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 9, 2011
ALSERES PHARMACEUTICALS, INC.
(Exact Name of Registrant as Specified in Charter)
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| Delaware | | 0-6533 | | 87-0277826 |
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(State or Other Juris-
diction of Incorporation | | (Commission
File Number) | | (IRS Employer
Identification No.) |
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| 239 South Street, Hopkinton, Massachusetts | | 01748 |
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| | | |
| (Address of Principal Executive Offices) | | (Zip Code) |
Registrant’s telephone number, including area code: (508) 497-2360
(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 (seeGeneral Instruction A.2. below):
| o | | Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425) |
| |
| o | | Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12) |
| |
| o | | Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b)) |
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| o | | Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c)) |
TABLE OF CONTENTS
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| Item 1.01. Entry into Material Definitive Agreements | | |
| SIGNATURE | | |
| EXHIBIT INDEX | | |
| Ex 10.7 Promissory Note payable to Robert L. Gipson | | |
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Item 1.01. Entry into Material Definitive Agreements.
On December 9, 2011 the Company issued to Robert L. Gipson (the “Holder”) an unsecured promissory note, pursuant to which the Company borrowed an aggregate principal amount of $100,000 (the Note”). Interest on the Note shall accrue at the rate of 7% per annum and all principal and accrued interest shall be due and payable on demand of the Holder.
The foregoing description of the Agreement and the Note are qualified in their entirety by the full text of the Note, a complete copy of which is filed herewith as Exhibit 10.7 and is incorporated herein by reference.
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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| | Alseres Pharmaceuticals, Inc.
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| Date: December 14, 2011 | By: | /s/ Kenneth L. Rice, Jr. | |
| | | Kenneth L. Rice, Jr.
Executive Vice President, Finance and
Administration and Chief Financial Officer | |
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EXHIBIT INDEX
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| Exhibit | | |
| No. | | Description |
| |
| 10.7 | | Promissory Note dated December 9, 2011 |
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