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 6, 2020
CHROMADEX CORPORATION
(Exact name of registrant as specified in its charter)
| Delaware | 001-37752 | 26-2940963 |
| (State or other jurisdiction of incorporation) | (Commission File Number) | (IRS Employer Identification No.) |
10900 Wilshire Blvd. Suite 600, Los Angeles, California 90024
(Address of principal executive offices, including zip code)
(310) 388-6706
(Registrant's telephone number, including area code)
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, par value $0.001 per share | CDXC | The 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 8.01 Other Events.
ChromaDex Corporation (the “Company” or “ChromaDex”) recently became aware that, due to an administrative error, certain of the Company’s previously filed Annual Reports on Form 10-K, including the Annual Report on Form 10-K for the year ended December 31, 2019, as amended, contained the wrong filing, issued and/or expiration dates with respect to certain of the Company’s owned and licensed patents. The following table sets forth the Company’s existing owned and licensed patents with such filing, issued and/or expiration dates as corrected:
| Patent Number | Title | Filing Date | Issued Date | Expires | Licensor |
| 7,205,284 | Potent immunostimulants from microalgae | 7/10/2001 | 4/17/2007 | 3/9/2022 | Licensed from University of Mississippi |
| 7,776,326 | Methods and compositions for treating neuropathies | 6/3/2005 | 8/17/2010 | 6/24/2026 | Licensed from Washington University |
| 7,846,452 | Potent immunostimulatory extracts from microalgae | 7/28/2005 | 12/7/2010 | 7/28/2025 | Licensed from University of Mississippi |
| 8,106,184 | Nicotinyl Riboside Compositions and Methods of Use | 11/17/2006 | 1/31/2012 | 9/20/2027 | Licensed from Cornell University |
| 8,114,626 | Yeast strain and method for using the same to produce Nicotinamide Riboside | 3/26/2009 | 2/14/2012 | 1/5/2026 | Licensed from Dartmouth College |
| 8,133,917 | Pterostilbene as an agonist for the peroxisome proliferator-activated receptor alpha isoform | 10/25/2010 | 3/13/2012 | 8/18/2025 | Licensed from the University of Mississippi and U.S. Department of Agriculture |
| 8,197,807 | Nicotinamide Riboside Kinase compositions and Methods for using the same | 4/20/2006 | 6/12/2012 | 11/19/2026 | Licensed from Dartmouth College |
| 8,252,845 | Pterostilbene as an agonist for the peroxisome proliferator-activated receptor alpha isoform | 2/1/2012 | 8/28/2012 | 8/18/2025 | Licensed from the University of Mississippi and U.S. Department of Agriculture |
| 8,318,807 | Pterostilbene Caffeine Co-Crystal Forms | 7/30/2010 | 11/27/2012 | 7/21/2031 | Licensed from Laurus Labs Private Limited |
| 8,383,086 | Nicotinamide Riboside Kinase compositions and Methods for using the same | 4/12/2012 | 2/26/2013 | 4/20/2026 | Licensed from Dartmouth College |
| 8,399,712 | Pterostilbene cocrystals | 7/30/2010 | 3/19/2013 | 8/10/2031 | Licensed from Laurus Labs Private Limited |
| 8,524,782 | Key intermediate for the preparation of Stilbenes, solid forms of Pterostilbene, and methods for making the same | 1/21/2011 | 9/3/2013 | 2/1/2030 | Licensed from Laurus Labs Private Limited |
| 8,809,400 | Method to Ameliorate Oxidative Stress and Improve Working Memory Via Pterostilbene Administration | 8/8/2011 | 8/19/2014 | 10/2/2028 | Licensed from the University of Mississippi and U.S. Department of Agriculture |
| 8,841,350 | Method for treating non-melanoma skin cancer by inducing UDP-Glucuronosyltransferase activity using pterostilbene | 5/8/2012 | 9/23/2014 | 5/8/2032 | Co-owned by ChromaDex and University of California |
| 8,889,126 | Methods and compositions for treating neuropathies | 5/28/2010 | 11/18/2014 | 6/3/2025 | Licensed from Washington University |
| 9,000,147 | Nicotyl riboside compositions and methods of use | 1/17/2012 | 4/7/2015 | 11/17/2026 | Licensed from Cornell University |
| 9,028,887 | Method improve spatial memory via pterostilbene administration | 5/22/2014 | 5/12/2015 | 6/10/2028 | Licensed from the University of Mississippi and U.S. Department of Agriculture |
| 9,295,688 | Methods and compositions for treating neuropathies | 10/10/2014 | 3/29/2016 | 6/3/2025 | Licensed from Washington University |
| 9,321,797 | Nicotyl riboside compositions and methods of use | 11/17/2014 | 4/26/2016 | 11/17/2026 | Licensed from Cornell University |
| 9,439,875 | Anxiolytic effect of pterostilbene | 5/11/2011 | 9/13/2016 | 12/11/2031 | Licensed from the University of Mississippi and U.S. Department of Agriculture |
| 9,975,915 | Crystalline forms of nicotinoyl ribosides, modified derivatives thereof, and phosphorylated analogs thereof, and methods of preparation thereof | 11/10/2017 | 5/22/2018 | 11/10/2037 | Co-owned by ChromaDex and The Queen’s University of Belfast |
| 10,000,519 | Methods of Preparing Nicotinamide Riboside and Derivatives Thereof | 7/24/2014 | 6/19/2018 | 7/24/2034 | Licensed from The Queen’s University of Belfast |
| 10,000,520 | B-vitamin and amino acid conjugates ofnicotinoyl ribosides and reduced nicotinoyl ribosides, derivatives thereof, and methods of preparation thereof | 3/16/2017 | 6/19/2018 | 3/16/2037 | Co-owned by ChromaDex and The Queen’s University of Belfast |
| 10,183,036 | Use of nicotinic acid riboside or nicotinamide riboside derivatives, and reduced derivatives thereof, as NAD+ increasing precursors | 4/20/2017 | 1/22/2019 | 4/20/2037 | Owned by ChromaDex |
| 10,280,190 | Nicotinic acid riboside or nicotinamide riboside compositions, reduced derivatives thereof, and the use thereof to enhance skin permeation in treating skin conditions | 3/16/2016 | 5/7/2019 | 5/31/2036 | Co-owned by ChromaDex and The Queen’s University of Belfast |
| 10,688,118 | Nicotinamide riboside compositions for topical use in treating skin conditions | 10/30/2014 | 6/23/2020 | 4/6/2035 | Owned by ChromaDex |
| 10,689,411 | Efficient and scalable syntheses of nicotinoyl ribosides and reduced nicotinoyl ribosides, modified derivatives thereof, phosphorylated analogs thereof, adenylyl dinucleotide conjugates thereof, and novel crystalline forms thereof | 11/10/2017 | 6/23/2020 | 11/10/2037 | Co-owned by ChromaDex and The Queen’s University of Belfast |
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.
| | | | | | | |
| | | | | CHROMADEX CORPORATION |
| | | |
| Dated: July 8, 2020 | | | | |
| | | | |
| | | | | By: | | /s/ Kevin M. Farr |
| | | | | | | Name: Kevin M. Farr |
| | | | | | | Chief Financial Officer |
