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CAPRICOR THERAPEUTICS, INC. (NASDAQ:CAPR) Files An 8-K Other Events

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ME Staff 8-k
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CAPRICOR THERAPEUTICS, INC. (NASDAQ:CAPR) Files An 8-K Other Events
Item 8.01

On June 21, 2021, Capricor Therapeutics, Inc., a Delaware corporation (the “Company”), filed a new prospectus supplement (the “Prospectus Supplement”) with the U.S. Securities and Exchange Commission (the “SEC”) with respect to the offer and sale of shares of its common stock, par value $0.001 per share (the “Shares”), with an aggregate offering price of up to $75,000,000 (the “Offering”) under the Company’s existing at-the-market equity offering program to a Common Stock Sales Agreement with H.C. Wainwright & Co., LLC, as sales agent. Any Shares offered and sold in the Offering will be issued to the Company’s Registration Statement on Form S-3 originally filed with the Securities and Exchange Commission on March 16, 2021 and subsequently amended on June 15, 2021 (the “Registration Statement”) and the Prospectus Supplement, which forms a part of the Registration Statement.

The Company currently intends to use the net proceeds from the Offering, if any, for research and development related to the Company’s product candidates, manufacturing of the Company’s products, working capital and general corporate purposes. The Company reserves the right, at the discretion of its Board of Directors, to reallocate the proceeds of the Offering in response to developments in the Company’s business and other factors. At this time, the Company cannot specify with certainty all of the particular uses for the net proceeds to the Company from the Offering, if any.

This Current Report on Form 8-K shall not constitute an offer to sell or the solicitation of an offer to buy the Shares, nor shall there be any offer, solicitation or sale of the Shares in any state or country in which such offer, solicitation or sale would be unlawful prior to registration or qualification under the securities laws of any such state or country.

The opinion of the Company’s counsel regarding the validity of the Shares is filed as Exhibit 5.1 to this Current Report on Form 8-K. This opinion is also filed with reference to, and is hereby incorporated by reference into, the Registration Statement.

(d) Exhibits

5.1 Opinion of Sidley Austin LLP.
23.1 Consent of Sidley Austin LLP (included in Exhibit 5.1).


CAPRICOR THERAPEUTICS, INC. Exhibit
EX-5.1 2 tm2120104d1_ex5-1.htm EXHIBIT 5.1 Exhibit 5.1   Sidley Austin LLP 1001 Page Mill Road Building 1 Palo Alto,…
To view the full exhibit click here

About CAPRICOR THERAPEUTICS, INC. (NASDAQ:CAPR)

Capricor Therapeutics, Inc. is a clinical-stage biotechnology company focused on the discovery, development and commercialization of therapeutics. The Company focuses on discovering, developing and commercializing regenerative medicine and large molecule products for the treatment of disease, with a primary focus on the treatment of cardiovascular diseases, including orphan indications. Its product candidate, CAP-1002, a cardiosphere-derived cell product, is being tested in the ALLSTAR Phase II clinical study on patients having suffered a myocardial infarction (MI), while the DYNAMIC clinical study is testing CAP-1002 in patients in the advanced-stage of heart failure. CAP-1002 is also being tested in the HOPE-Duchenne Phase I/II clinical study for use in connection with Duchenne muscular dystrophy-related cardiomyopathy. Cenderitide, a dual receptor natriuretic peptide agonist, is being tested in a Phase II clinical study. Exosomes are nano-sized, membrane-enclosed vesicles.

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TONIX PHARMACEUTICALS HOLDING CORP. (NASDAQ:TNXP) Files An 8-K Regulation FD Disclosure

By
ME Staff 8-k
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TONIX PHARMACEUTICALS HOLDING CORP. (NASDAQ:TNXP) Files An 8-K Regulation FD Disclosure
Item 7.01

On June 21, 2021, Tonix Pharmaceuticals Holding Corp. (the “Company”) issued a press release announcing that it plans to develop TNX-102 SL (cyclobenzaprine HCl sublingual tablets) as a potential treatment for Long COVID Syndrome (Long COVID), or Post-Acute Sequelae of COVID-19 (PASC1). A copy of the press release is furnished as Exhibit 99.01 hereto and incorporated herein by reference.

