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EX-99.01 - EXHIBIT 99.01 - Tonix Pharmaceuticals Holding Corp.s110252_ex99-01.htm
EX-4.1 - EXHIBIT 4.1 - Tonix Pharmaceuticals Holding Corp.s110252_ex4-1.htm




Washington, D.C. 20549







Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934


Date of report (date of earliest event reported): May 24, 2018 





(Exact name of registrant as specified in its charter)


Nevada 001-36019 26-1434750

(State or Other Jurisdiction

 of Incorporation)


File Number)

(IRS Employer 

Identification No.)


509 Madison Avenue, Suite 306, New York, New York 10022

(Address of principal executive offices) (Zip Code)


Registrant’s telephone number, including area code: (212) 980-9155


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. ☐





Item 8.01Other Events.


On May 24, 2018, Tonix Pharmaceuticals Holding Corp. (the “Company”) issued a press release (the “Press Release”) announcing preliminary results from a Phase 1 pharmacokinetic study of its lead product candidate. A copy of the Press Release is filed as Exhibit 99.01 hereto and incorporated herein by reference.


The information in this Item 8.01 related to the Press Release, including exhibit 99.01, is being furnished and shall not be deemed “filed” for the purposes of Section 18 of the Securities Exchange Act of 1934 or otherwise subject to the liabilities of that Section. The information in this Item 8.01 related to the Press Release shall not be incorporated by reference into any registration statement or other document pursuant to the Securities Act of 1933, except as shall be expressly set forth by specific reference in any such filing, and is not deemed an admission as to the materiality of any information required to be disclosed solely to satisfy the requirements of Regulation FD.


A copy of the Company’s common stock certificate is filed as Exhibit 4.1 to this Current Report on Form 8-K.


Item 9.01Financial Statements and Exhibits.




  4.01Specimen Common Stock Certificate.*
  99.01Press Release dated May 24, 2018, issued by Tonix Pharmaceuticals Holding Corp.**


* Filed herewith.

** Furnished herewith.








Pursuant to the requirement of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned thereunto duly authorized.


Date:  May 24, 2018 By: /s/ Bradley Saenger
  Bradley Saenger
  Chief Financial Officer