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EX-10.2 - EXHIBIT 10.2 - PLx Pharma Inc.ex10-2.htm
EX-10.1 - EXHIBIT 10.1 - PLx Pharma Inc.ex10-1.htm

 

 

 

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

 

__________________________

 

FORM 8-K/A

 

(Amendment No. 1)

__________________________

CURRENT REPORT

 

Pursuant to Section 13 or 15(d) of the

Securities Exchange Act of 1934

 

June 9, 2017

Date of Report (Date of earliest event reported)

__________________________

PLx Pharma Inc.

(Exact name of registrant as specified in its charter)

__________________________

 

Delaware

001-36351

46-4995704

(State or other jurisdiction
of incorporation)

(Commission
File Number)

(IRS Employer
Identification No.)

 

8285 El Rio Street, Ste. 130

Houston, Texas 77054

(713) 842-1249

(Address of principal executive offices and 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 240.13e-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.

 

 

 

 

EXPLANATORY NOTE

 

This Amendment No. 1 on Form 8-K/A (this “Amendment”) amends the Current Report on Form 8-K (the “Original Form 8-K”) filed on June 12, 2017, by PLx Pharma Inc. (the “Company”). This Amendment is being filed for the sole purpose of updating Exhibits 10.1 and 10.2 to the Original Form 8-K to include legends indicating that confidential portions of those exhibits have been omitted and filed separately with the Securities and Exchange Commission.

 

Item 9.01. Financial Statements and Exhibits.

 

(d) Exhibits.
     
  4.1* Form of Warrant, to be issued by PLx Pharma Inc. to the Investors on June 14, 2017.
     
  5.1* Opinion of Jackson Walker L.L.P.
     
 

10.1

Amended and Restated Patent License Agreement, dated December 11, 2009

 

 

 

 

10.2†

Amendment No. 1 to Amended and Restated Patent License Agreement, dated April 15, 2011

 

 

 

 

10.3

Amendment No. 2 to Amended and Restated Patent License Agreement, dated December 17, 2011

     
  23.1* Consent of Jackson Walker L.L.P. (included in Exhibit 5.1)
     
  99.1* Press Release, issued by PLx Pharma Inc. on June 12, 2017
     
  99.2* Placement Agency Agreement, dated as of June 9, 2017, by and between PLx Pharma Inc. and Raymond James & Associates, Inc.
     
  99.3* Form of Securities Purchase Agreement
     
  * Filed as exhibit to Original Form 8-K filed with the Securities and Exchange Commission on June 12, 2017
   
  Confidential treatment requested.

 

 

 

 

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.

 

 

 

PLx Pharma Inc.

 
     
     
 

By:

/s/ Natasha Giordano

 
   

Natasha Giordano

 
       
 

Title:

President and Chief Executive Officer

 
       
 

Dated:

August 15, 2017