Vaxart, Inc. Form 8-K (Aug. 31, 2022)

Summary

Form 8-K for an event dated August 31, 2022, filed by Vaxart, Inc. Under Item 7.01, Regulation FD Disclosure, the report states that on September 1, 2022 the company issued a press release discussing top-line results from the first part of a two-part Phase 2 clinical study of the company's Wuhan S-only COVID-19 pill vaccine candidate, and announcing a conference call and webcast that day at 8:30 a.m. Eastern Time. Under Item 8.01, Other Events, the report states that on August 31, 2022 the company issued a press release announcing that it named Ray Stapleton as Chief Technology Officer. The press releases are Exhibits 99.1 and 99.2. Andrei Floroiu, Chief Executive Officer, signed September 1, 2022.

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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): August 31, 2022

Vaxart, Inc.

(Exact name of registrant as specified in its charter)

Delaware | 001-35285 | 59-1212264
(State or other jurisdiction of incorporation) | (Commission File Number) | (IRS Employer Identification No.)
170 Harbor Way, Suite 300 , South San Francisco , California | 94080
(Address of principal executive offices) | (Zip Code)

Registrant ’ s telephone number, including area code: ( 650 ) 550-3500

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 | Name of each exchange on which registered
Common Stock , $0.0001 par value | VXRT | The 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 7.01. Regulation FD Disclosure.

On September 1, 2022, Vaxart, Inc. (the “ Company ”) issued a press release discussing top-line results from the first part of a two-part Phase 2 clinical study of the Company’s Wuhan S-only COVID-19 pill vaccine candidate and announcing that it will hold a conference call and webcast on September 1, 2022, at 8:30 a.m. Eastern Time, to discuss that data. A copy of the press release is furnished as Exhibit 99.1 to this Current Report on Form 8-K.

The information furnished under this Item 7.01 to this Current Report on Form 8-K, including 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 it be deemed incorporated by reference into any other filing under the Securities Act of 1933, as amended, or the Exchange Act, regardless of any general incorporation language in such filing.

Item 8.01. Other Events.

On August 31, 2022, the Company issued a press release announcing that it named Ray Stapleton as the Company’s Chief Technology Officer. A copy of the press release is filed as Exhibit 99.2 to this Current Report on Form 8-K.

Item 9.01. Financial Statements and Exhibits.

(d) Exhibits .

Exhibit Description

99.1 Press Release, dated September 1, 2022.

99.2 Press Release, dated August 31, 2022.

104 Cover Page Interactive Data File (embedded within the Inline XBRL document)

SIGNATURES

Pursuant to the requirements of the Securities Exchange Act of 1934, as amended, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.

VAXART, INC.
Dated: September 1, 2022
By: | /s/ Andrei Floroiu
Andrei Floroiu Chief Executive Officer

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