Attached files
| file | filename |
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| EX-99.1 - RADIENT PHARMACEUTICALS Corp | v209103_ex99-1.htm |
CURRENT
REPORT FOR ISSUERS SUBJECT TO THE
1934 ACT
REPORTING REQUIREMENTS
FORM
8-K
SECURITIES
AND EXCHANGE COMMISSION
Washington,
DC 20549
CURRENT
REPORT
Pursuant
to Section 13 or 15(d) of the Securities Exchange Act
Date of
Report (Date of Earliest Event Reported): January 26,
2011
Radient
Pharmaceuticals Corporation
(Exact
name of registrant as specified in its charter)
|
Delaware
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001-16695
|
33-0413161
|
|
(State
or other jurisdiction of incorporation)
|
(Commission
File Number)
|
(IRS
Employer Identification No.)
|
2492
Walnut Avenue, Suite 100, Tustin, California, 92780-7039
(Address
of principal executive offices (zip code))
714-505-4461
(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 (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 240.13d-4(c))
Section
3 – Securities and Trading Markets
Item
3.01: Notice of Delisting or Failure to Satisfy a Continued Listing Rule or
Standard; Transfer of Listing
We filed
a Current Report on Form 8-K on December 28, 2009 to disclose the December 23,
2009 notice we received from NYSE Amex stating we were not in compliance with
Section 1003(a)(iv) of the NYSE Amex LLC Company Guide (the
“Company Guide”). As a result, we became subject to the procedures
and requirements of Section 1009 of the Company Guide, pursuant to which
were given the opportunity to submit a plan of compliance. The Amex
approved the plan we submitted and gave us until June 23, 2010 to regain
compliance. Since June, we have had additional conversations with
Amex pursuant to which they granted us an extension until January 8, 2011 to
submit an update to our plan. We submitted an update on January 14,
2011. On January 25, 2011, the Amex sent us a delisting notice
stating their determination and belief that we did not make progress consistent
with the plan and remain non-compliant with Sections 1003(a)(i), 1003(a)(ii),
1003(a)(iii), 1003(a)(iv) and 704 of the Amex Company Guide, and
therefore, our securities are subject to immediate delisting
proceedings.
Pursuant
to our rights under theCompany Guide, we plan to appeal this determination and
request a hearing before a Listing Qualifications Panel to explain our position
that we should not be delisted and should remain a listed company on the
Amex.
Pursuant
to Section 1203(c) of the Amex Company Guide, our securities shall remain listed
until the Amex determines that it is in the public’s best interest to suspend
the trading of our securities or until the Panel makes its decision after the
hearing.
Item
7.01 Regulation FD Disclosure.
On
January 26, 2011, we issued a press release announcing the receipt of the
delisting letter from the Amex. A copy of the press release containing
such announcement is furnished herewith as Exhibit 99.1 and incorporated herein
by reference.
Item 9.01 Financial Statements and
Exhibits
(c)
Exhibits
|
Exhibit
No.
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Description
|
|
99.1
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Press
Release dated January 26, 2011
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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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RADIENT
PHARMACEUTICALS CORPORATION
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| /s/ Akio Ariura | ||
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Name:
Akio
Ariura
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||
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Title:
CFO
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Dated: January
26, 2011