Echo Therapeutics, Inc. Form 8-K: Current report
Filings on SEC EDGAR, newest first; amendments sit with their base form. Values are as filed.
- 2015-12-28: Form 8-K; Period of report 2015-12-27; Description 5.02 Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers; Details 5.02.
- 2015-10-29: Form 8-K; Period of report 2015-10-26; Description 3.01 Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing; Details 3.01.
- 2015-09-30: Form 8-K; Period of report 2015-09-24; Description 3.02 Unregistered Sales of Equity Securities; 3.03 Material Modification to Rights of Security Holders; Details 3.02.
- 2015-09-09: Form 8-K; Period of report 2015-09-03; Description 5.03 Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year; Details 5.03.
| Filed | Form | Period of report | Description | Details | Document |
|---|---|---|---|---|---|
| 2015-12-28 | 8-K | 2015-12-27 | 5.02 Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers | 5.02 On December 27, 2015, the Board of Directors of Echo Therapeutics, Inc. (the “Company”) elected Dr. Elazer Edelman as a member of the Board to serve as a Class II director. | ecte8k_dec272015.htm |
| 2015-10-29 | 8-K | 2015-10-26 | 3.01 Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing | 3.01 As previously reported, on August 20, 2015, Echo Therapeutics, Inc. (the “Company”) received a letter from The Nasdaq Stock Market (“Nasdaq”) informing the Company that it was no longer in compliance with the minimum stockholders’ equity requirement for continued listing on the Nasdaq Capital Market. | echo8k_oct262015.htm |
| 2015-09-30 | 8-K | 2015-09-24 | 3.02 Unregistered Sales of Equity Securities; 3.03 Material Modification to Rights of Security Holders | 3.02 On September 24, 2015, Echo Therapeutics, Inc. (the “Company”) entered into subscription agreements with Platinum Partners, Beijing Yi Tang Bio Science & Technology, Ltd., and RPSMSS, LLC, respectively to provide gross proceeds of $316,500 to the Company, or $150,000, $150,000 and $16,500, respectively, in exchange for 100,000, 100,000, and 11,000 shares, respectively of our Series F Preferred Stock with 5 year warrants to purchase the same amount of our Common Stock at an exercise price of $3.00 per share, respectively. 3.03 In connection with the aforementioned subscription agreements, the Company provided the subscriber with the right for the period of one year, at the subscriber’s option, to convert all or any part of the shares of Series F Preferred Stock and warrants purchased into the securities issued in a future financing that yields gross proceeds to the Company of at least $2,000,000. | ecte8k_sept242015.htm |
| 2015-09-09 | 8-K | 2015-09-03 | 5.03 Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year | 5.03 On September 3, 2015, Echo Therapeutics, Inc. (the “Company”) filed a Certificate of Increase of Shares Designated as Series F Convertible Preferred Stock (“Certificate of Increase”) with the Secretary of State of the State of Delaware to increase the number of shares designated as its Series F Preferred Stock from 5,000,000 to 6,000,000 shares. | ecte8k_sep32015.htm |
| 2015-09-02 | 8-K | 2015-08-27 | 3.02 Unregistered Sales of Equity Securities; 3.03 Material Modification to Rights of Security Holders | 3.02 On August 27 and 28th, 2015, Echo Therapeutics, Inc. (the “Company”) entered into subscription agreements with Platinum Partners and Beijing Yi Tang Bio Science & Technology, Ltd., to provide gross proceeds to the Company of $82,500 and $66,000, respectively, in exchange for 55,000 and 44,000 shares of our Series F Preferred Stock with 5 year warrants to purchase the same amount of our Common Stock at an exercise price of $3.00 per share, respectively. 3.03 In connection with the aforementioned subscription agreements, the Company provided the subscriber with the right for the period of one year, at the subscriber’s option, to convert all or any part of the shares of Series F Preferred Stock and warrants purchased into the securities issued in a future financing that yields gross proceeds to the Company of at least $2,000,000. | echotx8k_sep2015.htm |
