UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM
CURRENT REPORT
PURSUANT TO SECTION 13 OR 15(D)
OF THE SECURITIES EXCHANGE ACT OF 1934
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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 3.02 | Unregistered Sales of Equity Securities. |
As previously disclosed by Peak Bio, Inc., a Delaware corporation (the “Company”) on its Current Reports on Form 8-K filed with the Securities and Exchange Commission (the “SEC”) on November 2, 2022 and January 4, 2023, pursuant to subscription agreements dated October 31, 2022 and December 30, 2022, respectively, the Company previously issued to certain accredited investors (the “PIPE Investors”), warrants to purchase shares of the Company’s common stock, par value $0.0001 per share (the “Common Stock”) with an exercise price of $0.01 per share (the “PIPE Warrants”).
Between October 31, 2023 and November 1, 2023, the PIPE Investors exercised the PIPE Warrants to purchase a total of 492,045 shares of the Company’s Common Stock at $0.01 per share for a total purchase price of $4,920.45. The Common Stock issued to the PIPE Investors will not be registered under the Securities Act of 1933, as amended (the “Securities Act”) in reliance on the exemption from registration provided by Section 4(a)(2) of the Securities Act and/or Regulation D promulgated thereunder.
SIGNATURE
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.
Dated: November 2, 2023
| PEAK BIO, INC. | ||
| By: | /s/ Stephen LaMond | |
| Name: | Stephen LaMond | |
| Title: | Interim Chief Executive Officer and Chief Operating Officer | |