Current Report Filing (8-k)
March 30 2020 - 5:31PM
Edgar (US Regulatory)
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): March 26, 2020
ArTara
Therapeutics, Inc.
(Exact
name of registrant as specified in its charter)
Delaware
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001-36694
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20-4580525
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(State or other jurisdiction
of incorporation)
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(Commission
File Number)
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(IRS Employer
Identification No.)
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1 Little West 12th Street
New York, NY
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10014
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(Address of principal executive offices)
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(Zip Code)
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Registrant’s
telephone number, including area code: (646) 844-0337
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:
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☐
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Written
communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)
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☐
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Soliciting
material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)
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☐
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Pre-commencement
communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))
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☐
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Pre-commencement
communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))
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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, par value $0.001 per
share
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TARA
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The
Nasdaq Capital Market
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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. ☐
The
Compensation Committee of the Board of Directors (the “Board”) of ArTara Therapeutics, Inc. (the “Company”)
adopted the ArTara Therapeutics, Inc. Inducement Plan (the “Inducement Plan”), effective as of March 26, 2020. The
Company reserved 600,000 shares of the Company’s common stock for issuance under the Inducement Plan. The only persons eligible
to receive grants of Awards (as defined below) under the Inducement Plan are individuals who satisfy the standards for inducement
grants in accordance with the Nasdaq Stock Market LLC listing rules, including individuals who were not previously an employee
or director of the Company, or following a bona fide period of non-employment, as an inducement material to such persons entering
into employment with the Company. An “Award” is any right to receive the Company’s common stock pursuant to
the Inducement Plan, consisting of nonstatutory stock options, restricted stock awards, restricted stock unit awards or other
stock-based awards. The Board also adopted a form of stock option grant notice and stock option agreement and forms of restricted
stock unit grant notice and restricted stock unit agreement (the “Related Agreements”) for use with the Inducement
Plan.
The
foregoing description of the Inducement Plan and Related Agreements is not complete and is qualified in its entirety by reference
to the text of the Inducement Plan and Related Agreements, which are filed as Exhibits 10.1, 10.2 and 10.3, respectively, to this
Current Report on Form 8-K.
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Item
9.01
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Financial
Statements and Exhibits.
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(d) 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.
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ARTARA THERAPEUTICS, INC.
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Date: March 30, 2020
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By:
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/s/
Blaine Davis
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Blaine Davis
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Chief Financial Officer
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3
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