The information in this Item 7.01 of this Current Report on Form 8-K, including Exhibit 99.01 attached hereto, shall not be deemed “filed” for purposes of Section 18 of the United States Securities Exchange Act of 1934 (the “Exchange Act”) or otherwise subject to the liabilities of that section, nor shall they be deemed incorporated by reference in any filing under the United States Securities Act of 1933 or the Exchange Act, except as shall be expressly set forth by specific reference in such a filing.

On June 21, 2021, the Company announced that it plans to develop TNX-102 SL for the treatment of Long COVID. The Company plans to meet with the U.S. Food and Drug Administration in the third quarter of 2021 to seek agreement on the design of a potential Phase 2 pivotal study and the overall clinical development plan to qualify TNX-102 SL as an indicated treatment for Long COVID. The Company believes that the core symptoms of Long COVID, including fatigue, sleep disturbances, and persistent pain, share an underlying pathogenesis with fibromyalgia. TNX-102 is currently in development as a treatment for fibromyalgia. By improving sleep quality, the Company believes that TNX-102 SL may improve the sleep disturbance of Long COVID and potentially also improve other symptoms of Long COVID. As disturbed sleep is linked to exacerbation and chronicity of a number of pain, neuropsychiatric and addictive disorders, the Company plans to conduct clinical trials to determine whether TNX-102 SL improves sleep in certain pain and neuropsychiatric disorders in addition to fibromyalgia.

Forward- Looking Statements 

This Current Report on Form 8-K contains certain forward-looking statements within the meaning of Section 27A of the Securities Act of 1933 and Section 21E of the Securities Exchange Act of 1934 and Private Securities Litigation Reform Act, as amended, including those relating to the development of TNX-601 CR, the Company’s product development, clinical trials, clinical and regulatory timelines, market opportunity, competitive position, possible or assumed future results of operations, business strategies, potential growth opportunities and other statement that are predictive in nature. These forward-looking statements are based on current expectations, estimates, forecasts and projections about the industry and markets in which we operate and management’s current beliefs and assumptions.

These statements may be identified by the use of forward-looking expressions, including, but not limited to, “expect,” “anticipate,” “intend,” “plan,” “believe,” “estimate,” “potential,” “predict,” “project,” “should,” “would” and similar expressions and the negatives of those terms. These statements relate to future events or our financial performance and involve known and unknown risks, uncertainties, and other factors which may cause actual results, performance or achievements to be materially different from any future results, performance or achievements expressed or implied by the forward-looking statements. Such factors include those set forth in the Company’s filings with the SEC. Prospective investors are cautioned not to place undue reliance on such forward-looking statements, which speak only as of the date of this press release. The Company undertakes no obligation to publicly update any forward-looking statement, whether as a result of new information, future events or otherwise. 

99.01 Press release of the Company, dated June 21, 2021


Tonix Pharmaceuticals Holding Corp. Exhibit
EX-99.01 2 ex99-01.htm PASC PROGRAM   Tonix Pharmaceuticals Holding Corp. 8-K   Exhibit 99.01     Tonix Pharmaceuticals Announces Program to Develop TNX-102 SL for the Treatment of Long COVID Syndrome,…
To view the full exhibit click here

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Mesa Royalty Trust (NYSE:MTR) Files An 8-K Results of Operations and Financial Condition

By
ME Staff 8-k
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Mesa Royalty Trust (NYSE:MTR) Files An 8-K Results of Operations and Financial Condition
Item 2.02 Results of Operations and Financial Condition.

On June 18, 2021, Mesa Royalty Trust issued a press release announcing Mesa Royalty Trust’s royalty income and income distribution for the month of June 2021. A copy of the press release is furnished as Exhibit 99.1 hereto and is incorporated herein by reference.

to General Instruction B.2 of Form 8-K and Securities and Exchange Commission Release No. 33-8176, the press release attached as Exhibit 99.1 is not “filed” for purposes of Section 18 of the Securities Exchange Act of 1934, as amended, is not subject to the liabilities of that section and is not deemed incorporated by reference in any filing under the Securities Act of 1933, as amended, but is instead furnished for purposes of that instruction.

