TREX WIND-DOWN, INC. Form 8-K: Current report
Filings on SEC EDGAR, newest first; amendments sit with their base form. Values are as filed.
- 2018-12-20: Form 8-K; Period of report 2018-12-20; Description 3.01 Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing; Details 3.01.
- 2018-12-06: Form 8-K; Period of report 2018-12-06; Description 2.02 Results of Operations and Financial Condition; Details 2.02.
- 2018-11-21: Form 8-K; Period of report 2018-11-20; Description 1.01 Entry into a Material Definitive Agreement; 3.02 Unregistered Sales of Equity Securities; 3.03 Material Modification to Rights of Security Holders; Details 1.01.
- 2018-11-02: Form 8-K; Period of report 2018-11-01; Description 3.01 Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing; Details 3.01.
| Filed | Form | Period of report | Description | Details | Document |
|---|---|---|---|---|---|
| 2018-12-20 | 8-K | 2018-12-20 | 3.01 Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing | 3.01 On December 17, 2018, BioPharmX Corporation (“Company”) received a notice from the NYSE American LLC (“NYSE American”) that the Company is not in compliance with the stockholders’ equity requirements set forth in Section 1003(a)(i) and Section 1003(a)(ii) of the NYSE American Company Guide. | bpmx-20181220x8k.htm |
| 2018-12-06 | 8-K | 2018-12-06 | 2.02 Results of Operations and Financial Condition | 2.02 On December 6, 2018, BioPharmX Corporation (the “Company”) issued a press release announcing its financial results and certain other information for the quarter ended October 31, 2018. | bpmx-20181206x8k.htm |
| 2018-11-21 | 8-K | 2018-11-20 | 1.01 Entry into a Material Definitive Agreement; 3.02 Unregistered Sales of Equity Securities; 3.03 Material Modification to Rights of Security Holders | 1.01 Entry into a Material Definitive Agreement. 3.02 The information contained in Item 1.01 of this Current Report on Form 8-K in relation to the New Warrants and the shares of Common Stock issuable upon the exercise thereof is hereby incorporated by reference into this Item 3.02. | f8-k.htm |
| 2018-11-02 | 8-K | 2018-11-01 | 3.01 Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing | 3.01 On November 1, 2018, BioPharmX Corporation (“Company”) received a notice from NYSE American LLC (“NYSE American”) that NYSE Regulation reviewed the Company’s compliance plan and determined to accept the plan and grant a plan period through September 24, 2019. | f8-k.htm |
| 2018-10-31 | 8-K | 2018-10-31 | 1.01 Entry into a Material Definitive Agreement | 1.01 Entry into a Material Definitive Agreement. | bpmx-20181031x8k.htm |
| 2018-10-11 | 8-K | 2018-10-11 | 5.02 Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers | 5.02 Effective October 10, 2018, Anja Krammer, President of BioPharmX Corporation (the “Company”), was terminated by the Company without Cause (as defined in the Employment Agreement between Anja Krammer and the Company, dated as of April 20, 2017 (the “Employment Agreement”)). | bpmx-20181011x8k.htm |
| 2018-09-28 | 8-K | 2018-09-24 | 3.01 Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing; 5.02 Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers | 3.01 On September 24, 2018, BioPharmX Corporation (“Company”) received a notice from the NYSE American LLC (“NYSE American”) that the Company is not in compliance with the stockholders’ equity requirements set forth in Sections 1003(a)(i)-(iii) of the NYSE American Company Guide. 5.02 On September 26, 2018, Greg Kitchener, Executive Vice President and Chief Financial Officer of the Company, notified the Company of his decision to resign from all positions with the Company, effective October 10, 2018. | a18-36082_18k.htm |
| 2018-09-13 | 8-K | 2018-09-11 | 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, 2018, BioPharmX Corporation (the “Company”) announced the appointment of David Tierney as its chief executive officer, effective as of September 11, 2018. | f8-k.htm |
| 2018-08-30 | 8-K | 2018-08-27 | 2.02 Results of Operations and Financial Condition; 3.01 Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing | 2.02 On August 30, 2018, BioPharmX Corporation (the “Company”) issued a press release announcing its financial results and certain other information for the quarter ended July 31, 2018. 3.01 On August 27, 2018, the Company received notification (the “Deficiency Letter”) from the NYSE American LLC (“NYSE American”) that the Company was not in compliance with certain NYSE American continued listing standards (the “Listing Standards”). | tv502010_8k.htm |
| 2018-08-17 | 8-K | 2018-08-14 | 5.07 Submission of Matters to a Vote of Security Holders | 5.07 BioPharmX Corporation (the “Company”) held its Annual Meeting of Stockholders on August 14, 2018 (the “Annual Meeting”). | bpmx-20180814x8k.htm |
| 2018-06-07 | 8-K | 2018-06-07 | 2.02 Results of Operations and Financial Condition | 2.02 On June 7, 2018, BioPharmX Corporation (the “Company”) issued a press release announcing its financial results and certain other information for the quarter ended April 30, 2018. | tv496025_8k.htm |
| 2018-04-26 | 8-K | 2018-04-26 | 2.02 Results of Operations and Financial Condition | 2.02 On April 26, 2018, BioPharmX Corporation (the “Company”) issued a press release announcing its financial results and certain other information for the quarter and fiscal year ended January 31, 2018. | tv492072_8k.htm |
| 2018-03-13 | 8-K | 2018-03-12 | 2.02 Results of Operations and Financial Condition; 8.01 Other Events | 8.01 On March 12, 2018, the Company presented its updated corporate presentation at the 30th Annual ROTH Conference. | bpmx-20180312x8k.htm |
| 2018-03-09 | 8-K | 2018-03-09 | 5.03 Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year | 5.03 On March 6, 2018, BioPharmX Corporation, a Delaware corporation (the “Company”), filed with the Secretary of State of the State of Delaware a Certificate of Elimination (the “Certificate of Elimination”), with respect to 8,485 shares of unissued Series A Convertible Preferred Stock, par value $0.001 per share (the “Series A Convertible Preferred Stock”). | bpmx-20180309x8k.htm |
| 2018-01-16 | 8-K | 2018-01-16 | 8.01 Other Events | 8.01 BioPharmX Corporation (the “Company”), announced today its unaudited stockholders’ deficit as of October 31, 2017 and its unaudited pro forma stockholders’ equity as of January 16, 2018, which incorporates the Company’s sale of common stock, pre-funded warrants and warrants, as previously reported on Form 8-K for November 24, 2017. | bpmx-20180116x8k.htm |