8-K 1 tv529230_8k.htm FORM 8-K

 

 

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 10, 2019

 

CASI PHARMACEUTICALS, INC.

(Exact Name of Issuer as Specified in Charter)

 

Delaware   000-20713   58-1959440
(State or other jurisdiction   (Commission File Number)   (I.R.S. Employer
of incorporation)       Identification No.)

 

9620 Medical Center Drive, Suite 300

Rockville, Maryland

(Address of principal executive offices)

 

20850

 (Zip code)

 

(240) 864-2600

(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 (see General Instruction A.2. below):

 

¨ 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))

 

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

Title of each class Trading Symbol(s) Name of exchange on which registered
Common Stock CASI Nasdaq Capital Market

 

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 Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers.

 

On September 10, 2019, the Board of Directors (the “Board”) of CASI Pharmaceuticals, Inc. (the “Company”) unanimously voted to appoint (Wei) Larry Zhang as President of the Company, effective September 10, 2019. Mr. Zhang has served as the President of CASI (Beijing) Pharmaceuticals Co., Ltd. (“CASI China”), a subsidiary of the Company, since September 2018. No changes were made to Mr. Zhang’s Labor Contract with CASI China, which was filed as Exhibit 10.26 to the Company’s Form 10-K for the year ended December 31, 2018 and is incorporated by reference herein.

 

Additional information about Mr. Zhang has been disclosed in the Company’s Proxy Statement filed with the U.S. Securities and Exchange Commission on April 30, 2019, which is incorporated herein by reference.

  

Item 9.01. Financial Statements and Exhibits

 

Exhibit No. Description
10.1 Labor Contract, effective as of September 1, 2018, between CASI (Beijing) Pharmaceuticals, Inc. and Wei (Larry) Zhang (incorporated by reference to Exhibit 10.26 to the Company’s Form 10-K filed with the Securities and Exchange Commission on March 29, 2019)
   

 

 

 

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.

 

  CASI PHARMACEUTICALS, INC.
      (Registrant)  
     
  /s/ Cynthia W. Hu                                       
  Cynthia W. Hu  
  Chief Operating Officer, General Counsel & Secretary

 

 

September 11, 2019