Current Report Filing (8-k)
2022年11月15日 - 6:04AM
Edgar (US Regulatory)
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0000895051
2022-11-14
2022-11-14
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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):
November 14, 2022
CASI
PHARMACEUTICALS, INC.
(Exact Name of Registrant as Specified in its
Charter)
Delaware
(State or other jurisdiction of
incorporation or organization) |
0-20713
(Commission File Number)
|
58-1959440
(IRS Employer Identification No.) |
9620
Medical Center Drive, Suite 300
Rockville,
Maryland
(Address of principal executive offices)
20850
(Zip Code)
(240)
864-2600
(Registrant’s telephone number, including
area code)
Not Applicable
(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:
¨ |
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)) |
Securities registered pursuant to Section 12(b) of the Act:
Title
of each class |
|
Trading
Symbol(s) |
|
Name
of exchange on which
registered |
Common Stock |
|
CASI |
|
Nasdaq Capital Market |
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 2.02. |
Results of Operations and Financial Condition. |
On November 14, 2022, CASI Pharmaceuticals,
Inc. (the “Company”) issued a press release reporting its financial results for the three and nine month periods ending September
30, 2022. The press release is furnished as Exhibit 99.1 to this Current Report on Form 8-K.
The information on this Current Report on Form
8-K (including Exhibit 99.1) shall not be deemed “filed” for purposes of Section 18 of the Securities Act of 1934,
as amended (the “Exchange Act”) or otherwise subject to the liabilities of that Section, nor shall it be deemed incorporated
by reference in any filing by the Company under the Securities Act of 1933, as amended, or the Exchange Act, except as expressly set forth
by specific reference in such a filing.
Item 9.01. |
Financial Statements and Exhibits. |
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.
|
CASI PHARMACEUTICALS, INC. |
|
(Registrant) |
|
|
|
/s/ Larry Zhang |
|
President and Principal Financial Officer |
Date: November 14, 2022
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