0001358403-16-000257.txt : 20160920 0001358403-16-000257.hdr.sgml : 20160920 20160920160619 ACCESSION NUMBER: 0001358403-16-000257 CONFORMED SUBMISSION TYPE: 8-K PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20160915 ITEM INFORMATION: Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant FILED AS OF DATE: 20160920 DATE AS OF CHANGE: 20160920 FILER: COMPANY DATA: COMPANY CONFORMED NAME: BELLICUM PHARMACEUTICALS, INC CENTRAL INDEX KEY: 0001358403 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 201450200 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 8-K SEC ACT: 1934 Act SEC FILE NUMBER: 001-36783 FILM NUMBER: 161893982 BUSINESS ADDRESS: STREET 1: 2130 WEST HOLCOMBE BOULEVARD STREET 2: SUITE 800 CITY: HOUSTON STATE: TX ZIP: 77030 BUSINESS PHONE: (832) 384-1100 MAIL ADDRESS: STREET 1: 2130 WEST HOLCOMBE BOULEVARD STREET 2: SUITE 800 CITY: HOUSTON STATE: TX ZIP: 77030 FORMER COMPANY: FORMER CONFORMED NAME: BELLICUM PHARMACEUTICALS INC DATE OF NAME CHANGE: 20060405 8-K 1 form8-kdirectfinancialobli.htm 8-K Document
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): September 15, 2016 
 
Bellicum Pharmaceuticals, Inc.
(Exact name of registrant as specified in its charter)
 
 
 
 
 
 
 
Delaware
 
001-36783
 
20-1450200
(State or other jurisdiction
of incorporation)
 
(Commission
File Number)
 
(IRS Employer
Identification No.)
 
 
 
 
2130 W. Holcombe Blvd., Ste. 800
Houston, TX
 
77030
(Address of principal executive offices)
 
(Zip Code)
Registrant’s telephone number, including area code: 832-384-1100 
Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligations 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))
 
  






Item 2.03 Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant.

On September 15, 2016, Bellicum Pharmaceuticals, Inc. (the “Company”) borrowed an additional $5.0 million under its Loan and Security Agreement (the “Loan Agreement”) with Hercules Capital, Inc., as agent and a lender, Hercules Technology II, L.P., as a lender and Hercules Technology III, L.P., as a lender.

As previously reported on the Company’s Current Report on Form 8-K filed with the Securities and Exchange Commission (the “SEC”) on March 11, 2016 (the “Prior 8-K”), the Company entered into the Loan Agreement on March 10, 2016 and initially borrowed $15.0 million. Among other things, under the Loan Agreement the Company had the option to borrow an additional $5.0 million at any time on or prior to September 15, 2016. The Company now has total outstanding principal under the Loan Agreement of approximately $20.0 million.

Additional detail regarding the Loan Agreement is contained in Item 1.01 of the Prior 8-K and is incorporated herein by reference. The descriptions of the Loan Agreement contained in the Prior 8-K and herein are qualified in their entirety by reference to the complete text of the Loan Agreement, including the exhibits thereto, a copy of which is filed as Exhibit 10.1 to the Company’s Quarterly Report on Form 10-Q filed with the SEC on May 9, 2016.
 





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.
 
 
 
 
 
 
 
 
 
 
 
 
Bellicum Pharmaceuticals, Inc.
 
 
 
 
Dated: September 20, 2016
 
 
 
By:
 
/s/ Alan A. Musso
 
 
 
 
 
 
Alan A. Musso
 
 
 
 
 
 
Chief Financial Officer and Treasurer
 
 
 
 
 
 
Principal Financial and Accounting Officer