UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM
CURRENT REPORT
PURSUANT TO SECTION 13 OR 15(d)
OF THE SECURITIES EXCHANGE ACT OF 1934
Date of Report (Date of earliest event reported):
(Exact name of registrant as specified in its charter)
(State or other jurisdiction of | (Commission File Number) | (IRS Employer Identification No.) |
(Address of Principal Executive Offices) (Zip Code)
Registrant’s telephone number, including area code: (
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:
Securities registered pursuant to Section 12(b) of the Act:
Title of each class | Trading Symbol | Name of each exchange on which registered |
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 5.02. | Departure of Directors or CertainOfficers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers. |
On October 1, 2023, Ampio Pharmaceuticals, Inc. (the “Company”) and Michael A. Martino, the Company’s Chief Executive Officer, entered into an Amendment No. 2 to Employment Agreement. The Amendment No. 2 changes the term of the Employment Agreement from a term ending on November 22, 2023 to an indefinite term. No other changes were made in the terms of Mr. Martino’s employment as Chief Executive Officer. The Amendment No. 2 to Employment Agreement was approved by the Compensation Committee of the Board of Directors of the Company.
The foregoing description of the Amendment No. 2 does not purport to be complete and is qualified in its entirety by reference to the Amendment No. 2 to Employment Agreement, which is filed as Exhibit 10.1 hereto.
Item 9.01. | Financial Statements and Exhibits. |
Exhibit No. | Description |
10.1 | |
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.
| AMPIO PHARMACEUTICALS, INC. |
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Date: October 4, 2023 | By: | /s/ Michael A. Martino |
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| Name: Michael A. Martino |
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| Title: Chief Executive Officer |
AMENDMENT NO. 2 TO EMPLOYMENT AGREEMENT
This Amendment No. 2 to Employment Agreement (this “Amendment”) is made and entered into as of October 1, 2023 (the “Effective Date”) by and among Ampio Pharmaceuticals, Inc., a Delaware corporation (the “Company”) and Michael A. Martino (the “Employee”).
RECITALS
WHEREAS, the Company and the Employee have entered into that certain Employment Agreement dated November 22, 2021, as amended by that certain Amendment No. 1 to Employment Agreement dated August 30, 2022 (collectively, the “Agreement”); and
WHEREAS, the Company and the Employee desire to further amend the Agreement by this Amendment; and
WHEREAS, capitalized terms used and not defined in this Amendment have the meanings ascribed to them in the Agreement.
NOW, THEREFORE, in consideration of the foregoing premises and the mutual covenants and agreements contained herein, and for other good and valuable consideration, the receipt and sufficiency of which are hereby acknowledged, the parties hereto, intending to be legally bound hereby, agree as follows:
1. Employment. The Company agrees to employ Employee and the Employee agrees to accept such employment upon the terms and conditions set forth herein. The term of this Agreement (the “Term”) shall continue until the termination of Employee’s employment in accordance with the provisions of this Agreement. Notwithstanding the Term, Employee’s employment is “at will” and may be terminated by Employee or the Company at any time for any reason, subject in all respects to Section 7 and Section 8.
[The remainder of this page intentionally left blank]
IN WITNESS WHEREOF, this Amendment No. 2 to Employment Agreement has been duly executed and delivered as of the Effective Date.
| AMPIO PHARMACEUTICALS, INC. | |
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By: | /s/ David R. Stevens | |
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| David R. Stevens |
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| Chair of the Compensation Committee |
| | of the Board of Directors |
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| | /s/ Michael A. Martino |
| | Michael A. Martino |
1
Document and Entity Information |
Oct. 01, 2023 |
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Document and Entity Information [Abstract] | |
Document Type | 8-K |
Document Period End Date | Oct. 01, 2023 |
Entity File Number | 001-35182 |
Entity Registrant Name | AMPIO PHARMACEUTICALS, INC. |
Entity Incorporation, State or Country Code | DE |
Entity Tax Identification Number | 26-0179592 |
Entity Address, Address Line One | 9800 Mount Pyramid Court |
Entity Address, Adress Line Two | Suite 400 |
Entity Address, City or Town | Englewood |
Entity Address, State or Province | CO |
Entity Address, Postal Zip Code | 80112 |
City Area Code | 720 |
Local Phone Number | 437-6500 |
Written Communications | false |
Soliciting Material | false |
Pre-commencement Tender Offer | false |
Pre-commencement Issuer Tender Offer | false |
Title of 12(b) Security | Common Stock, $0.0001 par value |
Trading Symbol | AMPE |
Security Exchange Name | NYSEAMER |
Entity Emerging Growth Company | false |
Entity Central Index Key | 0001411906 |
Amendment Flag | false |
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