UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM
(Amendment No. 1)
ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 | |
| For
the fiscal year ended |
or
| TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 | |
| For the transition period from ___________ to ___________ |
Commission
file number
(Exact name of registrant as specified in its charter)
State or Other Jurisdiction of Incorporation or Organization |
(I.R.S. Employer Identification No.) |
(Address of Principal Executive Offices) (Zip Code)
Registrant’s
telephone number, including area code:
Securities registered pursuant to Section 12(b) of the Act: None
| Title of each class | Trading Symbol | Name of each exchange on which registered | ||
| - | - | - |
Securities registered pursuant to Section 12(g) of the Act:
Common stock, par value $0.006 per share
Indicate
by check mark if the registrant is a well-known seasoned issuer, as defined in Rule 405 of the Securities Act. Yes ☐
Indicate
by check mark if the registrant is not required to file reports pursuant to Section 13 or 15(d) of the Act. Yes ☐
Indicate
by check mark whether the registrant (1) has filed all reports required to be filed by Section 13 or 15(d) of the Securities Exchange
Act of 1934 during the preceding 12 months (or for such shorter period that the registrant was required to file such reports), and (2)
has been subject to such filing requirements for the past 90 days.
Indicate
by check mark whether the registrant has submitted electronically every Interactive Data File required to be submitted pursuant to Rule
405 of Regulation S-T (§ 232.405 of this chapter) during the preceding 12 months (or for such shorter period that the registrant
was required to submit such files).
Indicate by check mark whether the registrant is a large accelerated filer, an accelerated filer, a non-accelerated filer, smaller reporting company, or an emerging growth company. See the definitions of “large accelerated filer,” “accelerated filer,” “smaller reporting company,” and “emerging growth company” in Rule 12b-2 of the Exchange Act.
| Large accelerated filer ☐ | Accelerated filer ☐ | ||
| Smaller
reporting company |
|||
| 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. ☐
Indicate
by check mark whether the registrant has filed a report on and attestation to its management’s assessment of the effectiveness
of its internal control over financial reporting under Section 404(b) of the Sarbanes-Oxley Act (15 U.S.C. 7262(b)) by the registered
public accounting firm that prepared or issued its audit report.
If securities are registered pursuant to Section 12(b) of the Act, indicate by check mark whether the financial statements of the registrant included in the filing reflect the correction of an error to previously issued financial statements. ☐
Indicate by check mark whether any of those error corrections are restatements that required a recovery analysis of incentive-based compensation received by any of the registrant’s executive officers during the relevant recovery period pursuant to §240.10D-1(b). ☐
Indicate
by check mark whether the registrant is a shell company (as defined in Rule 12b-2 of the Act). Yes ☐
Indicate by check mark whether the registrant is a shell company (as defined in Rule 12b-2 of the Exchange Act). Yes ☐ No ☒
The
aggregate market value of the common stock held by non-affiliates of the registrant as of June 30, 2022, was approximately $
The registrant had shares of common stock (including shares not yet issued which are issuable), par value $0.006 per share, outstanding as of April 28, 2023.
| Audit Firm ID | Auditor Name | Auditor Location | ||
EXPLANATORY NOTE
In addition, the Exhibit Index in Item 15 of Part IV of the 2022 Form 10-K is hereby amended and restated in its entirety and currently dated certifications required under Section 302 of the Sarbanes-Oxley Act of 2002 are filed as exhibits to this Amendment. Because no financial statements are contained within this Amendment, we are not filing currently dated certifications pursuant to Section 906 of the Sarbanes-Oxley Act of 2002.
Except as described above, no other changes have been made to the 2022 Form 10-K. The 2022 Form 10-K continues to speak as of the date of the 2022 Form 10-K, and we have not updated the disclosures contained therein to reflect any events which occurred at a date subsequent to the filing of the 2022 Form 10-K other than as expressly indicated in this Amendment.
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PART III
ITEM 10. DIRECTORS, EXECUTIVE OFFICERS AND CORPORATE GOVERNANCE
As of April 28, 2023, the number of members of our Board of Directors of the Company (the “Board”) is fixed at four. The members of our Board as of such date are as follows:
| Name | Age | Position | Director Since | |||
| Zahed Subhan | 65 | Chief Executive Officer and Chairman of the Board | November 2021 | |||
| Andrew Kucharchuk | 43 | Vice Chairman of the Board; Acting Chief Financial Officer; Chief Business Officer; Chief Operating Officer | July 2020 | |||
| Charles Rice | 58 | Director | July 2020 | |||
| Trond Waerness | 56 | Director | April 2021 |
The biographies of each director below contain information regarding the person’s service as a director, business experience, director positions held currently or at any time during the last five years, and information regarding involvement in certain legal or administrative proceedings, if applicable.
