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
February 1, 2024 |
| Date of Report (Date of Earliest Event Reported) |
Panbela Therapeutics, Inc. |
| (Exact Name of Registrant as Specified in its Charter) |
Delaware | | 001-39468 | | 88-2805017 |
| (State of Incorporation) | | (Commission File Number) | | (I.R.S. Employer Identification No.) |
712 Vista Blvd #305 Waconia, Minnesota | | 55387 |
| (Address of Principal Executive Offices) | | (Zip Code) |
(952) 479-1196 |
| (Registrant’s Telephone Number, Including Area Code) |
| |
| (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):
| ☐ | 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 | | Name of each exchange on which registered |
| Common Stock, $0.001 par value | | PBLA | | The Nasdaq Stock Market LLC |
Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 or Rule 12b-2 of the Securities Exchange Act of 1934.
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. |
On February 1, 2024, Panbela Therapeutics, Inc. (the “Company”) issued a press release announcing the closing of its previously announced offering of common stock and warrants to purchase common stock, the text of which is furnished as Exhibit 99.1 and incorporated by reference herein.
The information contained in this Item 7.01, including Exhibit 99.1, shall not be deemed to be “filed” with the Commission for the purposes of Section 18 of the Securities Exchange Act of 1934, as amended (the “Exchange Act”), or otherwise subject to the liabilities of that section, nor shall it be deemed to be incorporated by reference in any filing under the Securities Act of 1933, as amended, or the Exchange Act, except as expressly set forth by specific reference in such filing.
Following the completion of the offering, and the issuance of shares of common stock upon the exercise of a portion of the pre-funded warrants sold in the offering, the Company had a total of 3,481,298 shares of its common stock issued and outstanding at the close of business on January 31, 2024.
Item 9.01 | Financial Statements and Exhibits. |
Exhibit No. | | Description |
| | | |
| 99.1 | | |
| | | |
| 104 | | Cover Page Interactive Data File (the cover page XBRL tags are embedded in the Inline XBRL document). |
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.
| | Panbela Therapeutics, Inc. |
| Date: February 1, 2024 | By: | /s/ Susan Horvath |
| | | Susan Horvath |
| | | Chief Financial Officer |
