8-A12B/A: Form for the registration / listing of a class of securities on a national securities exchange pursuant to Section 12(b)
Published on March 13, 2020
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 8-A/A
Amendment No. 2
FOR REGISTRATION OF CERTAIN CLASSES OF SECURITIES
PURSUANT TO SECTION 12(b) OR 12(g) OF THE
SECURITIES EXCHANGE ACT OF 1934
HEAT BIOLOGICS, INC. |
(Exact name of registrant as specified in its charter) |
Delaware |
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26-2844103 |
(State or other jurisdiction of incorporation or organization) |
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(IRS Employer Identification Number) |
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627 Davis Drive, Suite 400 Morrisville, North Carolina 27560 |
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27560 |
(Address of principal executive offices) |
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(Zip Code) |
Securities to be registered to Section 12(b) of the Act:
Title of Each Class |
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Name of Each Exchange on Which |
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Common Stock Purchase Rights |
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The NASDAQ Stock Market LLC |
If this form relates to the registration of a class of securities pursuant to Section 12(b) of the Exchange Act and is effective pursuant to General Instruction A.(c) or (e), check the following box. þ
If this form relates to the registration of a class of securities pursuant to Section 12(g) of the Exchange Act and is effective pursuant to General Instruction A.(d) or (e), check the following box. ¨
If this form relates to the registration of a class of securities concurrently with a Regulation A offering, check the following box. ¨
Securities Act registration statement or Regulation A offering statement file number to which this form relates:
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N/A |
(if applicable) |
Securities to be registered pursuant to Section 12(g) of the Act:
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None |
(Title of class) |
EXPLANATORY NOTE
This Form 8-A/A is being filed to update the description of the common share purchase rights (the Rights) of Heat Biologics, Inc., a Delaware corporation (the Company), which were previously registered under the Securities Exchange Act of 1934, as amended (the Exchange Act), pursuant to the Companys Form 8-A filed with the Securities and Exchange Commission (the Commission) on March 12, 2018 (the Original Form 8-A) and Amendment No. 1 to the Form 8-A filed with the Commission on March 13, 2019 (Amendment No. 1 to Form 8-A).
INFORMATION REQUIRED IN REGISTRATION STATEMENT
Item 1. Description of Registrants Securities to be Registered.
This description amends the Original Form 8-A and Amendment No. 1 to Form 8-A relating to the Rights issued pursuant to the Rights Agreement, dated as of March 11, 2018, as amended by Amendment No. 1 thereto, dated March 8, 2019 (Amendment No. 1), as the same may be amended from time to time (the Rights Agreement), by and between the Company and Continental Stock Transfer & Trust Company, as Rights Agent (the Rights Agent). The Rights Agreement was scheduled to expire at the close of business on March 11, 2020.
On March 10, 2020, pursuant to the terms of Amendment No. 2 to the Rights Agreement (Amendment No. 2), by and between the Company and the Rights Agent, dated as of March 10, 2020, the Company further extended the expiration date of the Rights until the close of business on March 11, 2021, unless the Rights are earlier redeemed or exchanged by the Company as described therein.
The Rights and the Rights Agreement are described in the Original Form 8-A and Amendment No. 1 to the Form 8-A, and such descriptions, as amended hereby, are incorporated by reference herein. In addition, a copy of the Rights Agreement between the Company and the Rights Agent specifying the terms of the Rights, which includes as Exhibit A the form of Right Certificate and as Exhibit B the form of the Summary of Rights to Purchase Common Stock, is included in the Original Form 8-A as Exhibit 4.1 and is incorporated by reference herein. Amendment No. 1 is filed as Exhibit 4.2 to this Form 8-A/A and is incorporated by reference herein. Amendment No. 2 is filed as Exhibit 4.3 to this Form 8-A/A and is incorporated by reference herein. The foregoing description of the Rights Agreement and the Rights does not purport to be complete and is qualified in its entirety by reference to Exhibits 4.1, 4.2 and 4.3.
Item 2. Exhibits.
Exhibit Number |
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Description |
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4.1 |
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4.2 |
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4.3 |
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SIGNATURE
Pursuant to the requirements of Section 12 of the Securities Exchange Act of 1934, the registrant has duly caused this Amendment No. 2 to the registration statement to be signed on its behalf by the undersigned, thereto duly authorized.
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Dated: March 13, 2020 |
HEAT BIOLOGICS, INC. |
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By: |
/s/ Jeffrey Wolf |
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Name: |
Jeffrey Wolf |
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Title: |
Chairman, President and Chief Executive Officer |
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