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As Of Filer Filing For·On·As Docs:Size Issuer Filing Agent 10/20/20 Astrotech Corp. 8-K:8,9 10/19/20 4:649K ActiveDisclosure/FA |
Document/Exhibit Description Pages Size 1: 8-K Current Report HTML 26K 2: EX-99.1 Miscellaneous Exhibit HTML 168K 3: EX-99.2 Miscellaneous Exhibit HTML 16K 4: EX-99.3 Miscellaneous Exhibit HTML 83K
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, DC 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 19, 2020
Astrotech Corporation
(Exact Name of Registrant as Specified in Charter)
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Delaware |
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91-1273737 |
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(State or Other Jurisdiction of Incorporation) |
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(Commission File Number) |
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(I.R.S. Employer Identification No.) |
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(Address of Principal Executive Offices) |
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(Zip Code) |
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(512) 485-9530
Registrant’s Telephone Number, Including Area Code
(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 communication pursuant to Rule 425 under the Securities Act (17 CFR 230.425) |
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Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12) |
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Pre-commencement communication pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b)) |
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Pre-commencement communication pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c)) |
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Securities registered pursuant to Section 12(b) of the Act:
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Title of each class |
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Trading Symbol(s) |
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Name of each exchange on which registered |
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Common Stock, $0.001 par value per share |
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ASTC |
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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 8.01. Other Events.
On October 20, 2020, Astrotech Corporation (the “Company”) issued a press release announcing that its subsidiary BreathTech Corporation signed a joint development and option agreement (the “Agreement”) with the Cleveland Clinic Foundation (the “Cleveland Clinic”). Pursuant to the Agreement, the Company and the Cleveland Clinic will collaborate in efforts to develop a rapid breath test for coronavirus infection or related indicators, using the Company’s mass spectrometry technology and collection of data related thereto through an investigator initiated clinical study performed by the Cleveland Clinic.
As previously reported, on April 14, 2020, the Company entered into a $541,500 Paycheck Protection Program Promissory Note and Agreement (the “PPP Promissory Note”) with a commercial bank (the “Bank”) under the Coronavirus Aid, Relief, and Economic Security Act. On October 19, 2020, the Company and the Bank entered into a Cash Reserve Agreement wherein the Company agreed to deliver to the Bank an amount equal to $541,500 (the “Cash Amount”), to be held in in a separate account in accordance with the terms and conditions of the Cash Reserve Agreement for the purpose of establishing a source of payment for the Company’s obligations to repay and/or obtain forgiveness of the PPP Promissory Note.
On October 20, 2020, the Company received a letter from the staff of the Fort Worth Regional Office of the U.S. Securities and Exchange Commission (the “SEC”) informing the Company that the SEC staff had concluded the previously announced informal, fact-finding inquiry relating to certain press releases issued by the Company in March 2020 regarding the BreathTest-1000™ lung disease screening device currently under development by the Company. The letter advised the Company that the SEC staff does not intend to recommend an enforcement action against the Company.
A copy of the Agreement, the press release and the Cash Reserve Agreement are attached hereto as Exhibits 99.1, 99.2 and 99.3, respectively.
Item 9.01. Financial Statements and Exhibits.
(d) Exhibits
99.1 Joint Development and Option Agreement, dated October 20, 2020
99.2 Press release, dated October 20, 2020, issued by Astrotech Corporation
99.3 Cash Reserve Agreement, dated October 19, 2020
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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Astrotech Corporation |
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By: |
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Name: |
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Title: |
Chairman of the Board and Chief |
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Executive Officer |
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| This ‘8-K’ Filing | Date | Other Filings | ||
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| Filed on: | 10/20/20 | CORRESP | ||
| For Period end: | 10/19/20 | CORRESP | ||
| 4/14/20 | ||||
| List all Filings | ||||
As Of Filer Filing For·On·As Docs:Size Issuer Filing Agent 9/28/23 Astrotech Corp. 10-K 6/30/23 80:7.5M RDG Filings/FA 6/16/23 Astrotech Corp. 424B5 1:483K RDG Filings/FA 9/15/22 Astrotech Corp. 10-K 6/30/22 83:7.3M RDG Filings/FA 9/21/21 Astrotech Corp. 10-K 6/30/21 85:10M ActiveDisclosure/FA 4/09/21 Astrotech Corp. 424B5 1:800K ActiveDisclosure/FA 4/07/21 Astrotech Corp. 424B5 1:835K ActiveDisclosure/FA 3/03/21 Astrotech Corp. S-3 5:1.6M ActiveDisclosure/FA 2/16/21 Astrotech Corp. 10-Q 12/31/20 64:6.6M ActiveDisclosure/FA 2/12/21 Astrotech Corp. 424B5 1:1.1M ActiveDisclosure/FA 12/18/20 Astrotech Corp. 424B5 1:1M ActiveDisclosure/FA 10/30/20 Astrotech Corp. 424B5 10/29/20 1:980K ActiveDisclosure/FA 10/22/20 Astrotech Corp. 424B4 1:704K ActiveDisclosure/FA |