0001144204-13-051693.txt : 20130920 0001144204-13-051693.hdr.sgml : 20130920 20130920112759 ACCESSION NUMBER: 0001144204-13-051693 CONFORMED SUBMISSION TYPE: 8-K PUBLIC DOCUMENT COUNT: 3 CONFORMED PERIOD OF REPORT: 20130919 ITEM INFORMATION: Other Events ITEM INFORMATION: Financial Statements and Exhibits FILED AS OF DATE: 20130920 DATE AS OF CHANGE: 20130920 FILER: COMPANY DATA: COMPANY CONFORMED NAME: BIO-PATH HOLDINGS INC CENTRAL INDEX KEY: 0001133818 STANDARD INDUSTRIAL CLASSIFICATION: RETAIL-MISCELLANEOUS SHOPPING GOODS STORES [5940] IRS NUMBER: 870652870 STATE OF INCORPORATION: UT FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 8-K SEC ACT: 1934 Act SEC FILE NUMBER: 000-53404 FILM NUMBER: 131107115 BUSINESS ADDRESS: STREET 1: 2626 SOUTH LOOP, SUITE 180 CITY: HOUSTON STATE: TX ZIP: 77054 BUSINESS PHONE: 8329716616 MAIL ADDRESS: STREET 1: 2626 SOUTH LOOP, SUITE 180 CITY: HOUSTON STATE: TX ZIP: 77054 FORMER COMPANY: FORMER CONFORMED NAME: OGDEN GOLF CO CORP DATE OF NAME CHANGE: 20010205 8-K 1 v355470_8k.htm 8-K

 

UNITED STATES

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):   September 19, 2013

 

BIO-PATH HOLDINGS, INC.

(Exact name of registrant as specified in its charter)

 

 

Utah 000-53404 87-0652870

(State or other jurisdiction

of incorporation)

 

(Commission File Number) (IRS Employer Identification No.)

 

2626 South Loop, Suite 180, Houston, Texas 77054
(Address of principal executive offices) (Zip Code)

 

(832) 971-6616

(Registrant’s Telephone Number, Including Area Code)

  

(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 Instruction 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))

 

 
 

 

Item 8.01 Other Events.

 

On September 19, 2013, Bio-Path Holdings, Inc. issued a press release titled “Bio-Path Holdings, Inc. Retains Investment Banking Firm Maxim Group LLC.”

 

A copy of such press release is attached hereto as Exhibit 99.1 and is incorporated herein by reference.

 

Item 9.01 Financial Statements and Exhibits.

 

(d) Exhibits.

 

Exhibit  
Number Description
   
99.1 Press Release dated September 19, 2013  

 

 
 

 

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.

 

 

  BIO-PATH HOLDINGS, Inc.
     
Dated:  September 19, 2013 By: /s/ Peter H. Nielsen
    Peter H. Nielsen
    President and Chief Executive Officer

 
 

 

EXHIBIT INDEX

 

Exhibit  
Number Description
   
99.1 Press Release dated September 19, 2013  

 

 

 

EX-99.1 2 v355470_ex99-1.htm EXHIBIT 99.1

 

Exhibit 99.1

 

 

Bio-Path Holdings, Inc. Retains Investment Banking Firm Maxim Group LLC

 

HOUSTON & NEW YORK, September 19, 2013 – Bio-Path Holdings, Inc., (OTCQX: BPTH) (“Bio-Path”), a biotechnology company developing a liposomal delivery technology for nucleic acid cancer drugs, today announced that it has retained Maxim Group LLC, as a financial advisor. Maxim will focus on assisting Bio-Path in its strategies for maximizing shareholder value through its full scope of investment banking services.

"We are excited to have such a successful and experienced investment banking firm like Maxim Group to help guide the company into its next phase," said Peter Nielsen, President and Chief Executive Officer of Bio-Path.

 

"We look forward to working with the Bio-Path team as it continues to make progress with its proprietary liposomal delivery technology, which has shown encouraging signals in blood cancer," said Jim Alfaro, Managing Director, Investment Banking for Maxim Group LLC.

 

About Maxim Group LLC

 

Maxim Group LLC is a full-service investment banking firm headquartered in New York. Maxim provides a full array of financial services including investment banking, equity research private wealth management, and global institutional equity, fixed income and derivatives sales & trading. The investment banking group focuses on middle market and emerging growth companies within the healthcare, technology, energy, shipping, retail, and business & financial services sectors. Maxim's institutional coverage spans North and South America, Europe and Asia. Maxim Group LLC is registered as a broker-dealer with the U.S. Securities and Exchange Commission and is a member of the following: Financial Industry Regulatory Authority (FINRA), Municipal Securities Rulemaking Board (MSRB), Securities Insurance Protection Corporation (SIPC), NASDAQ Stock Market and the NYSE Arca, Inc. To learn more about Maxim Group, visit www.maximgrp.com.

 

About Bio-Path Holdings, Inc.

 

Bio-Path is a biotechnology company focused on developing therapeutic products utilizing its proprietary liposomal delivery technology designed to systemically distribute nucleic acid drugs throughout the human body with a simple intravenous transfusion. Bio-Path's lead product candidate, Liposomal Grb-2, is in a Phase I study for blood cancers and in preclinical studies for triple negative and inflammatory breast cancers. Bio-Path's second drug candidate, also a liposomal antisense drug, is ready for the clinic where it is expected to be evaluated in lymphoma and solid tumors.

 

Any statements that are not historical facts contained in this release are forward-looking statements that involve risks and uncertainties, including Bio-Path's ability to raise needed additional capital on a timely basis in order for it to continue its operations, have success in the clinical development of its technologies, the timing of enrollment and release of data in such clinical studies and the accuracy of such data, limited patient populations of early stage clinical studies and the possibility that results from later stage clinical trials with much larger patient populations may not be consistent with earlier stage clinical trials, and such other risks which are identified in the Company's most recent Annual Report on Form 10-K and in any subsequent quarterly reports on Form 10-Q. These documents are available on request from Bio-Path Holdings or at www.sec.gov. Bio-Path disclaims any intention or obligation to update or revise any forward-looking statements, whether as a result of new information, future events or otherwise.

 

For more information, please visit the Company's website at http://www.biopathholdings.com.

  

 
 

  

Contact Information:

 

Peter Nielsen

President & Chief Executive Officer

Tel 832.971.6616

 

Rhonda Chiger (investors)

Rx Communications Group, LLC

917-322-2569

rchiger@rxir.com

  

 

 

 

 

 

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