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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
 
September 6, 2023
Date of Report (Date of earliest event reported)
 
 
CervoMed Inc.
(Exact name of registrant as specified in its charter)
 
 
Delaware
  
001-24477
  
30-0645032
(State or other jurisdiction
of incorporation)
  
(Commission
File Number)
  
(I.R.S. Employer
Identification No.)
 
20 Park Plaza, Suite 424
Boston, Massachusetts
  
02216
(Address of principal executive offices)
  
(Zip Code)
 
Registrant’s telephone number, including area code: (617) 744-4400
 
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:
 
☐
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))
 
Title of each class
  
Trading
Symbol(s)
  
Name of each exchange
on which registered
Common Stock, $0.001 par value
  
CRVO
  
NASDAQ Capital Market
 
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
 
Press Release
 
On September 6, 2023, CervoMed Inc. (the “Company,” “we” or “us”) issued a press release announcing the publication online in Neurology®, the medical journal of the American Academy of Neurology, of additional pre-specified analyses of the Company’s AscenD-LB Phase 2a clinical trial showing an association between plasma phosphorylated tau at position 181 levels at study entry and patient's response to neflamapimod in the treatment of dementia with Lewy Bodies. A copy of the press release is attached hereto as Exhibit 99.1 and is incorporated herein by reference.
 
Corporate Presentation
 
A presentation containing certain information concerning the Company’s business, clinical studies, development plans, and related matters has been made available on the Company’s website, www.cervomed.com, under the heading, “Investors - Events and Presentations.” A copy of the presentation is also attached as Exhibit 99.2 to this Current Report on Form 8-K and is incorporated herein by reference. Representatives of the Company may use this presentation, in whole or in part, and possibly with non-material modifications, periodically in connection with conferences, meetings, and presentations to investors, analysts and others, including the H.C. Wainwright 25th Annual Global Investment Conference beginning September 11, 2023.
 
The information contained in the presentation is summary information that is intended to be considered in the context of the Company’s filings with the Securities and Exchange Commission (“SEC”) and other public announcements that it may make, by press release or otherwise, from time to time. The Company undertakes no duty or obligation to publicly update or revise the information contained in the presentation except as required by applicable law, although the Company may do so from time to time as its management believes is warranted. Any such updating may be made through the filing of other reports or documents with the SEC, through press releases, or through other public disclosure.
 
Item 9.01         Financial Statements and Exhibits
 
(d)         Exhibits
 
Exhibit No.
  
Description
99.1
  
Press Release, dated September 6, 2023
99.2
  
Corporate Presentation, dated September 6, 2023
104
  
Cover Page Interactive Data File (embedded within the Inline XBRL document).
 
 
 
 
SIGNATURES
 
Pursuant to the requirements of the Securities Exchange Act of 1934, as amended, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.
 
Date: September 6, 2023
CervoMed Inc.
 
By:         /s/ William Elder                     
Name:    William Elder
Title:       General Counsel
       
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