Vaxart Inc.

09/16/2021 | Press release | Distributed by Public on 09/16/2021 12:43

Amendment to Current Report (SEC Filing - 8-K/A)

Washington, D.C. 20549
(AmendmentNo. 1)
Pursuant to Section 13 or 15(d)
of the Securities Exchange Act of 1934
Date of Report (Date of earliest event reported): September 13, 2021
Vaxart, Inc.
(Exact name of registrant as specified in its charter)
(State or other jurisdiction of incorporation)
(Commission File Number)
(IRS Employer Identification No.)
170 Harbor Way, Suite 300, South San Francisco, California
(Address of principal executive offices)
(Zip Code)
Registrant's telephone number, including area code: (650) 550-3500
Not Applicable
(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:
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, $0.0001 par value
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. ☐
Explanatory Note
This Current Report on Form 8-K/A (the 'Amendment') is being filed as an amendment to the Current Report on Form 8-K of Vaxart, Inc., a Delaware corporation (the 'Company'), filed with the Securities and Exchange Commission on September 16, 2021 (the 'Original Report'), in which the Company reported, among other events, the entry into a Controlled Equity OfferingSM Sales Agreement with Cantor Fitzgerald & Co. and B. Riley Securities Inc. This Amendment hereby amends and restates in its entirety the first sentence in the first paragraph under Item 1.01 of the Original Report by replacing it with the statement contained in Item 1.01 hereunder. This Amendment does not amend any other parts of the Original Report, except as otherwise expressly stated herein.
Item 1.01.
Entry into a Material Definitive Agreement.
'On September 15, 2021, Vaxart, Inc. ('Vaxart' or the 'Company') entered into a Controlled Equity OfferingSM Sales Agreement (the 'Sales Agreement') with Cantor Fitzgerald & Co. ('Cantor') and B. Riley Securities Inc. ('B. Riley' and, together with Cantor, the 'Sales Agents'), pursuant to which Vaxart may offer and sell, from time to time through the Sales Agents, shares of the Company's common stock, par value $0.0001 per share (the 'Common Stock'), having an aggregate offering price of up to $100.0 million (the 'Shares').'
Pursuant to the requirements of the Securities Exchange Act of 1934, as amended, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.
Vaxart, Inc.
Dated: September 16, 2021
/s/ Andrei Floroiu
Andrei Floroiu
Chief Executive Officer