Andrew Kucharchuk – Mr, Kucharchuk has served as a director since July 7, 2022, and served as Chief Executive Officer of the Company from July 7, 2020 to September 30, 2022. He has served as Chief Operating Officer since September 30, 2022. He has also served on the Board of Directors of Theralink Technologies, Inc. (“Theralink”) since 2020 after previously serving in such role from September 2015 to March 2017. Previously, he served as President and Chief Financial Officer of Theralink from February 2016 until June 2020, and as Chief Executive Officer of Theralink from November 2019 until June 2020. Mr. Kucharchuk has also served as Acting Chief Financial Officer of Theralink from June 2020 to September 2020.
We believe that Mr. Kucharchuk’s prior executive experience in the pharmaceutical industry, his continued tenure with the Company, as well as his financial background, make him a valuable asset to our Board.
Charles L. Rice – Mr. Rice has served as a director since July 10, 2020. He also served as a member of the Board of Directors of Theralink from November 2015 until June 2020. He was also the President of Entergy New Orleans, Inc. (“Entergy”), an electric and gas utility company, where he served from 2010 to January of 2022.
We believe that Mr. Rice’s prior management and governance experience makes him a valuable asset to our Board.
Trond K. Waerness – Mr. Waerness served as a director of the Company from April 2021 until his resignation on November 3, 2022. He was subsequently reappointed to the Board. Since 2016, Mr. Waerness has founded and co-founded three pharmaceutical services companies including Atna Consulting Services where he has served as President since June 2017.
We believe that Mr. Waerness’ experience in various roles of pharmaceutical commercialization makes him a valuable asset to our Board.
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Zahed Subhan – Mr. Subhan has served as a director of the Company since November 2021. He was appointed as the Company’s Chief Scientific Officer on June 17, 2022, Chairman of the Board on September 8, 2022, and Chief Executive Officer on September 30, 2022. He has served as the Chief Executive Officer and director of Aestas Pharma Inc. since 2015. Mr. Subhan has also been a director of Eppin Pharma Inc. (“Eppin”) since 2013, and the Chief Executive Officer of Eppin from 2013 to 2018.
We believe that Mr. Subhan’s extensive experience in the pharmaceutical and biotechnology industries makes him a valuable asset to our Board.
Executive Officers of Our Company
Biographical information concerning Zahed Subhan, Chief Executive Officer and Chairman of the Board and Andrew Kucharchuk, our Chief Operating Officer, who also serves as Vice Chairman of the Board, is set forth above. No other executive officers are employed or are contracted by the Company.
Family Relationships
There are no familial relationships between any of our executive officers and directors.
Audit Committee
Due to our financial and operational condition, and the size of our Board, the entire Board functions as the audit committee. The Board authorized and approved the engagement of the independent registered public accounting firm, reviewed the results and scope of the audit and other services provided by the independent registered public accounting firm, reviewed our financial statements, reviewed and evaluated our internal control functions, approved or established pre-approval policies and procedures for all professional audit and permissible non-audit services provided by the independent registered public accounting firm and reviewed and approved any proposed related party transactions.
The Board has determined that the Company does not have an audit committee financial expert, as that term is defined in Item 407(d) of Regulation S-K, due to its lack of a separate audit committee, small size and limited resources.
Code of Ethics
We have adopted a Code of Business Conduct and Ethics that applies to all of our employees, including our executive officers, and to members of our Board. Our Code of Business Conduct and Ethics is filed as Exhibit 10.18 to this Amendment. Printed copies are available upon request without charge by contacting us at our corporate headquarters at 8000 Innovation Parkway, Baton Rouge, LA 70820 Attention: Corporate Secretary. Any amendment to or waiver of the Code of Business Conduct and Ethics will be disclosed on our website promptly following the date of such amendment or waiver.
