Current Report Filing (8-k)
17 October 2022 - 9:53PM
Edgar (US Regulatory)
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2022-10-17
2022-10-17
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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): October 17, 2022
VIVANI
MEDICAL, INC.
(Exact
name of registrant as specified in its charter)
California |
|
001-36747 |
|
02-0692322 |
(State
or other jurisdiction of
incorporation) |
|
(Commission
File
Number) |
|
(IRS
Employer
Identification
No.) |
5858
Horton Street, Suite 280
Emeryville,
California |
|
94608 |
(Address
of principal executive offices) |
(Zip
Code) |
Registrant’s
telephone number, including area code: (818) 833-5000
(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)) |
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
Warrants |
|
VANI
VANIW |
|
Nasdaq Capital Market |
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. ☐
Item 7.01. Regulation
FD Disclosure
Vivani
Medical, Inc. (the “Company”), will make presentations at the ThinkEquity Investor Conference described in item 8.01
below (the “Conference”). A copy of a slide presentation that Adam Mendelsohn, Chief Executive Officer and Brigid
Makes, Chief Financial Officer intend to use (the “Presentation Materials”) during the Conference is attached to this
Current Report on Form 8-K as Exhibit 99.1, and is incorporated by reference herein. The
Presentation Materials speak as of the date of this Current Report on Form 8-K. While the Company may
elect to update the Presentation Materials in the future or reflect events and circumstances occurring or existing after the date
of this Current Report on Form 8-K, the Company specifically disclaims any obligation
to do so. The information contained in this Item 7.01 and Exhibit 99.1 hereto shall not be deemed “filed”
for purposes of Section 18 of the Securities Exchange Act of 1934, as amended (the “Exchange Act”), or incorporated
by reference in any filing under the Securities Act of 1933, as amended, or the Exchange Act, except as shall be expressly set
forth by reference in such a filing.
Item 8.01
Other Events
The
Company will present at the upcoming ThinkEquity investor conference at 11:00 am EDT at the Mandarin Oriental in New York on October
26, 2022. Dr. Adam Mendelsohn, CEO, will present a company overview and Brigid Makes, CFO, will join in hosting one-on-one meetings
with investors during the conference. The presentation can be accessed live here: https://wsw.com/webcast/tep23/vani/1674436.
A replay of the presentation will be available at www.vivani.com.
The
Company issued a press release entitled Vivani Medical to Present at the ThinkEquity Investor
Conference, which is attached to this Current Report as Exhibit 99.2.
Item
9.01 Financial Statements and Exhibits.
(d)
Exhibits.
SIGNATURE
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.
|
VIVANI
MEDICAL, INC. |
|
|
|
Date: October 17,
2022 |
By: |
/s/ Donald
Dwyer |
|
|
Donald
Dwyer |
|
|
Chief
Business Officer |
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