-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, DXaosC4lLRmwgFFjG35r27LMA8bPR9N6liRvVywOpNSCXDMi8U6Ur3Dy4c9bCocT tWKVCaDrY5pWBU2DuYaGWQ== 0000929624-97-000453.txt : 19970423 0000929624-97-000453.hdr.sgml : 19970423 ACCESSION NUMBER: 0000929624-97-000453 CONFORMED SUBMISSION TYPE: 8-K PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 19970407 ITEM INFORMATION: Other events ITEM INFORMATION: Financial statements and exhibits FILED AS OF DATE: 19970421 SROS: NASD FILER: COMPANY DATA: COMPANY CONFORMED NAME: OXIS INTERNATIONAL INC CENTRAL INDEX KEY: 0000109657 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 941620407 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 8-K SEC ACT: 1934 Act SEC FILE NUMBER: 000-08092 FILM NUMBER: 97583792 BUSINESS ADDRESS: STREET 1: 6040 N CUTTER CIRCLE STE 317 CITY: PORTLAND STATE: OR ZIP: 97217 BUSINESS PHONE: 5032833911 MAIL ADDRESS: STREET 1: 6040 N CUTTER CIRCLE STE 317 CITY: PORTLAND STATE: OR ZIP: 97217 FORMER COMPANY: FORMER CONFORMED NAME: DDI PHARMACEUTICALS INC DATE OF NAME CHANGE: 19920703 FORMER COMPANY: FORMER CONFORMED NAME: DIAGNOSTIC DATA INC /DE/ DATE OF NAME CHANGE: 19850312 8-K 1 FORM 8-K SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 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) April 7, 1997 ------------------ OXIS INTERNATIONAL, INC. ---------------------------------------------------- (Exact Name of Registrant as Specified in Charter) DELAWARE 0-8092 94-1620407 - ------------------ -------------------------- -------------------------- (STATE OR OTHER (COMMISSION FILE NUMBER) (IRS EMPLOYER JURISDICTION OF IDENTIFICATION NUMBER) INCORPORATION) 6040 N. Cutter Circle, Suite 317, Portland, OR 97217 - -------------------------------------------------------------------------------- (ADDRESS OF PRINCIPAL EXECUTIVE OFFICES) (ZIP CODE) Registrant's telephone number, including area code. (503) 283-3911 ---------------- - -------------------------------------------------------------------------------- (FORMER NAME OR FORMER ADDRESS, IF CHANGED SINCE LAST REPORT) Exhibit Index at page: 5 --- ITEM 5. OTHER EVENTS ------------ (a) On April 7, 1997, OXIS International, Inc. (the "Company") announced that it had received approval for the admission of its Common Stock for listing on the newly opened French stock market, Le Nouveau Marche. Upon its admission, the Company will be the first NASDAQ listed U.S. company quoted on Le Nouveau Marche, a Paris based stock exchange specifically designed to meet the needs of emerging growth companies. The listing is to occur in connection with an underwritten public offering of the Company's Common Stock in France, anticipated to take place in approximately the next thirty days. All of the securities mentioned in this report have not been registered under the Securities Act of 1933, as amended. The foregoing securities may not be offered or sold in the United States. A copy of the press release with respect to the listing of the Company's Common Stock on Le Nouveau Marche is attached as an exhibit to this report. Certain of the statements made in this report and in the attached press release are forward looking statements that are based on current expectations which involve a number of uncertainties, including the Company's ability to enter Le Nouveau Marche stock market and consummate the French public offering. The events described herein may not occur in a timely manner, or at all. Accordingly, the Company's future activities may differ materially from those projected in the forward-looking statements. -2- ITEM 7. FINANCIAL STATEMENTS, PRO FORMA FINANCIAL INFORMATION AND EXHIBITS ------------------------------------------------------------------ (c) Exhibits 99.1 Press Release, dated April 7, 1997 -3- 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. OXIS INTERNATIONAL, INC. (Registrant) Dated: April 17, 1997 By: /s/Jon S. Pitcher -------------------------------- Name: Jon S. Pitcher -------------------------------- Title: Chief Financial Officer and -------------------------------- Vice President -------------------------------- -4- EXHIBIT INDEX ------------- Exhibit No. Description ----------- ----------- 99.1 Press Release dated April 7, 1997. -5- EX-99.1 2 PRESS RELEASE DATED APRIL 7, 1997 Exhibit 99.1 OXIS INTERNATIONAL ANNOUNCES APPROVAL OF ADMISSION FOR LISTING ON FRENCH STOCK MARKET, LE NOUVEAU MARCHE April 7, 1997 - OXIS International, Inc. announced today that it has received approval of the admission of its common stock for listing on the French Stock Market, Le Nouveau Marche. Upon its admission, OXIS will be the first NASDAQ listed U.S. company quoted on Le Nouveau Marche, a Paris-based stock exchange specifically designed to meet the needs of emerging growth companies. The listing is to occur in connection with an underwritten public offering of OXIS common stock in France, anticipated to take place over approximately the next 30 days. OXIS is headquartered in Portland Oregon, with a French subsidiary, OXIS International, S.A., located outside of Paris. "This offering represents a major milestone for the Company," stated Chairman, Ray R. Rogers. "The listing and offering give us access to the European capital markets which have shown increasing interest in growth-oriented high technology companies, including drug discovery and development companies such as OXIS." The Company also announced that it has successfully completed a private placement of debt securities with several of its current investors. This bridge financing is intended to support the Company's operations, pending closure of the secondary offering in France. OXIS International, Inc. is a drug discovery and diagnostics company focused on the development of novel therapeutic molecules and supportive technologies to treat diseases associated with damage from free radicals and reactive oxygen species (ROS), i.e., diseases of oxidative stress. All securities mentioned in this press release have not been, and will not be, registered under the Securities Act of 1933, as amended. The foregoing securities may not be offered and sold in the United States, absent registration under the Securities Act or an applicable exemption from such registration requirements. Certain of the statements contained in this press release are forward-looking statements that are based on current expectations which involve a number of uncertainties, including the Company's ability to enter the Le Nouveau Marche stock market and consummate the French public offering. The events described herein may not occur in a timely manner, or at all. Accordingly, the Company's future activities may differ materially from those projected in the forward- looking statements. Contact: OXIS International, Inc. Anna D. Barker, Ph.D. (503) 283-3911 -----END PRIVACY-ENHANCED MESSAGE-----