Current Report Filing (8-k)
01 January 2015 - 2:25AM
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) December 30, 2014
Pathfinder
Cell Therapy, Inc.
(Exact
name of Registrant as Specified in its Charter)
| Delaware |
|
0-20580 |
|
14-1745197 |
| (State
or Other Jurisdiction |
|
(Commission
file Number) |
|
(IRS
Employer |
| of
Incorporation) |
|
|
|
Identification
No.) |
| 12
Bow Street, Cambridge, Massachusetts |
|
02138 |
| (Address
of principal executive offices) |
|
(Zip
Code) |
Registrant's
telephone number, including area code: 617-245-0289
________________________________________________________
(Former
name or 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):
| ☐ |
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)) |
Item
2.03 Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant
On
December 30, 2014, we borrowed $50,000 from an investor. The loan is evidenced by a promissory note bearing interest at 6% per
annum. Principal and interest are due and payable on the first anniversary of issuance. At any time prior to completion or termination
of the capital raise described in our current report on Form 8-K filed with the Securities and Exchange Commission on September
9, 2011, the holder may elect to convert the principal amount of the promissory note, and/or accrued interest thereon, into shares
of our common stock in the capital raise at the subscription price thereof. Since February 2012, we have borrowed an aggregate
principal amount of $4,705,000 from investors on these terms, which amount includes the $50,000 covered by this report.
Item
3.02 Unregistered Sales of Equity Securities
For
the offer and sale of the promissory note described under Item 2.03 above, as well as the offer of the underlying shares of common
stock, we have relied upon the exemption from registration set forth in Section 4(2) of the Act and/or Rule 506 of Regulation
D and/or Regulation S.
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.
| |
Pathfinder
Cell Therapy, Inc. |
| |
|
|
| Date:
December 31, 2014 |
By: |
/s/
John Benson |
| |
|
John
Benson, CFO |
3
Pathfinder Cell Therapy (CE) (USOTC:PFND)
Historical Stock Chart
From Oct 2024 to Dec 2024
Pathfinder Cell Therapy (CE) (USOTC:PFND)
Historical Stock Chart
From Dec 2023 to Dec 2024
