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): April 14, 2017
IMMUNOCELLULAR THERAPEUTICS, LTD.
(Exact name of registrant as specified in its charter)
| | | | | | | | |
| 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) | | | | |
Registrant’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 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)) |
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 5.02. Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers.
On April 14, 2017, the board of directors of ImmunoCellular Therapeutics, Ltd. (the “Company”) appointed David Fractor as Chief Financial Officer of the Company, effective immediately. Mr. Fractor previously served as the Company’s Treasurer and Chief Financial Officer on a part-time basis from April 2011 to March 2013 and as the Company’s Vice President of Finance and Principal Accounting Officer on a part-time basis from March 2013 to April 2017. Since 2003, Mr. Fractor has been a consultant providing financial consulting and strategic planning services, including Sarbanes-Oxley compliance consulting services, to a variety of companies in a variety of industries. Mr. Fractor received his B.S. in Accounting from the University of Southern California in 1982 and is a certified public accountant and a member of AICPA and the California Society of CPAs.
There is no arrangement or understanding between Mr. Fractor and any other persons pursuant to which Mr. Fractor was selected as Chief Financial Officer of the Company. There are no family relationships between Mr. Fractor and any director or executive officer of the Company and, other than as described above, no transactions involving Mr. Fractor that would require disclosure under Item 404(a) of Regulation S-K.
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.
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| Date: April 20, 2017 | | | | IMMUNOCELLULAR THERAPEUTICS, LTD. |
| | | |
| | | | By: | | /s/ David Fractor |
| | | | | | David Fractor |
| | | | | | Chief Financial Officer |
