Current Report Filing (8-k)
15 June 2021 - 11:16PM
Edgar (US Regulatory)
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)
June
11, 2021
ONCOTELIC
THERAPEUTICS, INC.
(Exact
name of registrant as specified in its charter)
Delaware
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000-21990
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13-3679168
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(State
or other jurisdiction
of
incorporation)
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(Commission
File
Number)
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(IRS
Employer
Identification
No.)
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29397
Agoura Road, Suite 107
Agoura
Hills, CA 91301
(Address
of principal executive offices and Zip Code)
Registrant’s
telephone number, including area code
(650)
635-7000
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 (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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Securities
registered pursuant to Section 12(b) of the Act:
Title
of class
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Trading
Symbols
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Name
of each exchange on which registered
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N/A
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OTLC
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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
8.01 Other Events.
On
June 15, 2021, Oncotelic Therapeutics, Inc. (the “Company”) issued a press release announcing that the Company, effective
June 11, 2021, was discontinuing enrollment in its OT-101 COVID-19 directed clinical trial in South America. A copy of that press release
is attached as Exhibit 99.1 to this Current Report on Form 8-K.
Forward-Looking
Statements
This
document contains “forward-looking statements” that involve substantial risks and uncertainties for purposes of the safe
harbor provided by the Private Securities Litigation Reform Act of 1995. All statements, other than statements of historical facts, included
in this communication regarding strategy, future operations, future financial position, prospects, plans and objectives of management
are forward-looking statements. In addition, when or if used in this communication, the words “will,” “may,”
“would,” “approximate,” “expect,” “intend,” and similar expressions and their variants
may identify forward-looking statements. Examples of forward-looking statements include, but are not limited to, statements relating
to the anticipated timing or results of the Company’s planned phase 3 trial for the OT101 product candidate, the Company’s
ability to successfully secure any U.S. FDA priority review voucher, or the Company’s ability to sell and U.S. FDA priority review
voucher or the terms of any such potential sale. Actual results could differ materially from those contained in any forward-looking statement
as a result of various factors that could cause actual events to differ from expectations, including the risk factors included in the
Company’s most recent Annual Report on Form 10-K and other periodic reports filed with the Securities and Exchange Commission.
Except as required by applicable law, the Company undertakes no obligation to revise or update any forward-looking statement, or to make
any other forward-looking statements, whether as a result of new information, future events or otherwise.
Item
9.01 Financial Statements and Exhibits.
(d)
Exhibits.
Exhibit
No.
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Description
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Incorporation
by reference
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99.1
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Press Release
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Filed
herewith
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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.
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Oncotelic
Therapeutics, Inc.
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Date:
June 15, 2021
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/s/
Vuong Trieu
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By:
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Vuong
Trieu
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Chief
Executive Officer
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Oncotelic Therapeutics (QB) (USOTC:OTLC)
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