UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, DC 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): February 25, 2016
IMMUNOCELLULAR THERAPEUTICS, LTD.
(Exact name of Company as specified in its charter)
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Delaware | | 001-35560 | | 93-1301885 |
(State or other jurisdiction of incorporation or organization) | | (Commission File Number) | | (I.R.S. Employer Identification No.) |
23622 Calabasas Road, Suite 300
Calabasas, California 91302
(Address of Principal Executive Offices) (Zip Code)
Company’s telephone number, including area code: (818) 264-2300
Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the Company 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 5.02. Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers.
On February 25, 2016, ImmunoCellular Therapeutics, Ltd. (the “Company”) and Dr. John Yu entered into an Amended and Restated Independent Contractor Services Agreement (“Agreement”), which is effective as of February 1, 2016 and supersedes the previous agreement dated October 1, 2015, which was previously disclosed in the Company’s Current Report on Form 8-K filed with the Securities and Exchange Commission on October 7, 2015. Under the Agreement, Dr. Yu will continue providing consulting services to the Company, including supporting the execution of the phase 3 clinical trial of ICT-107 and assisting with the evaluation and acquisition of outside technology. Dr. Yu will receive a fee of $5,000 per month. The term of the Agreement expires on July 31, 2016, and may be terminated by either party upon 30 days prior written notice. Either party may also terminate the Agreement immediately upon written notice to the other party upon a material breach of the Agreement.
SIGNATURES
Pursuant to the requirements of the Securities Exchange Act of 1934, the Company has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.
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| Date: March 2, 2016 | | | | IMMUNOCELLULAR THERAPEUTICS, LTD. |
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| | | | By: | | /s/ Andrew Gengos |
| | | | | | Andrew Gengos |
| | | | | | President and Chief Executive Officer |
