Amended Current Report Filing (8-k/a)
01 September 2020 - 3:10AM
Edgar (US Regulatory)
UNITED
STATES
SECURITIES
AND EXCHANGE COMMISSION
Washington,
D.C. 20549
FORM
8-K/A-1
CURRENT
REPORT
Pursuant
to Section 13 or 15(d) of the
Securities
Exchange Act of 1934
Date
of Report (Date of earliest event reported)
August
31, 2020 (August 31, 2020)
AIM
IMMUNOTECH INC.
(Exact
name of registrant as specified in its charter)
Delaware
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001
- 27072
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52-0845822
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(state
or other jurisdiction
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(Commission
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(I.R.S.
Employer
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of
incorporation)
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File
Number)
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Identification
No.)
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2117
SW Highway 484, Ocala FL
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34473
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(Address
of principal executive offices)
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(Zip
Code)
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Registrant’s
telephone number, including area code: (352) 448-7797
AIM
ImmunoTech Inc.
(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
communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)
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[
]
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Soliciting
material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)
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[
]
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Pre-commencement
communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))
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[
]
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Pre-commencement
communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))
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Indicate
by check mark whether the registrant is an emerging growth company as defined in 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. [ ]
Securities
registered pursuant to Section 12(b) of the Act:
Title
of each class
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Trading
Symbol
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Name
of each exchange on which registered
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Common
Stock, par value $0.001 per share
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AIM
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NYSE
American
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EXPLANATORY
NOTE
This
Amendment No. 1 on Form 8-K/A (“Amendment No. 1”) is being filed by AIM ImmunoTech Inc. (the “Company”)
to amend its Current Report on Form 8-K as of August 31, 2020 (“Original Filing”), filed with the U.S. Securities
and Exchange Commission (“SEC”) on August 31, 2020 (“Original Filing Date”). The purpose of this Amendment
No. 1 is to correct page 19 of the investor presentation. The revised investor presentation is included as Exhibit 99.1.
Except
as described above, this Amendment does not amend, update or change any other items or disclosures in the Original Filing. This
Amendment speaks only as of page 19 of the investor presentation, and the Company has not undertaken herein to amend, supplement
or update any information contained in the Original Filing to give effect to any subsequent events. Accordingly, this Amendment
No. 1 should be read in conjunction with the Company’s filings made with the SEC subsequent to the filing of the Original
Filing, including any amendment to those filings.
Item
7.01. Regulation FD Disclosure.
On
August 31, 2020, AIM ImmunoTech Inc. (the “Company”) posted an investor presentation titled “Ampligen and Alferon
- Immunology for a better future” to the “Events & Presentations” subsection of the “Investor Relations”
tab on the Company’s website at https://AIMImmuno.com.
The
information in this item, including Exhibit 99.1, is “furnished” and shall not be deemed “filed” for purposes
of Section 18 of the Securities Exchange Act of 1934, as amended, or otherwise subject to the liabilities of that section. It
may only be incorporated by reference in another filing under the Securities Exchange Act of 1934, as amended, or the Securities
Act of 1933, as amended, if and to the extent such subsequent filing specifically references the information herein as being incorporated
by reference in such filing.
Cautionary
Statement
Some
of the statements included in this presentation may be forward-looking statements that involve a number of risks and uncertainties.
Among other things, for those statements, we claim the protection of safe harbor for forward-looking statements contained in the
Private Securities Litigation Reform Act of 1995. Any forward-looking statements set forth in this presentation speak only as
of the date of this presentation. We do not undertake to update any of these forward-looking statements to reflect events or circumstances
that occur after the date hereof. For example, significant additional testing and trials will be required to determine whether
Ampligen will be effective in the treatment of COVID-19 in humans and no assurance can be given that it will be the case. Results
obtained in animal models do not necessarily predict results in humans. Human clinical trials will be necessary to prove whether
or not Ampligen will be efficacious in humans. No assurance can be given as to whether current or planned immuno-oncology clinical
trials will be successful or yield favorable data and the trials are subject to many factors including lack of regulatory approval(s),
lack of study drug, or a change in priorities at the institutions sponsoring other trials. In addition, initiation of planned
clinical trials may not occur secondary to many factors including lack of regulatory approval(s) or lack of study drug. Even if
these clinical trials are initiated, the Company cannot assure that the clinical studies will be successful or yield any useful
data or require additional funding. Some of the world’s largest pharmaceutical companies and medical institutions are racing
to find a treatment for COVID-19. Even if Ampligen proves effective in combating the virus, no assurance can be given that our
actions toward proving this will be given first priority or that another treatment that eventually proves capable will not make
our efforts ultimately unproductive. We recognize that all cancer centers, like all medical facilities, must make the pandemic
their priority. Therefore, there is the potential for delays in clinical trial enrollment and reporting in ongoing studies in
cancer patients because of the COVID-19 medical emergency. No assurance can be given that future studies will not result in findings
that are different from those reported in the studies referenced in the presentation. Operating in foreign countries carries with
it a number of risks, including potential difficulties in enforcing intellectual property rights. We cannot assure that our potential
foreign operations will not be adversely affected by these risks.
Please
review the “Risk Factors” section in our latest annual report on Form 10-K and subsequent quarterly reports on Form
10-Q. Company filings are available at www.aimimmuno.com. The information found on our website is not incorporated by reference
into this presentation and is included for reference purposes only.
Item
9.01. Financial Statements and Exhibits.
(d)
Exhibits.
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.
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AIM IMMUNOTECH INC.
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August
31, 2020
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By:
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/s/
Thomas K. Equels
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Thomas
K. Equels, CEO
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