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Delinquent Section 16(a) Reports
Section 16(a) of the Exchange Act requires our directors, executive officers, and persons who beneficially own more than 10% of our common stock to file initial reports of ownership and changes in ownership of our common stock and other equity securities with the SEC. These individuals are required by the regulations of the SEC to furnish us with copies of all Section 16(a) forms they file. Based solely on a review of the copies of the forms furnished to us, and written representations from reporting persons, we believe that all filing requirements applicable to our officers, directors and 10% beneficial owners were complied with during the year ended December 31, 2022. None of our officers or directors are owners of our common stock or other equity securities.
ITEM 11. EXECUTIVE COMPENSATION
Summary Compensation Table
The following table sets forth information regarding compensation paid, distributed or accrued by us during for the years ended December 31, 2022 and 2021 by our principal executive officer our only highly compensated executive officer who served during 2022 and 2021 (“Named Executive Officers”).
Name and Principal Position | Year | Salary ($) | Bonus | Total ($) | ||||||||||||
| Zahed Subhan(1) | 2022 | $ | 150,000 | - | $ | 150,000 | ||||||||||
| Chief Executive Office | ||||||||||||||||
| Andrew Kucharchuk(2) | 2022 | $ | 250,000 | $ | 35,000 | 285,000 | ||||||||||
| Chief Business Officer | 2021 | 186,000 | - | 186,000 | ||||||||||||
| (1) | Mr. Subhan served as our Chief Scientific Officer from June 17, 2022 to September 30, 2022 when he was appointed as Chief Executive Officer of the Company. | |
| (2) | Mr. Kucharchuk served as our Chief Executive Officer from July 7, 2020 to September 30, 2022 when he was appointed as Chief Business Officer of the Company. |
Zahed Subhan’s Employment Agreement
Pursuant to the amendment to the Melior Agreement described above, the Company was required to hire a Chief Scientific Officer by June 16, 2022. On June 17, 2022, the Board approved and authorized the Company’s hiring of Zahed Subhan, a director of the Company, as the Company’s Chief Scientific Officer. In connection with his appointment, the Company entered into an Employment Agreement with Mr. Subhan under which Mr. Subhan is entitled to a base salary of $300,000 and will also be eligible to receive an annual incentive bonus if certain performance milestones and criteria mutually agreed by Mr. Subhan and the Board are met. The Employment Agreement provides that Mr. Subhan’s employment is at will, but if his employment is terminated without cause by the Company or for good reason by Mr. Subhan, Mr. Subhan will be entitled to severance payments as follows: (a) if the termination is within the first six months of his employment, an amount equal to three-fourths of his annual base salary, or nine months’ severance, and (b) if such termination is after the first six months of his employment, an amount equal to his annual base salary, or twelve months’ severance; plus the continuation of certain benefits for the applicable severance period. The term “cause” is defined as gross negligence, willful misconduct or embezzlement in the course of Mr. Subhan’s employment or service, and the phrase “good reason” is defined as (a) a material reduction or diminution in position, duties or responsibilities, (b) a material reduction in base salary or benefits, (c) the failure of any successor entity to assume and honor the material terms and conditions of the Employment Agreement, or (d) the Company violates a material term or condition of the Employment Agreement.
Andrew Kucharchuk’s Employment Agreement
On July 7, 2021, Mr. Kucharchuk entered into an Employment Agreement, pursuant to which we agreed to pay to Mr. Kucharchuk, a base salary of $250,000 per year for his services as Chief Executive Officer. Under his Employment Agreement Mr. Kucharchuk is also eligible to receive an annual bonus during the term of the agreement with a target amount of up to 20% of his base salary, or up to $50,000, based on performance criteria mutually determined in good faith by the Board and Mr. Kucharchuk. The Employment Agreement is for an initial term of two years, subject to an automatic renewal for successive one-year terms unless prior notice of non-renewal is given by either party.
Under his Employment Agreement, Mr. Kucharchuk is entitled to severance payments if his employment terminated under certain circumstances.
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In the event of termination by the Company without “cause,” or resignation for “good reason,” Mr. Kucharchuk is entitled to receive six months base salary and continued benefits for six months.
Generally, “good reason” is defined as (i) a material diminution in Mr. Kucharchuk’s authority, duties or responsibilities due to no fault of his own, or any other action or inaction that constitutes a material breach by the Company under the Employment Agreement; or (ii) generally a relocation of the principal place of employment to a location outside of a 50-mile radius of the Company’s current headquarters in Baton Rouge, Louisiana.
