Identification No.)

4900 Hopyard Road, Suite 100

Pleasanton, CA 94588

(Address of principal executive offices, including zip code)

(925) 463-4800

(Registrant’s telephone number, including area code)

 

(Former name or former address, if changed since last report)

 

 

Securities registered pursuant to Section 12(b) of the Act:

 

Title of each class

  

Trading
Symbols

  

Name of each exchange

on which registered

Common stock, par value $0.0001 per share   PKBO   Otc Qb

Check the appropriate box below if the Form 8-K is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions:

 

☐

Written communication 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-commencements communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))

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 3.02

Unregistered Sales of Equity Securities.

As previously disclosed by Peak Bio, Inc., a Delaware corporation (the “Company”) on its Current Reports on Form 8-K filed with the Securities and Exchange Commission (the “SEC”) on November 2, 2022 and January 4, 2023, pursuant to subscription agreements dated October 31, 2022 and December 30, 2022, respectively, the Company previously issued to certain accredited investors (the “PIPE Investors”), warrants to purchase shares of the Company’s common stock, par value $0.0001 per share (the “Common Stock”) with an exercise price of $0.01 per share (the “PIPE Warrants”).

Between October 31, 2023 and November 1, 2023, the PIPE Investors exercised the PIPE Warrants to purchase a total of 492,045 shares of the Company’s Common Stock at $0.01 per share for a total purchase price of $4,920.45. The Common Stock issued to the PIPE Investors will not be registered under the Securities Act of 1933, as amended (the “Securities Act”) in reliance on the exemption from registration provided by Section 4(a)(2) of the Securities Act and/or Regulation D promulgated thereunder.

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: November 2, 2023

 

PEAK BIO, INC.
By:  

/s/ Stephen LaMond

Name:   Stephen LaMond
Title:  

Interim Chief Executive Officer and

Chief Operating Officer

v3.23.3
Document and Entity Information
Oct. 31, 2023
Cover [Abstract]  
Document Type 8-K
Document Period End Date Oct. 31, 2023
Entity Registrant Name Peak Bio, Inc.
Entity Incorporation, State or Country Code DE
Entity File Number 001-39951
Entity Tax Identification Number 85-2448157
Entity Address, Address Line One 4900 Hopyard Road
Entity Address, Address Line Two Suite 100
Entity Address, City or Town Pleasanton
Entity Address, State or Province CA
Entity Address, Postal Zip Code 94588
City Area Code 925
Local Phone Number 463-4800
Title of 12(b) Security Common stock, par value $0.0001 per share
Trading Symbol PKBO
Security Exchange Name NONE
Written Communications false
Soliciting Material false
Pre-commencement Tender Offer false
Pre-commencement Issuer Tender Offer false
Entity Emerging Growth Company true
Entity Ex Transition Period false
Entity Central Index Key 0001834645
Amendment Flag false
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