424B3 1 gthp424b319873371315.htm GUIDED THERAPEUTICS, INC.

Filed pursuant to Rule 424(b)(3)
Registration No. 333-198733

PROSPECTUS SUPPLEMENT NO. 5

 

8,392,708 Shares of Common Stock

Issuable upon Exercise of Warrants

of

Guided Therapeutics, Inc.

 

 

 

 

This prospectus supplement supplements and amends the prospectus dated May 7, 2015, as previously supplemented, which constitutes part of our registration statement on Form S-1 (No. 333-198733) relating to up to 8,392,708 shares of our common stock issuable upon exercise of warrants. This prospectus supplement includes our current report on Form 8-K, filed July 13, 2015. THIS IS NOT A NEW REGISTRATION OF SECURITIES.

 

This prospectus supplement should be read in conjunction with the prospectus, which is to be delivered with this prospectus supplement. This prospectus supplement is qualified by reference to the prospectus, except to the extent that the information in this prospectus supplement updates and supersedes the information contained in the prospectus.

 

This prospectus supplement is not complete without, and may not be delivered or utilized except in connection with, the prospectus.

 

Investing in our common stock involves a high degree of risk. We urge you to carefully read the “Risk Factors” section beginning on page 3 of the prospectus.

 

Neither the Securities and Exchange Commission nor any state securities commission has approved or disapproved of these securities or determined if this prospectus supplement is truthful or complete. Any representation to the contrary is a criminal offense.

 

The date of this prospectus supplement is July 13, 2015.

 

 
 

 



 

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): July 10, 2015

 

GUIDED THERAPEUTICS, INC.

 (Exact name of registrant as specified in its charter)

 

     
Delaware 0-22179 58-2029543
(State or Other Jurisdiction of Incorporation) (Commission File Number) (IRS Employer Identification No.)

 

5835 Peachtree Corners East, Suite D

Norcross, Georgia

(Address of Principal Executive Offices)

30092

(Zip Code)

 

 

Registrant's Telephone Number, Including Area Code:     (770) 242-8723

 

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)

 

[X]

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))

 

 

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Item 1.01. Entry into a Material Definitive Agreement.

 

On July 10, 2015, the Company entered into a joinder agreement with certain holders of the Company’s Series B convertible preferred stock (the “Series B Holders”) and a holder of a promissory note previously issued by the Company, pursuant to which they each became a party to the previously disclosed securities purchase agreement, dated June 29, 2015 (the “Purchase Agreement”), and registration rights agreement, dated June 29, 2015 (the “Registration Rights Agreement”), and will, pursuant to the Purchase Agreement, purchase an aggregate of 432 shares of the Company’s Series C convertible preferred stock (the “Series C Preferred”), at a purchase price of $750 per share and a stated value of $1,000 per share, and will receive, on a pro rata basis, warrants (the “Series C Warrants”) exercisable to purchase an aggregate of approximately 6.8 million shares of the Company’s common stock.

The description of the joinder agreement is qualified in its entirety by reference to the joinder agreement attached as Exhibit 10.1 to this current report and incorporated herein by reference. The material terms of the Purchase Agreement, the Series C Preferred, and the Series C Warrants were previously disclosed in the Company’s current report on Form 8-K, filed June 30, 2015.

The Series B Holders and the promissory note holder will exchange their outstanding shares of Series B preferred stock or promissory note in lieu of cash, on a dollar-for-dollar basis, on the same terms as each other investor purchasing shares of Series C Preferred under the Purchase Agreement.

This current report on Form 8-K is neither an offer to sell nor the solicitation of an offer to buy any securities. The securities described above have not been registered under the Securities Act and may not be offered or sold in the United States absent registration or an exemption from registration under the Securities Act.

Item 3.02 Unregistered Sales of Equity Securities

The information set forth under Item 1.01 is incorporated by reference into this Item 3.02. The issuance of the securities described above has been conducted as a private placement to “accredited investors” (as that term is defined under Rule 501 of Regulation D), and is exempt from registration under the Securities Act of 1933 in reliance upon Section 4(a)(2) of the Securities Act, as a transaction by an issuer not involving a public offering.

Item 9.01 Financial Statements and Exhibits

(d) Exhibits.

Number Exhibit
10.1 Joinder Agreement

 

 

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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.

 

 

   GUIDED THERAPEUTICS, INC.
   
  /s/ Gene S. Cartwright, Ph.D.
   By: Gene S. Cartwright, Ph.D.
           President and Chief Executive Officer
 
 Date: July 13, 2015  

 

 

  

 

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EXHIBIT INDEX

Number Exhibit
10.1 Joinder Agreement

 

 

 

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