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EX-14.1 - EX-14.1 - Statera Biopharma, Inc.d877835dex141.htm

 

 

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): February 17, 2015

 

 

Cleveland BioLabs, Inc.

(Exact Name of Issuer as Specified in Charter)

 

 

 

DELAWARE   001-32954   20-0077155

(State or Other Jurisdiction of

Incorporation or Organization)

 

(Commission

File Number)

 

(I.R.S. Employer

Identification Number)

73 High Street

Buffalo, NY 14203

(Address of Principal Executive Offices and zip code)

(716) 849-6810

(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:

 

¨ 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 5.05 Amendments to the Registrant’s Code of Ethics, or a Waiver of a Provision of the Code of Ethics.

On February 17, 2014, Cleveland BioLabs, Inc. (the “Company”) adopted a Code of Business Conduct and Ethics for Directors, which applies to all directors of the Company. The Code of Business Conduct and Ethics and Directors became effective immediately following approval by the Company’s Board of Directors.

The foregoing description of the Code of Business Conduct and Ethics for Directors is qualified in its entirety by the text of the Code of Business Conduct and Ethics for Directors adopted by the Board of the Directors, which is filed as Exhibit 14.1 to this Current Report on Form 8-K and incorporated herein by reference.

 

Item 9.01 Financial Statements and Exhibits.

(d)

 

Exhibit
No.

  

Description

14.1    Cleveland BioLabs, Inc. Code of Business Conduct and Ethics for Directors


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.

 

Cleveland BioLabs, Inc.
Date: February 20, 2014 By:

/s/ YAKOV KOGAN

Name: Yakov Kogan
Title: Chief Executive Officer