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): January 1,
2020
MONOPAR THERAPEUTICS INC.
(Exact name of registrant as specified in its charter)
Delaware
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001-39070
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32-0463781
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(State or other jurisdiction of
incorporation)
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(Commission File Number)
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(I.R.S. Employer Identification
No.)
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1000
Skokie Blvd., Suite 350, Wilmette, IL
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60091
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(Address of principal executive
offices)
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(Zip
Code)
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(847) 388-0349
Registrant’s telephone number, including area
code
N/A
(Former name or former address, if changed since last
report)
Securities registered pursuant to Section 12(b) of the
Act:
Title of each class
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Trading Symbol(s)
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Name of each exchange on which registered
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Common Stock, $0.001 par value
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MNPR
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The Nasdaq Stock Market LLC
(Nasdaq Capital Market)
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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))
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 5.05. Amendments to the Registrant’s Code of
Ethics, or Waiver of a Provision of the Code of
Ethics.
On
January 1, 2020, certain stylistic, technical and administrative
amendments, along with additional provisions in the sections
related to Fair Dealing and Workplace Safety and Productive
Environment to the Company’s Code of Business Conduct and
Ethics applicable to directors, officers and employees of the
Company and its subsidiaries, as approved by the Board of Directors
of the Company, upon recommendation from the Audit Committee and
Corporate Governance & Nominating Committee, took
effect.
The foregoing description of the amendment to the
Company’s Code of Business Conduct and Ethics is qualified in
its entirety by reference to the Company’s Code of Business
Conduct and Ethics, as amended on January 1, 2020, which is
available for review or download in the Corporate Governance
section of the Company’s website, www.monopartx.com.
We expect that any further amendments to the Code of Business
Conduct and Ethics, or any waivers of its requirements, will also
be disclosed on our website.
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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Monopar Therapeutics
Inc.
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By:
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/s/ Kim R.
Tsuchimoto
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Name: Kim R.
Tsuchimoto
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Title:
Chief
Financial Officer
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Date:
January 7, 2020