Under the terms of the Employment Agreements, Mr. Kucharchuk is subject to non-competition and non-solicitation covenants during the term of his employment and for one year following termination of employment with the Company. His Employment Agreement also contains customary confidentiality and non-disparagement covenants.
Outstanding Equity Awards at Fiscal Year-end Table
There were no outstanding equity awards held by our Named Executive Officers as of December 31, 2022.
Director Compensation
The following table sets forth information concerning compensation for services rendered by our independent directors for the year ended December 31, 2022. However, for information about the compensation paid to those of our directors who are also Named Executive Officers, see the Summary Compensation Table above.
| Name | Fees Earned or Paid in Cash ($) | Total ($) | ||||||
| Charles Rice | $ | 24,000 | $ | 24,000 | ||||
| Trond Waerness | 27,250 | 27,250 | ||||||
| Zahed Subhan (1) | 25,002 | 25,002 | ||||||
| Total: | $ | 76,252 | $ | 76,252 | ||||
| (1) | Mr. Zahed Subhan’s fees earned for 2022 were pursuant to an agreement dated November 1, 2021, between Mr. Subhan and the Company which provides for payment of $4,167 per month for services rendered as a member of our Board of Directors and for scientific consulting. On June 17, 2022, Mr. Subhan was appointed at the Company’s Chief Scientific Officer and was appointed as Chief Executive Officer on September 30, 2022. |
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Director Compensation Program
Our director compensation program generally entails paying our non-employee directors cash fees for their services. With the exception of Mr. Subhan, who prior to his employment on June 17, 2022, was entitled to receive monthly payments of $4,167, or $50,000 per year for services rendered as a member of the Board and for scientific consulting, and Mr. Waerness, who until September 8, 2022, was entitled to an annual cash payment of $30,000 (payable quarterly) for his services as Chairman of the Board, our compensation program for directors for 2022 consisted of an annual cash payment of $24,000 per year, payable quarterly.
ITEM 12. SECURITY OWNERSHIP OF CERTAIN BENEFICIAL OWNERS AND MANAGEMENT AND RELATED STOCKHOLDER MATTERS
The following table sets forth certain information regarding the beneficial ownership of our common stock as of April 28, 2023, by: (i) each current director of our Company; (ii) each executive officer (named executive officer); (iii) all current executive officers and directors of our Company as a group; and (iv) all those known by us to be beneficial owners of more than 5% of our common stock.
Percentage of beneficial ownership is calculated based on 3,214,454 shares of common stock outstanding as of April 28, 2023. Beneficial ownership is determined in accordance with the rules of the SEC which generally attribute beneficial ownership of securities to persons who possess sole or shared voting power or investment power with respect to those securities and includes shares of our common stock issuable pursuant to the exercise of stock options, warrants, preferred stock or other securities that are immediately exercisable or convertible or exercisable or convertible within 60 days of April 28, 2023.
To calculate a stockholder’s percentage of beneficial ownership of common stock, we must include in the numerator and denominator those shares of common stock underlying options, warrants and convertible securities that such stockholder is considered to beneficially own. Shares of common stock underlying options, warrants and convertible securities held by other stockholders, however, are disregarded in this calculation. Therefore, the denominator used in calculating beneficial ownership of each of the stockholders may be different.
To our knowledge, except as indicated in the footnotes to the following table, and subject to state community property laws where applicable, all beneficial owners named in the following table have sole voting and investment power with respect to all shares shown as beneficially owned by them. Unless otherwise indicated, the business address of each person in the table below is c/o Adhera Therapeutics, Inc., 8000 Innovation Parkway, Baton Rouge, LA 70820.
| Beneficial Owner | Amount of Common
Stock Nature
of Beneficial | Percent
of Class (1) | Percent
of Class after the Offering (1) | |||||||||
| Officers and Directors: | ||||||||||||
| Andrew Kucharchuk | - | * | % | |||||||||
| Charles Rice | - | * | % | |||||||||
| Trond Waerness | - | * | % | |||||||||
| Zahed Subhan | - | * | % | |||||||||
| All officers and directors as a group (4 persons) | * | |||||||||||
| 5% Stockholders: | ||||||||||||
| Vuong Trieu, Ph.D. (2) | 589,736 | 15.50 | % | % | ||||||||
| Raymond Debane. (3) | 310,262 | 8.80 | % | % | ||||||||
| ELI Properties Trust. (4) | 272,762 | 7.82 | % | % | ||||||||
| Steven Newby. (5) | 233,445 | 7.10 | % | |||||||||
* Less than 1%.