Item 9.01 Financial Statements and Exhibits.

(d)       Exhibits.

99.1 Mesa Royalty Trust Press Release dated June 18, 2021.


MESA ROYALTY TRUST/TX Exhibit
EX-99.1 2 tm2120143d1_ex99-1.htm EXHIBIT 99.1   Exhibit 99.1   Mesa-Royalty-Trust   Mesa Royalty Trust Announces Trust Income for June 2021   MESA ROYALTY TRUST   The Bank of New York Mellon Trust Company,…
To view the full exhibit click here

About Mesa Royalty Trust (NYSE:MTR)

Mesa Royalty Trust owns property interests in the Hugoton Area (Kansas) and the San Juan Basin (Northwestern New Mexico and Southwestern Colorado). The Trust does not engage in any operations. The gas produced from the Hugoton properties is available for sale on the spot market. The natural gas produced from the San Juan Basin is sold on the spot market.

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ADVAXIS, INC. (NASDAQ:ADXS) Files An 8-K Submission of Matters to a Vote of Security Holders

By
ME Staff 8-k
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ADVAXIS, INC. (NASDAQ:ADXS) Files An 8-K Submission of Matters to a Vote of Security Holders

About ADVAXIS, INC. (NASDAQ:ADXS)

Advaxis, Inc. is a clinical-stage biotechnology company. The Company’s immunotherapies are based on a platform technology that utilizes live attenuated Listeria monocytogenes (Lm or Listeria) bioengineered to secrete antigen/adjuvant fusion proteins. It is focused on the discovery, development and commercialization of Lm-LLO cancer immunotherapies. The Company’s immunotherapy candidates include Axalimogene filolisbac, ADXS-PSA and ADXS-HER2. Axalimogene filolisbac (ADXS-HPV) is a lead Lm-LLO immunotherapy product candidate for the treatment of human papilloma virus (HPV) associated cancers. ADXS-PSA is an Lm-LLO immunotherapy product candidate designed to target the Prostate Specific Antigen (PSA) associated with prostate cancer. ADXS-HER2 is an Lm-LLO immunotherapy product candidate designed for the treatment of Human Epidermal Growth Factor Receptor 2 (HER2) expressing cancers, including human and canine osteosarcoma, breast, gastric and other cancers.

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SHINECO, INC. (NASDAQ:TYHT) Files An 8-K Submission of Matters to a Vote of Security Holders

By
ME Staff 8-k
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SHINECO, INC. (NASDAQ:TYHT) Files An 8-K Submission of Matters to a Vote of Security Holders
Item 5.07

At the annual meeting of stockholders of Shineco, Inc. (the “Company”) held on June 15, 2021, the Company’s stockholders voted on the matters described below.

2,598,471 25,451

There were no broker non-votes on the proposal to ratify the selection of the Company’s independent registered public accounting firm for the year ending June 30, 2021.


About SHINECO, INC. (NASDAQ:TYHT)

Shineco, Inc. is a holding company. The Company provides health and well-being focused plant-based products by using its subsidiaries’ and variable interest entities’ vertically- and horizontally-integrated production, distribution and sales channels. The Company operates through three segments: developing, manufacturing and distributing of specialized fabrics, textile products and other by-products derived from an indigenous Chinese plant called Apocynum Venetum, known as Bluish Dogbane (Luobuma); planting, processing and distributing of traditional Chinese medicinal herbal products, as well as other pharmaceutical products (Herbal products), and planting, processing and distributing of green and organic agricultural produce, as well as growing and cultivating of Chinese Yew trees (Agricultural products). It utilizes engineering technologies and biotechnologies to produce, among other products, Chinese herbal medicines, organic agricultural produce and specialized textiles.

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HUGOTON ROYALTY TRUST (NYSE:HGT) Files An 8-K Results of Operations and Financial Condition

By
ME Staff 8-k
-

HUGOTON ROYALTY TRUST (NYSE:HGT) Files An 8-K Results of Operations and Financial Condition
Item 2.02. Results of Operations and Financial Condition.