| 2015-08-21 | 8-K | 2015-08-21 | 3.01 Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing | 3.01 On August 20, 2015, Echo Therapeutics, Inc. (the “Company”) received a letter from The Nasdaq Stock Market (“Nasdaq”) informing the Company that it is no longer in compliance with the minimum stockholders’ equity requirement for continued listing on the Nasdaq Capital Market. | ecte8k_aug202015.htm |
| 2015-07-20 | 8-K | 2015-07-17 | 1.02 Termination of a Material Definitive Agreement | 1.02 In conjunction with new management’s restructuring efforts and attempts to reduce unnecessary costs, on July 17, 2015, we entered into a Lease Termination Agreement (the “Termination Agreement”) with Exeter 10 Forge Park, LLC, landlord, whereby we paid our landlord a fee of $150,000 to terminate our research facility lease for approximately 37,050 square feet of space in Franklin, Massachusetts. | ecte8k_july172015.htm |
| 2015-07-07 | 8-K | 2015-07-04 | 8.01 Other Events | 8.01 We have resolved our disputes with Patrick Mooney, our former Chairman, President and Chief Executive Officer, on mutually-agreeable terms and all related litigation has been dismissed with prejudice. | ecte8k_july42015.htm |
| 2015-04-16 | 8-K | 2015-04-15 | 2.02 Results of Operations and Financial Condition | 2.02 On April 15, 2015, Echo Therapeutics, Inc. (the “Company”) issued a press release announcing its financial results for the year ended December 31, 2014. | ecte8k_apr152015.htm |
| 2015-04-15 | 8-K | 2015-04-13 | 4.02 Non-Reliance on Previously Issued Financial Statements or a Related Audit Report or Completed Interim Review | 4.02 On April 13, 2015, the management of Echo Therapeutics, Inc. (the “Company”) determined that the Company’s financial statements issued for the quarterly period ended September 30, 2014 could no longer be relied upon as a result of the write-off of deferred financing costs in the third quarter of 2014 that should have been written-off in the fourth quarter of 2014. | ecte8k_apr132015.htm |
| 2015-02-18 | 8-K | 2015-02-12 | 1.01 Entry into a Material Definitive Agreement; 3.02 Unregistered Sales of Equity Securities | 1.01 On September 23, 2014, Echo Therapeutics, Inc. (“Echo” or the “Company”) announced that, as it believed that its current liquidity was insufficient to fund its needs beyond September 30, 2014, it was suspending its product development, research, manufacturing and clinical programs and operations to conserve its liquidity and capital resources. 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. | ecte8k_feb122015.htm |
| 2015-02-05 | 8-K | 2015-02-05 | 4.01 Changes in Registrant's Certifying Accountant | 4.01 On February 5, 2015, Echo Therapeutics, Inc. (the “Company”) engaged BDO USA, LLP (“BDO”) as its independent registered public accounting firm. | ecte8k_feb52015.htm |
| 2015-02-04 | 8-K | 2015-01-30 | 3.01 Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing | 3.01 On January 30, 2015, Echo Therapeutics, Inc. (the “Company”) received a letter, dated January 30, 2015, from NASDAQ, indicating that the Company no longer complies with NASDAQ’s audit committee requirements set forth in NASDAQ Listing Rule 5605. | ecte8k_jan302015.htm |
| 2015-01-06 | 8-K | 2014-12-31 | 5.02 Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers; 8.01 Other Events | 5.02 On December 31, 2014, the resignations from the Board of Directors of Echo Therapeutics, Inc. (the “Company”) became effective for each of Vincent D. Enright, William F. Grieco and James F. Smith pursuant to a Letter Agreement with Platinum Partners Value Arbitrage Fund L.P. and certain of its affiliates dated December 18, 2014. 8.01 On January 6, 2015, the Company issued a press release announcing the rehiring of key members of its research and development team. | echo8k_dec312014.htm |