| (1) | Applicable percentages are based on 3,214,454 shares of common stock outstanding as of April 30, 2023. Beneficial ownership is determined under the rules of the SEC and generally includes voting or investment power with respect to securities. A person is deemed to be the beneficial owner of securities that can be acquired by such person within 60 days after the date of determination, whether upon the exercise of options, warrants or conversion of notes. Unless otherwise indicated in the footnotes to this table, we believe that each of the stockholders named in the table has sole voting and investment power with respect to the shares of common stock indicated as beneficially owned by them. |
| (2) | Dr. Trieu previously served as an executive officer and as a director of our company. Includes 130,922 shares of common stock and exercisable warrants to purchase 56,775 shares of common stock held by Dr. Trieu. Also includes 115,618 shares held by Autotelic LLC, of which entity Dr. Trieu serves as an executive officer, and 4,311 shares held by LipoMedics Inc., of which entity Dr. Trieu serves as Chairman of the Board and as an executive officer. Also includes the following shares held by Autotelic Inc., of which entity Dr. Trieu serves as Chairman of the Board: (i) 146,764 shares of common stock; (ii) presently exercisable warrants to purchase 135,349 shares of common stock. Information based on a Schedule 13D/A filed with the SEC on April 27, 2018. |
| (3) | Includes 143,211 shares of common stock, 150,000 warrants to purchase commons stock, 17,051 shares issuable upon the conversion of Series E Preferred Stock and does not include 110,721 shares issuable upon the conversion of outstanding Series E Preferred Stock including accrued dividends as of April 28, 2023, as a result of a 4.99% blocker. |
| (4) | Includes 143,211 shares of common stock, 112,500 warrants to purchase commons stock, 17,051 shares issuable upon the conversion of Series E Preferred Stock and does not include 41,803 shares issuable upon the conversion of outstanding Series E Preferred Stock including accrued dividends as of April 28, 2023 as a result of a 4.99% blocker. |
| (5) | Includes 158,445 shares of common stock and 75,000 warrants currently exercisable for common stock. |
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Equity Compensation Plan Information
The following table provides aggregate information as of the end of the year ended December 31, 2022, with respect to all of the compensation plans under which our common stock is authorized for issuance, including our 2014 Long-Term Incentive Plan and our 2018 Long-Term Incentive Plan:
| Number of Securities to be Issued Upon Exercise of Outstanding Options, Warrants and Rights | Weighted- Average Exercise Price of Outstanding Options, Warrants, and Rights | Number of Securities Remaining Available for Future Issuance Under Equity Compensation Plans (Excluding Securities Reflected in Column(a)) (c) | ||||||||||
| Equity compensation plans approved by security holders | - | $ | - | 446,500 | ||||||||
| Equity compensation plans not approved by security holders (1) | 19,000 | $ | 19.60 | - | ||||||||
| Total | 19,000 | $ | 19.60 | 446,500 | ||||||||
| (1) | Consists of stock options grant to non-employees during the year ended 2018. |
ITEM 13. CERTAIN RELATIONSHIPS AND RELATED TRANSACTIONS, AND DIRECTOR INDEPENDENCE
Approval for Related Party Transactions
It is our practice and policy to comply with all applicable laws, rules and regulations regarding related-person transactions. Our Code of Business Conduct and Ethics requires that all employees, including officers and directors, disclose to the CEO the nature of any company business that is conducted with any related party of such employee, officer or director (including any immediate family member of such employee, officer or director, and any entity owned or controlled by such persons). If the transaction involves an officer or director of our company, the CEO must bring the transaction to the attention of the Board, which must review and approve the transaction in writing in advance. In reviewing such transactions, the Board considers the relevant available facts and circumstances.
Related Party Transactions
There have been no related party transactions since January 1, 2021, in which the Company was a participant and in which any director or executive officer of the Company, any known 5% or greater stockholder of the Company or any immediate family member of any of the foregoing persons, had a direct or indirect material interest as defined in Item 404(a) of Regulation S-K. As permitted by the SEC rules, discussion of employment relationships or transactions involving the Company’s executive officers and directors, and compensation solely resulting from such employment relationships or transactions, or service as a director of the Company, as the case may be, has been omitted to the extent disclosed in the Executive Compensation or the Director Compensation section of this Amendment, as applicable.
