UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM
CURRENT REPORT
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Item 3.01 Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing.
On October 25, 2022, Cocrystal Pharma, Inc. (the “Company”) received a letter from Nasdaq Stock Market LLC (“Nasdaq”) notifying the Company of its compliance with Nasdaq Listing Rule 5550(a)(2) (the “Rule”) by maintaining a minimum bid price for its common stock of at least $1.00 for the last 10 consecutive business days, from October 11, 2022 to October 24, 2022. Accordingly, the Company has regained compliance with the Rule and the matter is now closed.
Item 7.01 Regulation FD Disclosure
On October 26, 2022, the Company issued a press release announcing developments with respect to its orally administered, novel, broad-spectrum antiviral candidate CC-42344 for the treatment of pandemic and seasonal influenza A. A copy of the press release is being furnished as Exhibit 99.1.
On October 26, 2022, Dr. Sam Lee, President and Co-Interim Chief Executive Officer of the Company, will be making a presentation at the LD Micro Main Event XV Conference. A copy of the presentation is being furnished as Exhibit 99.2.
The information in this Item 7.01 (including Exhibits 99.1 and 99.2) shall not be deemed “filed” for purposes of Section 18 of the Securities Exchange Act of 1934 (the “Exchange Act”) or otherwise subject to the liabilities under such section, and shall not be deemed to be incorporated by reference into any filing of the Company under the Securities Act of 1933, or the Exchange Act.
Item 9.01 Financial Statements and Exhibits
(d) Exhibits
| Exhibit | Description | |
| 99.1 | Cocrystal Pharma, Inc. Press Release, dated October 26, 2022 | |
| 99.2 | Cocrystal Pharma, Inc. Corporate Presentation, dated October 26, 2022 | |
| 104 | Cover Page Interactive Data File (embedded within the Inline XBRL document) |
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 hereunto duly authorized.
| Cocrystal Pharma, Inc. | ||
| Date: October 26, 2022 | By: | /s/ James Martin |
| Name: | James Martin | |
| Title: | Chief Financial Officer and Co-Interim Chief Executive Officer | |