false 0001488039 0001488039 2023-07-13 2023-07-13
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 13, 2023 (July 13, 2023)
 
Atossa Therapeutics, Inc.
(Exact name of registrant as specified in its charter)
 
Delaware
 
001-35610
 
26-4753208
(State or other jurisdiction of
incorporation)
 
(Commission File Number)
 
(I.R.S. Employer
Identification No.)
 
     
107 Spring Street
SeattleWashington
 
98104
(Address of principal executive offices)
 
(Zip Code)
 
Registrant’s telephone number, including area code: (206588-0256
 
Not Applicable
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:
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))
 
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. ☐
 
Securities registered pursuance to Section 12(b) of the Act:
Title of each class
Trading symbol(s)
Name of each exchange on which registered
Common Stock, $0.18 par value
ATOS
The Nasdaq Capital Market 

 
 
 
 
 
 

 
 
Item 3.01 Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing.
 
On July 13, 2023, Atossa Therapeutics, Inc. (the “Company”) received a letter from The Nasdaq Stock Market LLC (“Nasdaq”) informing the Company that it had regained compliance with the minimum closing bid price requirement under Nasdaq Listing Rule 5550(a)(2) for continued listing on The Nasdaq Capital Market.
 
As previously disclosed, on October 5, 2022, the Company was notified by Nasdaq that it was not in compliance with Nasdaq Listing Rule 5550(a)(2) because its common stock failed to maintain a minimum closing bid price of $1.00 per share for 30 consecutive business days. The Company was initially given 180 days to regain compliance. On April 4, 2023, the Company received a 180 day extension.
 
To regain compliance, the Company was required to maintain a minimum closing bid price of $1.00 per share for at least 10 consecutive trading days. This requirement was met on July 12, 2023. As a result, the Company’s common stock will continue to be listed and traded on The Nasdaq Capital Market.
 
 
 
* * *
 
 
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. 
 
 
 
 
 
July 13, 2023
 
/s/ Greg Weaver
Greg Weaver
Executive Vice President and Chief Financial Officer
 
 
 
 

 
 
 
 
 
 
v3.23.2
Document And Entity Information
Jul. 13, 2023
Document Information [Line Items]  
Entity, Registrant Name Atossa Therapeutics, Inc.
Document, Type 8-K
Document, Period End Date Jul. 13, 2023
Entity, Incorporation, State or Country Code DE
Entity, File Number 001-35610
Entity, Tax Identification Number 26-4753208
Entity, Address, Address Line One 107 Spring Street
Entity, Address, City or Town Seattle
Entity, Address, State or Province WA
Entity, Address, Postal Zip Code 98104
City Area Code 206
Local Phone Number 588-0256
Written Communications false
Soliciting Material false
Pre-commencement Tender Offer false
Pre-commencement Issuer Tender Offer false
Entity, Emerging Growth Company false
Title of 12(b) Security Common Stock
Trading Symbol ATOS
Security Exchange Name NASDAQ
Amendment Flag false
Entity, Central Index Key 0001488039

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