Form 8-K - Current report
2024年7月9日 - 5:30AM
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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): July 1, 2024
CALIDI
BIOTHERAPEUTICS, INC.
(Exact
name of registrant as specified in its charter)
Delaware |
|
001-40789 |
|
86-2967193 |
(State
or other jurisdiction
of
incorporation) |
|
(Commission
File
Number) |
|
(I.R.S.
Employer
Identification
No.) |
4475
Executive Drive, Suite 200,
San
Diego, California |
|
92121 |
(Address of principal
executive offices) |
|
(Zip Code) |
(858)
794-9600
(Registrant’s
telephone number, including area code)
N/A
(Former
name or former address, if changed since last report)
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)) |
Title
of Each Class |
|
Trading
Symbol(s) |
|
Name
of Each Exchange on Which Registered |
Common stock, par value
$0.0001 per share |
|
CLDI |
|
NYSE American LLC |
|
|
|
|
|
Warrants, each whole warrant
exercisable for one share of common stock |
|
CLDI WS |
|
NYSE American LLC |
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
1.01 Entry into a Material Definitive Agreement.
On
July 1, 2024, Calidi Biotherapeutics, Inc. (the “Company,” “we” or “our”) entered into a certain
Loan Agreement (the “Loan Agreement”) with Dennis R. Conklin (the “Lender).
Under
the Loan Agreement, the Lender agreed to loan the Company the principal amount of $600,000 pursuant to the terms of the promissory note
dated July 1, 2024 which was issued to the Lender by the Company (the “Note”). Under the terms of the Note, the Lender agreed
to provide the principal amount of $600,000 on July 2, 2024 (the “Payment Date”).
The
Note bears a simple interest rate at 15.0% per annum and matures on the third calendar year from the Payment Date (the “Maturity
Date”) unless due earlier due to an event of a default under the terms of the Note. The Company agreed to pay annual payments of
accrued interest after each calendar year from the Payment Date until any remaining interest is paid in full on the Maturity Date.
The
foregoing description of the Loan Agreement and the Note do not purport to be complete and are qualified in their entirety by reference
to the full text of the Loan Agreement, and the Note which are attached hereto as Exhibits 10.1 and 10.2 respectively, and incorporated
herein by reference.
Item
2.03. Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant.
The
information included in Item 1.01 of this Current Report is incorporated by reference into this Item 2.03.
Item
9.01 Financial Statements and Exhibits.
(d)
Exhibits
Exhibit |
|
Exhibit
Description |
10.1 |
|
Loan Agreement |
10.2 |
|
Promissory Note |
104 |
|
Cover Page Interactive Data File (embedded within the
Inline XBRL document) |
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.
|
CALIDI BIOTHERAPEUTICS, INC. |
Dated: July 8, 2024 |
|
|
|
By: |
/s/ Andrew
Jackson |
|
Name: |
Andrew Jackson |
|
Title: |
Chief Financial Officer |
Exhibit 10.1
![](https://www.sec.gov/Archives/edgar/data/1855485/000149315224026477/ex10-1_001.jpg)
![](https://www.sec.gov/Archives/edgar/data/1855485/000149315224026477/ex10-1_002.jpg)
![](https://www.sec.gov/Archives/edgar/data/1855485/000149315224026477/ex10-1_005.jpg)
![](https://www.sec.gov/Archives/edgar/data/1855485/000149315224026477/ex10-1_007.jpg)
Exhibit 10.2
![](https://www.sec.gov/Archives/edgar/data/1855485/000149315224026477/ex10-2_001.jpg)
![](https://www.sec.gov/Archives/edgar/data/1855485/000149315224026477/ex10-2_002.jpg)
v3.24.2
Cover
|
Jul. 01, 2024 |
Document Type |
8-K
|
Amendment Flag |
false
|
Document Period End Date |
Jul. 01, 2024
|
Entity File Number |
001-40789
|
Entity Registrant Name |
CALIDI
BIOTHERAPEUTICS, INC.
|
Entity Central Index Key |
0001855485
|
Entity Tax Identification Number |
86-2967193
|
Entity Incorporation, State or Country Code |
DE
|
Entity Address, Address Line One |
4475
Executive Drive
|
Entity Address, Address Line Two |
Suite 200
|
Entity Address, City or Town |
San
Diego
|
Entity Address, State or Province |
CA
|
Entity Address, Postal Zip Code |
92121
|
City Area Code |
(858)
|
Local Phone Number |
794-9600
|
Written Communications |
false
|
Soliciting Material |
false
|
Pre-commencement Tender Offer |
false
|
Pre-commencement Issuer Tender Offer |
false
|
Entity Emerging Growth Company |
true
|
Elected Not To Use the Extended Transition Period |
false
|
Common stock, par value $0.0001 per share |
|
Title of 12(b) Security |
Common stock, par value
$0.0001 per share
|
Trading Symbol |
CLDI
|
Security Exchange Name |
NYSEAMER
|
Warrants, each whole warrant exercisable for one share of common stock |
|
Title of 12(b) Security |
Warrants, each whole warrant
exercisable for one share of common stock
|
Trading Symbol |
CLDI WS
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Security Exchange Name |
NYSEAMER
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過去 株価チャート
から 7 2024 まで 8 2024
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