Echo Therapeutics, Inc. Form 8-K: Current report
Filings on SEC EDGAR, newest first; amendments sit with their base form. Values are as filed.
- 2014-12-30: Form 8-K; Period of report 2014-12-22; Description 1.01 Entry into a Material Definitive Agreement; 5.02 Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers; Details 1.01.
- 2014-12-19: Form 8-K; Period of report 2014-12-18; Description 1.01 Entry into a Material Definitive Agreement; 3.02 Unregistered Sales of Equity Securities; 8.01 Other Events; Details 1.01.
- 2014-12-12: Form 8-K; Period of report 2014-12-08; Description 4.01 Changes in Registrant's Certifying Accountant; Details 4.01.
- 2014-11-26: Form 8-K; Period of report 2014-11-21; Description 5.02 Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers; Details 5.02.
| Filed | Form | Period of report | Description | Details | Document |
|---|---|---|---|---|---|
| 2014-12-30 | 8-K | 2014-12-22 | 1.01 Entry into a Material Definitive Agreement; 5.02 Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers | 1.01 Entry into a Material Definitive Agreement. 5.02 On December 22, 2014, Echo Therapeutics, Inc., (the “Company”) entered into an Employment Agreement (the “CEO Agreement”) with Scott Hollander. | ecte8kdec302014.htm |
| 2014-12-19 | 8-K | 2014-12-18 | 1.01 Entry into a Material Definitive Agreement; 3.02 Unregistered Sales of Equity Securities; 8.01 Other Events | 1.01 On December 18, 2014, Echo Therapeutics, Inc. (the “Company”) and its directors entered into a Letter Agreement with Platinum Partners Value Arbitrage Fund L.P. (“Platinum”) and certain of its affiliates (the “Agreement”) relating to an investment in the company, certain board matters, and other matters relating to the withdrawal of litigation and mutual releases by the parties to the Agreement. 3.02 The information set forth in Item 1.01 above regarding the Company’s issuance of the Preferred Stock and the Warrants is hereby incorporated into this Item 3.02. 8.01 On December 18, 2014, the Company received a letter from The Nasdaq Stock Market (“NASDAQ”) stating that the Company had regained compliance with NASDAQ’s Marketplace Rule 5450(a)(2) because the bid price of the Company’s common stock closed at or above the required minimum $1.00 per share for ten consecutive business days. | ecte8kdec182014.htm |
| 2014-12-12 | 8-K | 2014-12-08 | 4.01 Changes in Registrant's Certifying Accountant | 4.01 On December 8, 2014, Echo Therapeutics, Inc. (“Echo” or the “Company”) was orally notified by its independent registered accounting firm, Wolf & Company P.C. (“Wolf”) that it was resigning effective December 8, 2014. | ecte8k_dec82014.htm |
| 2014-11-26 | 8-K | 2014-11-21 | 5.02 Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers | 5.02 By letter dated November 21, 2014, Charles T. Bernhardt informed Echo Therapeutics, Inc. (“Echo”) of his decision to resign as Interim Chief Financial Officer and from performing the functions of Principal Executive Officer for Echo effective December 15, 2014. | echo8k_nov212014.htm |
| 2014-11-07 | 8-K | 2014-11-06 | 3.01 Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing | 3.01 On November 6, 2014, the Company received a letter from the Listing Qualifications Department of the NASDAQ Stock Market (“Nasdaq”) informing the Company that because the closing bid price for the Company's common stock listed on Nasdaq was below $1.00 for 30 consecutive business days, the Company does not comply with the minimum closing bid price requirement for continued listing on the Nasdaq Capital Market under Nasdaq Marketplace Rule 5550(a)(2). | ecte8knov72014.htm |
| 2014-11-03 | 8-K | 2014-10-28 | 1.02 Termination of a Material Definitive Agreement | 1.02 On October 28, 2014, the Company notified Platinum-Montaur Life Sciences, LLC (“Platinum-Montaur”) that it was terminating and irrevocably cancelling the Loan Agreement (the “Agreement”) between the Company and Platinum-Montaur dated as of August 31, 2012. | ecte8knov32014.htm |
| 2014-09-24 | 8-K | 2014-09-23 | 2.05 Costs Associated with Exit or Disposal Activities; 7.01 Regulation FD Disclosure; 8.01 Other Events | 2.05 On September 23, 2014, Echo Therapeutics, Inc. (“Echo” or the “Company”) announced that, as it believes that its current liquidity is insufficient to fund its needs beyond September 30, 2014, it has suspended its product development, research, manufacturing and clinical programs and operations to conserve its liquidity and capital resources. 7.01 Echo’s press release, dated September 23, 2014, is furnished as Exhibit 99.1 hereto and is incorporated by reference herein. 8.01 The information set forth in Item 2.05 is incorporated herein by reference. | ecte8ksept242014.htm |
| 2014-09-18 | 8-K | 2014-09-12 | 5.02 Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers | 5.02 On September 12, 2014, Kimberly A. Burke informed Echo Therapeutics, Inc. (“Echo”) of her decision to resign as Senior Vice President, General Counsel and Chief Compliance Officer of Echo to pursue other opportunities. | ecte8k_sep122014.htm |
| 2014-08-19 | 8-K | 2014-08-14 | 2.02 Results of Operations and Financial Condition; 2.05 Costs Associated with Exit or Disposal Activities; 8.01 Other Events | 2.02 On August 14, 2014, Echo Therapeutics, Inc. (the “Company”) issued a press release announcing its financial results for the quarter ended June 30, 2014. 2.05 On August 14, 2014, the Company announced that it had made staff reductions comprising approximately 35% of the Company's workforce. 8.01 On August 14, 2014, the Company issued a business update highlighting recent corporate events and steps the Company has taken to substantially reduce operating costs and preserve cash while further focusing its development efforts and resources on implementing key product performance enhancements to its Symphony® CGM System. | ecte8kaug192014.htm |
