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): October 2, 2017 (September 29, 2017)
KemPharm, Inc.
(Exact Name of Registrant as Specified in Its Charter)
| Delaware | 001-36913 | 20-5894398 | ||
| (State or Other Jurisdiction of Incorporation) |
(Commission File Number) | (IRS Employer Identification No.) | ||
| 2500 Crosspark Road, Suite E126 Coralville, IA |
52241 | |||
| (Address of Principal Executive Offices) | (Zip Code) | |||
Registrant’s Telephone Number, Including Area Code: (319) 665-2575
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 (see General Instructions A.2. below):
| ☐ | 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)) |
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 8.01. | Other Events |
As previously reported, on September 18, 2017, KemPharm, Inc., or the Company, received a letter from the Listing Qualifications Department of The NASDAQ Stock Market, LLC, or NASDAQ, notifying the Company that the listing of its common stock was not in compliance with NASDAQ Listing Rule 5450(b)(2)(A) for continued listing on the NASDAQ Global Market, as the market value of the Company’s listed securities was less than $50 million for the previous 30 consecutive business days.
On September 29, 2017, the Company received a letter from NASDAQ notifying the Company that it has regained compliance with NASDAQ Listing Rule 5450(b)(2)(A) because the market value of the Company’s listed securities was at least $50 million for the previous 10 consecutive business days.
SIGNATURES
Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned thereunto duly authorized.
| KemPharm, Inc. | ||||||
| Date: October 2, 2017 | By: | /s/ R. LaDuane Clifton | ||||
| R. LaDuane Clifton, CPA | ||||||
| Chief Financial Officer, Secretary and Treasurer | ||||||