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As Of Filer Filing For·On·As Docs:Size Issuer Filing Agent 7/16/19 Xenetic Biosciences, Inc. 8-K:9 7/16/19 2:91K GlobalOne Filings Inc/FA |
Document/Exhibit Description Pages Size 1: 8-K Current Report HTML 15K 2: EX-10.1 Consent Agreement HTML 46K
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): July 16, 2019
_________________________
Xenetic Biosciences, Inc.
(Exact name of registrant as specified in charter)
| Nevada | 001-37937 | 45-2952962 | ||
| (State or other jurisdiction of incorporation) | (Commission File Number) | (IRS Employer Identification No.) |
| 40 Speen Street, Suite 102 | |
| Framingham, Massachusetts | 01701 |
| (Address of principal executive offices) | (Zip Code) |
(781) 778-7720
(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 is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions (see General Instruction A.2. below):
| ☐ | 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, $0.001 par value per share | XBIO | 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. ☐
C:
| C: |
| Item 1.01. | Entry into a Material Definitive Agreement. |
On July 16, 2019, Xenetic Biosciences, Inc. (the “Company”), in connection with a potential financing transaction, entered into a consent agreement (the “Consent Agreement”) with certain holders (the “Holders”) of warrants to purchase shares of the Company’s common stock whose consent was sought in connection with a potential financing transaction. In consideration of the Holders’ consent, the Company agreed to (i) issue the Holders an aggregate of 16,666 shares of the Company’s common stock and (ii) adjust the exercise price of those certain warrants (each a "Warrant") issued to each Holder in connection with the Company's reverse stock split on June 25, 2019, as described in the Consent Agreement.
A copy of the Consent Agreement is filed as Exhibit 10.1 to this report and is incorporated herein by reference.
The issuance of the shares was not registered under the Securities Act of 1933, as amended, or the securities laws of any state, and were issued in reliance on the exemption from registration afforded by Section 4(a)(2) and Regulation D (Rule 506) under the Securities Act and corresponding provisions of state securities laws, which exempt transactions by an issuer not involving any public offering.
| Item 3.02. | Unregistered Sales of Equity Securities. |
The information required by this Item 3.02 is incorporated by reference to Item 1.01 set forth above.
| Item 9.01. | Financial Statements and Exhibits. |
(d) Exhibits
| Exhibit No. | Exhibit Description |
| 10.1 | Consent Agreement. |
C:
| C: 2 |
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.
| XENETIC BIOSCIENCES, INC. | |
| By: /s/ James Parslow | |
| Date: July 16, 2019 | Name: James Parslow |
| Title: Chief Financial Officer |
C:
| 3 |
| This ‘8-K’ Filing | Date | Other Filings | ||
|---|---|---|---|---|
 | ||||
| Filed on / For Period End: | 7/16/19 | 8-K | ||
| 6/25/19 | 8-K | |||
| List all Filings | ||||
As Of Filer Filing For·On·As Docs:Size Issuer Filing Agent 3/21/24 Xenetic Biosciences, Inc. 10-K 12/31/23 71:5.6M GlobalOne Filings Inc/FA 3/22/23 Xenetic Biosciences, Inc. 10-K 12/31/22 74:6.6M GlobalOne Filings Inc/FA 3/22/22 Xenetic Biosciences, Inc. 10-K 12/31/21 75:6M GlobalOne Filings Inc/FA 3/16/21 Xenetic Biosciences, Inc. 10-K 12/31/20 78:5.1M GlobalOne Filings Inc/FA |