8-K: Current report filing
Published on December 2, 2020
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): November 30, 2020
LIXTE BIOTECHNOLOGY HOLDINGS, INC.
| DELAWARE | 000-51436 | 20-2903526 | ||
|
(State or other jurisdiction of incorporation) |
(Commission File Number) |
(IRS Employer Identification No.) |
248 Route 25A, No. 2
East Setauket, New York 11733
(Address of principal executive offices)
(631) 830-7092
(Registrant’s telephone number, including area code)
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):
| [ ] | Written communications pursuant to Rule 425 under the Securities Act of 1933 (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(e) 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, par value $0.001 per share | LIXT |
Nasdaq Stock Market, LLC (The Nasdaq Capital Market) |
||
| Warrants, each exercisable for one share of Common Stock at $5.70 per share | LIXTW |
Nasdaq Stock Market, LLC (The Nasdaq Capital Market) |
| Item 8.01 | Other Events. |
On November 30, 2020, the Company completed a public offering (the “Offering”) of 1,200,000 units (the “Units”). Each Unit consists of one share of common stock of the Company, par value $0.001 per share (the “Common Stock”), and one warrant (a “Warrant”) to purchase one share of Common Stock for $5.70 per share. The Units were sold at a price of $4.75 per Unit, generating gross proceeds to the Company of $5,700,000. The Company granted the underwriters in the offering a 45-day option to purchase up to 180,000 additional shares of Common Stock and/or 180,000 Warrants to cover over-allotments, if any. Reference is made to the Company’s Current Report on Form 8-K filed with the Securities and Exchange Commission on November 27, 2020 for additional information on the Offering
On December 1, 2020, the Company issued a press release with respect to the completion of the Offering. A copy of the press release is attached hereto as Exhibit 99.1 and incorporated herein by reference.
| Item 9.01 | Financial Statements and Exhibits. |
(d) Exhibits
There are filed as part of this report the exhibit listed on the accompanying Index to Exhibits, which information is incorporated herein by reference.
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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.
| Date: December 1, 2020 | LIXTE BIOTECHNOLOGY HOLDINGS, INC. | |
| By: | /s/ JOHN S. KOVACH | |
| John S. Kovach, Chief Executive Officer | ||
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INDEX TO EXHIBITS
| Exhibit Number | Description | |
| 99.1 | Press Release of Lixte Biotechnology Holdings, Inc., dated December 1, 2020 |
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