Director Independence
The Board utilizes the Nasdaq’s standards for determining the independence of its members. In applying these standards, the Board considers commercial, industrial, banking, consulting, legal, accounting, charitable and familial relationships, among others, in assessing the independence of directors, and must disclose any basis for determining that a relationship is not material. The Board has determined that with the exception of Mr. Subhan and Mr. Kucharchuk, each of our directors is independent directors within the meaning of the Nasdaq independence standards. In making this independence determination, the Board did not exclude from consideration as immaterial any relationship potentially compromising the independence of any of the above directors.
ITEM 14. PRINCIPAL ACCOUNTING FEES AND SERVICES
On April 28, 2021, the Board of Directors of the Company approved the dismissal of Baker Tilly USA, LLP (“Baker Tilly”) as the Company’s independent registered public accounting firm and approved the appointment of Salberg & Company (“Salberg”) as the Company’s new independent registered public accounting firm to perform independent audit and attestation services for the year ended December 31, 2021 and 2022.
The following table sets forth the fees billed to the Company for professional services rendered by Salberg for the years ended December 31, 2022 and 2021:
| Services | 2022($) | 2021($)* | ||||||
| Audit Fees (1) | $ | 81,000 | $ | 65,000 | ||||
| Audit-Related fees (2) | 22,000 | - | ||||||
| Tax fees (3) | - | - | ||||||
| Total fees | $ | 103,000 | $ | 65,000 | ||||
*Does not include amounts billed to us by Baker Tilly, LLP, our former public accounting firm, during the applicable period.
| (1) | Audit Fees – These consisted of the aggregate fees for professional services rendered in connection with (i) the audit of our annual financial statements, (ii) the review of the financial statements included in our Quarterly Reports on Form 10-Q and (iv) services provided in connection with statutory and regulatory filings or engagements. |
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| (2) | Audit-Related Fees – These consisted principally of the aggregate fees related to audits or other fees that are not included in Audit Fees. |
| (3) | Tax Fees – These consist of professional services rendered in connection with tax compliance, tax planning and federal and state tax returns. |
Pre-Approval Policies and Procedures
The Board has the authority to appoint or replace our independent registered public accounting firm (subject, if applicable, to stockholder ratification). The Board is also responsible for the compensation and oversight of the work of the independent registered public accounting firm (including resolution of disagreements between management and the independent registered public accounting firm regarding financial reporting) for the purpose of preparing or issuing an audit report or related work. The independent registered public accounting firm was engaged by, and reports directly to, the Board.
The Board pre-approves all audit services and permitted non-audit services (including the fees and terms thereof) to be performed for us by our independent registered public accounting firm, subject to the de minimis exceptions for non-audit services described in Section 10A(i)(1)(B) of the Exchange Act and Rule 2-01(c)(7)(i)(C) of Regulation S-X, provided that all such excepted services are subsequently approved prior to the completion of the audit. We have complied with the procedures set forth above, and the Board has otherwise complied with the provisions of its charter.
PART IV
ITEM 15. EXHIBITS AND FINANCIAL STATEMENT SCHEDULES
| (1) | Financial Statements |
| Our consolidated financial statements are set forth in Part II, Item 8 of our Annual Report on Form 10-K and are incorporated herein by reference. | |
| (2) | Financial Statement Schedules |
| No financial statement schedules have been filed as part of our Annual Report on Form 10-K because they are not applicable or are not required or because the information is otherwise included herein. | |
| (3) | Exhibits required by Regulation S-K |
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| * | Filed herewith. | |
| † | Indicates management contract or compensatory plan or arrangement. | |
| # | Exhibits and/or Schedules have been omitted pursuant to Item 601(a)(5) of Regulation S-K. The Company hereby agrees to furnish to the SEC upon request any omitted information. |
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SIGNATURES
Pursuant to the requirements of Section 13 or 15(d) of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned, thereunto duly authorized.
| ADHERA THERAPEUTICS, INC. | ||
| Date: May 2, 2023 | By: | /s/ Zahed Subhan |
Zahed Subhan | ||
| Chief Executive Officer (Principal Executive Officer) | ||
| Date: May 2, 2023 | By: | /s/ Andrew Kucharchuk |
| Andrew Kucharchuk | ||
| Chief Operating Officer (Principal Financial Officer) |
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