UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

 

 

FORM 15

 

 

CERTIFICATION AND NOTICE OF TERMINATION OF REGISTRATION

UNDER SECTION 12(g) OF THE SECURITIES EXCHANGE ACT OF 1934

OR SUSPENSION OF DUTY TO FILE REPORTS UNDER SECTIONS 13 AND 15(d)

OF THE SECURITIES EXCHANGE ACT OF 1934.

Commission File Number 001-35560

 

 

ImmunoCellular Therapeutics, Ltd.

(Exact name of registrant as specified in its charter)

 

 

30721 Russell Ranch Road, Suite 140

West Lake Village, California 91362

Telephone: (818) 264-2300

(Address, including zip code, and telephone number, including area code, of registrant’s principal executive offices)

Common Stock, par value $0.0001 per share

Warrants to purchase Common Stock, par value $0.0001 per share

(Title of each class of securities covered by this Form)

None

(Titles of all other classes of securities for which a duty to file reports under section 13(a) or 15(d) remains)

 

 

Please place an X in the box(es) to designate the appropriate rule provision(s) relied upon to terminate or suspend the duty to file reports:

 

Rule 12g-4(a)(1)		☒
Rule 12g-4(a)(2)		☐
Rule 12h-3(b)(1)(i)		☒
Rule 12h-3(b)(1)(ii)		☐
Rule 15d-6		☐
Rule 15d-22(b)		☐

Approximate number of holders of record as of the certification or notice date:

Common Stock, par value $0.0001 per share: 42 holders

Warrants to purchase Common Stock, par value $0.0001 per share: 27 holders

 

 

 

SIGNATURES

Pursuant to the requirements of the Securities Exchange Act of 1934, ImmunoCellular Therapeutics, Ltd. has duly caused this certification/notice to be signed on its behalf by the undersigned duly authorized person.

 

						ImmunoCellular Therapeutics, Ltd.
Date:		November 6, 2018				By:		/s/ Gary Titus
								Name:  Gary Titus
								Title:    Chairman of the Board of Directors