On June 18, 2021, the Registrant issued a news release announcing that it will not declare a monthly cash distribution for the month of June 2021. A copy of the news release is furnished as Exhibit 99.1.

The information in this Current Report, including the news release attached hereto, is being furnished to Item 2.02 of Form 8-K and shall not be deemed “filed” for purposes of Section 18 of the Securities Exchange Act of 1934, as amended, or otherwise subject to liabilities of that Section.

Item 9.01. Financial Statements and Exhibits.

(d) Exhibits.

Exhibit 99.1 News Release dated June 18, 2021

2


HUGOTON ROYALTY TRUST Exhibit
EX-99.1 2 d145156dex991.htm EX-99.1 EX-99.1 EXHIBIT 99.1 [NEWS RELEASE LETTERHEAD OF HUGOTON ROYALTY TRUST APPEARS HERE] HUGOTON ROYALTY TRUST DECLARES NO JUNE CASH DISTRIBUTION Dallas,…
To view the full exhibit click here

About HUGOTON ROYALTY TRUST (NYSE:HGT)

Hugoton Royalty Trust is an express trust. The Company is created pursuant to the Hugoton Royalty Trust Indenture between XTO Energy Inc., as grantor, and NationsBank, N.A., as trustee. Southwest Bank is now the trustee of the trust of the Company. XTO Energy is a subsidiary of Exxon Mobil Corporation. Its properties are gas-producing properties located in the Hugoton area of Oklahoma and Kansas, the Anadarko Basin of Oklahoma and the Green River Basin of Wyoming. XTO Energy operates approximately 95% of the properties. The Company’s Hugoton area is a domestic natural gas producing area. XTO Energy is a producer in the Ringwood, Northwest Okeene and Cheyenne Valley fields of Major County, the Northeast Cedardale field of Woodward County and the Elk City field of Beckham County, the principal producing region of the properties in the Anadarko Basin. The Green River Basin is located in southwestern Wyoming.

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Earth Science Tech, Inc. (OTCMKTS:ETST) Files An 8-K Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers

By
ME Staff 8-k
-

Earth Science Tech, Inc. (OTCMKTS:ETST) Files An 8-K Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers
Item 5.02 Departure of Directors or Principal Officers

Wendell Hecker has resigned from his position as CFO of Earth Science Tech, Inc. effective June 15, 2021.


About Earth Science Tech, Inc. (OTCMKTS:ETST)

Earth Science Tech, Inc. is a biotechnology company. The Company is focused on nutraceuticals and bioceuticals for use in various industries, such as health, wellness, nutritional supplements, cosmetic and alternative medicine to manage illnesses and the quality of life for consumers around the world. The Company sells its products through its retail store located in Coral Gables, Florida, and through the Internet. The Company is focused on delivering nutritional and dietary supplements that help with treating symptoms, such as chronic pain, joint pain, inflammation, seizures, high blood pressure, memory loss, depression, weight management, nausea and aging. This may include products, such as vitamins, minerals, herbs, botanicals, personal care products, homeopathies, functional foods and other products. These products will be in various formulations and delivery forms, including capsules, tablets, soft gels, chewables, liquids, creams, sprays, powders and whole herbs.

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PULMATRIX, INC. (NASDAQ:PULM) Files An 8-K Submission of Matters to a Vote of Security Holders

By
ME Staff 8-k
-

PULMATRIX, INC. (NASDAQ:PULM) Files An 8-K Submission of Matters to a Vote of Security Holders

About PULMATRIX, INC. (NASDAQ:PULM)

Pulmatrix, Inc. is a clinical stage biopharmaceutical company developing inhaled therapies to address serious pulmonary disease. The Company’s product pipeline is focused on advancing treatments for rare diseases, including PUR1900, an inhaled anti-fungal for patients with lung disease, including cystic fibrosis. In addition, the Company focuses on pulmonary diseases through collaboration with partners, including PUR0200, a generic in clinical development for chronic obstructive pulmonary disease.

