UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, DC 20549
FORM
CURRENT REPORT
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Item 5.03 Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year.
On December 18, 2023, TFF Pharmaceuticals, Inc. (the “Company”) filed with the Delaware Secretary of State a Certificate of Amendment (“Amendment”) to its Second Amended and Restated Certificate of Incorporation to effect a one for twenty-five (25) reverse stock split (“Reverse Split”) of its issued and outstanding shares of common stock. The effective time of the Reverse Split is 12:01 AM ET on December 19, 2023. The Amendment has been filed as Exhibit 3.1 to this report.
On December 15, 2023, the Company issued a press release concerning the Reverse Split. The press release is filed as Exhibit 99.1 to this report.
Item 8.01 Other Events.
The Company has scheduled a webcast for December 19, 2023 at which it will discuss interim data readouts for its ongoing Phase 2 clinical trials of TFF VORI and TFF TAC. A copy of the presentation to be published via the webcast, and subsequently posted to the Company’s website, is attached hereto as Exhibit 99.2. On December 19, 2023, the Company issued a press release summarizing the interim data readouts for TFF VORI and TFF TAC. A copy of the press release is attached hereto as Exhibit 99.3
Item 9.01 Financial Statements and Exhibits.
(d) Exhibits
The following exhibits are filed with this report:
| Exhibit 3.1 | Certificate of Amendment to the Registrant’s Second Amended and Restated Certificate of Incorporation filed on December 18, 2023 | Filed Electronically herewith | ||
| Exhibit 99.1 | Registrant’s press release dated December 15, 2023 concerning the Reverse Split | Filed Electronically herewith | ||
| Exhibit 99.2 | Registrant’s presentation concerning the interim data readouts for TFF VORI and TFF TAC | Filed Electronically herewith | ||
| Exhibit 99.3 | Registrant’s press release dated December 19, 2023 concerning interim data readouts for TFF VORI and TFF TAC | Filed Electronically herewith | ||
| 104 | Cover Page Interactive Data File (embedded within the Inline XBRL document) |
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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.
| TFF PHARMACEUTICALS, INC. | |
| Dated: December 19, 2023 | /s/ Kirk Coleman |
| Kirk Coleman, | |
| Chief Financial Officer |
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