| 2014-07-29 | 8-K | 2014-07-24 | 5.03 Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year | 5.03 On July 24, 2014, the Board of Directors of Echo Therapeutics, Inc., a Delaware corporation (“Echo”), approved amendments to the Company’s bylaws, effective as of July 24, 2014 (as amended, the “Amended Bylaws”). | ecte8kjuly292014.htm |
| 2014-07-16 | 8-K | 2014-07-16 | 1.01 Entry into a Material Definitive Agreement; 5.02 Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers | 1.01 Entry into a Material Definitive Agreement. 5.02 On July 10, 2014, the Board of Directors (the “Board”) of Echo Therapeutics, Inc. (“Echo” or the “Company”) appointed Charles T. Bernhardt to serve as Interim Chief Financial Officer of Echo, effective July 16, 2014. | ecte8kjuly162014.htm |
| 2014-07-02 | 8-K | 2014-06-30 | 5.02 Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers | 5.02 On June 30, 2014, the Board of Directors (the “Board”) of Echo Therapeutics, Inc. (“Echo” or the “Company”) appointed Kimberly A. Burke to serve as Interim Chief Executive Officer of Echo, effective July 1, 2014 and continuing for the sixty-day period expiring on August 30, 2014 or, if earlier, such date as a candidate is identified and appointed by the Board to serve as Echo’s Chief Executive Officer. | ecte8kjune302014.htm |
| 2014-06-27 | 8-K/A | 2014-06-19 | 1.01 Entry into a Material Definitive Agreement; 5.02 Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers; 5.03 Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year; 5.07 Submission of Matters to a Vote of Security Holders | 1.01 The information set forth under Item 5.02 of this Current Report on Form 8-K is incorporated herein by reference. 5.02 On June 24, 2014, the Board of Directors of Echo approved a new form of indemnification agreement to be entered into with each of the Company's directors and executive officers, effective June 24, 2014, which replace any previously existing indemnification agreements entered into between the Company and its current directors and executive officers. 5.03 (a) Amendments to By-Laws. | echo8ka_june272014.htm |
| 2014-06-25 | 8-K | 2014-06-19 | 1.01 Entry into a Material Definitive Agreement; 5.02 Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers; 5.03 Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year; 5.07 Submission of Matters to a Vote of Security Holders | 1.01 The information set forth under Item 5.02 of this Current Report on Form 8-K is incorporated herein by reference. 5.02 On June 24, 2014, the Board of Directors of Echo Therapeutics, Inc., a Delaware corporation (“Echo” or the “Company”), approved a new form of indemnification agreement to be entered into with each of the Company's directors and executive officers, effective June 24, 2014, which replace any previously existing indemnification agreements entered into between the Company and its current directors and executive officers. 5.03 (a) Amendments to By-Laws. | echo8k_june192014.htm |
| 2014-05-13 | 8-K | 2014-05-09 | 2.02 Results of Operations and Financial Condition | 2.02 On May 9, 2014, Echo Therapeutics, Inc. (the “Company”) issued a press release announcing its financial results for the quarter ended March 31, 2014. | ecte8kmay1312014.htm |
| 2014-04-07 | 8-K | 2014-04-03 | 5.02 Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers | 5.02 On April 3, 2014, the Company and Mr. Doman entered into an amendment to the Consulting Agreement between the Company and Mr. Doman dated August 26, 2013, as amended by the First Amendment to the Consulting Agreement entered into as of October 3, 2013 and the Second Amendment to the Consulting Agreement entered into as of December 26, 2013, pursuant to which Mr. Doman serves as the Company’s Executive Chairman and Interim Chief Executive Officer (the “Amendment”). | form8k-04072014_040402.htm |
| 2014-04-01 | 8-K | 2014-03-27 | 2.02 Results of Operations and Financial Condition | 2.02 On March 27, 2014, Echo Therapeutics, Inc. (the “Company”) issued a press release announcing its financial results for the year ended December 31, 2013. | ecte8kapr12014.htm |
| 2014-03-06 | 8-K | 2014-02-28 | 5.02 Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers | 5.02 On December 10, 2013, the Company and Platinum Partners Value Arbitrage Fund L.P. and Platinum Partners Liquid Opportunity Master Fund L.P. (collectively, “Platinum”) entered into a Securities Purchase Agreement (the “SPA”) which provides that, subject to certain conditions, the Company shall nominate and use its reasonable best efforts to cause to be elected and cause to remain as a member of the Company’s Board of Directors (the “Board”) until the Company’s 2014 annual meeting of stockholders (the “2014 Meeting”), one individual designated by Platinum (the “Platinum Designee”). | form8k-03062014_040302.htm |
| 2014-02-04 | 8-K | 2014-01-29 | 1.01 Entry into a Material Definitive Agreement | 1.01 Entry into a Material Definitive Agreement. | echo8k_jan292014.htm |
| 2014-01-02 | 8-K | 2013-12-26 | 5.02 Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers | 5.02 On December 26, 2013, the Company and Mr. Doman entered into an amendment to the Consulting Agreement between the Company and Mr. Doman dated December 26, 2013, pursuant to which Mr. Doman serves as the Company’s Executive Chairman and Interim Chief Executive Officer (the “Amendment”). | echo8k_dec262013.htm |