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MERA PHARMACEUTICALS, INC. (OTCMKTS:MRPI) Files An 8-K Entry into a Material Definitive Agreement

By
ME Staff 8-k
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MERA PHARMACEUTICALS, INC. (OTCMKTS:MRPI) Files An 8-K Entry into a Material Definitive Agreement
Item 1.01

On June 10, 2021, the Company entered into an agreement with Revive through its wholly owned subsidiary All Your Foods USA, Inc. bringing business currently revenueing into the corporation. Revive provides healthy and delicious premium pre-portioned frozen Superfoods smoothies, oats, meals and more delivered right to the customers door. Revive currently delivers over a million smoothies a month. The Company is Revives food Production and development partner.

All your foods has officially become the main food production company outside of Revives production for new and soon existing products.

This two year deal will see AYF and Revive develop new products and improve on existing ones.

9.01 Exhibits

99.1         Revive Agreement


MERA PHARMACEUTICALS INC Exhibit
EX-99 2 e2851_ex99-1.htm EX-99     Exhibit 99.1   Manufacturing and Supply Agreement   On June 11,…
To view the full exhibit click here

About MERA PHARMACEUTICALS, INC. (OTCMKTS:MRPI)

Mera Pharmaceuticals, Inc. is a marine biotechnology company. The Company focuses on photobioreactor technology and owns intellectual property dedicated to the culture of microalgae for biofuel or nutriceutical production. The Company manufactures natural astaxanthin from Haematococcus pluvialis microalgae. Through its research and development, the Company has formulated AstaFactor, an astaxanthin supplement with antioxidant and anti-inflammatory activity, which is available in three formulations, such as rejuvenating formula, sports formula and salmon essentials, such as natural astaxanthin combined with a blend of fish and salmon oil. The Company also produces sea salt products, such as gourmet salt and nigari. The gourmet salt includes Hawaiian Furikake, Hawaiian Furikake refillable grinder, Kona Sea Salt, Kona Sea Salt flake salt case, Kona Sea Salt grinder and Kona Sea Salt grinder case. The Company offers nigari in sizes ranging from one gallon to 250 gallons.

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BIOTRICITY INC. (OTCMKTS:BTCY) Files An 8-K Results of Operations and Financial Condition

By
ME Staff 8-k
-

BIOTRICITY INC. (OTCMKTS:BTCY) Files An 8-K Results of Operations and Financial Condition
Item 2.02 Results of Operations and Financial Condition

On June 15, 2021, Biotricity, Inc. (the “Company”) issued a press release reporting certain unaudited financial results for the 2021 fourth quarter and fiscal year ended March 31, 2021 and gave certain guidance. The full text of this press release is furnished as Exhibit 99.1 to this Current Report on Form 8-K.

to General Instruction B.2. to Form 8-K, the information set forth in this Item 2.02 and Exhibit 99.1 shall not be deemed “filed” for purposes of Section 18 of the Securities Exchange Act of 1934, as amended (the “Exchange Act”), or otherwise subject to the liabilities of that section, nor shall any of them be incorporated by reference in any filing 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

(d) Exhibits. The exhibit listed in the following Exhibit Index is furnished as part of this Current Report on Form 8-K:


BIOTRICITY INC. Exhibit
EX-99.1 2 ex99-1.htm   Exhibit 99.1   Biotricity Reports Record Quarterly and Annual Revenue for Fiscal 2021   REDWOOD CITY,…
To view the full exhibit click here

About BIOTRICITY INC. (OTCMKTS:BTCY)

Biotricity Inc is a Canada-based medical technology company. The Company delivers remote biometric monitoring solutions, including diagnostic and post-diagnostic solutions for chronic conditions and lifestyle improvement. It offers bioflux, an Electrocardiogram (ECG) monitoring system that enables physicians to diagnose cardiovascular diseases or coronary heart diseases, acts as an ambulatory monitor that detects arrhythmias, performs remote mobile cardiac telemetry diagnostic monitoring, and transmits ECG data via a built-in cellular radio in real time. The Company also provides biolife, a health and lifestyle solution for individuals, which consists of a device that monitors heart-rhythm or ECG, as well as respiration, calories, temperature, physical activity, and other.

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