0001104659-24-026302.txt : 20240222 0001104659-24-026302.hdr.sgml : 20240222 20240222070017 ACCESSION NUMBER: 0001104659-24-026302 CONFORMED SUBMISSION TYPE: 8-K PUBLIC DOCUMENT COUNT: 14 CONFORMED PERIOD OF REPORT: 20240219 ITEM INFORMATION: Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers: Compensatory Arrangements of Certain Officers FILED AS OF DATE: 20240222 DATE AS OF CHANGE: 20240222 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Gain Therapeutics, Inc. CENTRAL INDEX KEY: 0001819411 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] ORGANIZATION NAME: 03 Life Sciences IRS NUMBER: 851726310 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 8-K SEC ACT: 1934 Act SEC FILE NUMBER: 001-40237 FILM NUMBER: 24662239 BUSINESS ADDRESS: STREET 1: 4800 HAMPDEN LANE STREET 2: SUITE 200 CITY: BETHESDA STATE: MD ZIP: 20814 BUSINESS PHONE: (301) 500-1556 MAIL ADDRESS: STREET 1: 4800 HAMPDEN LANE STREET 2: SUITE 200 CITY: BETHESDA STATE: MD ZIP: 20814 8-K 1 tm245020d2_8k.htm FORM 8-K
false 0001819411 0001819411 2024-02-19 2024-02-19 iso4217:USD xbrli:shares iso4217:USD xbrli:shares

 

 

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): February 19, 2024

     
GAIN THERAPEUTICS, INC.
(Exact name of registrant as specified in its charter)

 

Delaware   001-40237   85-1726310
(State or other jurisdiction
of incorporation)		   (Commission File Number)   (IRS Employer
Identification No.)

 

4800 Montgomery Lane, Suite 220

Bethesda, Maryland 20814

(Address of principal executive offices) (Zip Code)

  

(301) 500-1556

(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:

 

¨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))

 

Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (17 CFR §230.405) or Rule 12b-2 of the Securities Exchange Act of 1934 (17 CFR §240.12b-2).

 

Emerging growth company x

 

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. ¨

 

Securities registered pursuant to Section 12(b) of the Act:

 

Title of each class Trading Symbol(s) Name of each exchange on which registered
Common Stock, par value $0.0001 GANX The Nasdaq Stock Market LLC

 

 

 

 

 

Item 5.02. Departure of Directors or Principal Officers, Election of Directors, Appointment of Principal Officers

 

Resignation of Chief Financial Officer 

 

On February 19, 2024, Gain Therapeutics, Inc. (the “Company”) received notice of the resignation of C. Evan Ballantyne as the Company’s Chief Financial Officer, and all other positions held at the Company, to be effective March 1, 2024.

 

Appointment of Principal Financial Officer

 

On February 21, 2024, the Board of Directors of the Company appointed Gianluca Fuggetta, the Company’s current Senior Director, Finance & Corporate Reporting and Principal Accounting Officer, as the Company’s Vice President of Finance and to also serve as the Company’s  Principal Financial Officer, to be effective March 1, 2024. The Company has initiated a search to identify its next Chief Financial Officer.

 

Mr. Fuggetta, age 35,  has served as the Company’s Senior Director and Principal Accounting Officer since January 2023 and served as the Company’s Finance Director from July 2022 to December 2022. Prior to joining the Company, Mr. Fuggetta held various positions of increasing responsibility at PricewaterhouseCoopers from September 2013 until June 2022, most recently holding the position of Assurance Manager. He earned a B.S. in Business Administration and Management at the Università Cattolica del Sacro Cuore and a Master’s in Accounting, Auditing and Control at the Università Bocconi.

 

There is no arrangement or understanding between Mr. Fuggetta and any other person pursuant to which Mr. Fuggetta has been appointed as Principal Financial Officer, and there is no family relationship between Mr. Fuggetta and any of the Company’s directors or executive officers. Mr. Fuggetta has no interest in any transaction required to be disclosed pursuant to Item 404(a) of Regulation S-K.

 

2

 

 

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.

 

  GAIN THERAPEUTICS, INC.
     
Dated: February 22, 2024 By: /s/ Matthias Alder
  Name: Matthias Alder
  Title: Chief Executive Officer

 

3

 

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