Ampio Pharmaceuticals, Inc. (Form: 8-K, Received: 11/18/2022 16:26:44)

0001411906false00014119062022-11-172022-11-17

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): November 17, 2022

AMPIO PHARMACEUTICALS, INC.

(Exact name of registrant as specified in its charter)


Delaware	001-35182	26-0179592
(State or other jurisdiction of incorporation)	(Commission File Number)	(IRS Employer Identification No.)

373 Inverness Parkway, Suite 200

Englewood, Colorado 80112

(Address of Principal Executive Offices) (Zip Code)

Registrant’s telephone number, including area code: (720) 437-6500

Not Applicable

(Former name, or former address, if changed since last report)

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)

☐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	Name of each exchange on which registered
Common Stock, $0.0001 par value	AMPE	NYSE American

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 7.01.	Regulation FD Disclosure.

On November 17, 2022, Ampio Pharmaceuticals, Inc. (the “Company”) issued a press release, furnished as Exhibit 99.1 attached hereto, announcing that it was notified by NYSE American LLC that the staff of NYSE Regulation has withdrawn its delisting determination and will be lifting the trading suspension of the Company’s common stock on the NYSE American. The Company’s common stock will commence trading on the NYSE American on Tuesday, November 22, 2022 under the symbol “AMPE.”


Item 9.01.	Financial Statements and Exhibits.


Exhibit No.		Description
99.1		Press Release of Ampio Pharmaceuticals, Inc. dated November 17, 2022
104		Cover Page Interactive Data File (embedded within the Inline XBRL document)

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.


	AMPIO PHARMACEUTICALS, INC.

Date: November 18, 2022	By:	/s/ Michael A. Martino
		Name: Michael A. Martino
		Title: Chief Executive Officer

Exhibit 99.1

Logo, company name

Description automatically generated

Ampio Pharmaceuticals Announces NYSE American Removal of Trading Suspension

ENGLEWOOD, Colo., Nov. 17, 2022 – Ampio Pharmaceuticals, Inc. (NYSE American/OTC Pink: AMPE) (the “Company”) received notification from NYSE American LLC ("NYSE American" or the "Exchange") stating that the staff of NYSE Regulation has withdrawn its delisting determination and will be lifting the trading suspension of the Company's common stock on the NYSE American.

Following the fifteen-to-one reverse stock split of the Company’s common stock, which became effective November 9, 2022, the NYSE Regulation staff determined that the Company’s common stock was trading above the threshold of low selling price issues as further defined by Section 1003(f)(v) of the NYSE American Company Guide. As such, the Exchange has withdrawn its delisting determination and will be lifting the trading suspension of the Company's common stock on the NYSE American.

Ampio’s continued listing on the Exchange will be predicated on it demonstrating compliance with Section 1003(f)(v) of the NYSE American Company Guide through a period of at least December 23, 2022. The Company will update shareholders if and when it receives notification from the NYSE American that it has achieved compliance on this matter.

Ampio’s common stock will commence trading on the NYSE American on Tuesday, November 22, 2022 under the symbol “AMPE.”

Caution Regarding Forward-Looking Statements

This press release includes certain forward-looking statements within the meaning of the Private Securities Litigation Reform Act of 1995. All statements, other than statements of present or historical fact, included in this document regarding the proposed reverse stock split and strategic alternatives process are forward-looking statements. These forward-looking statements are subject to risks and uncertainties, including: the market price of Ampio's common stock may not demonstrate sustained price improvement to regain compliance with the NYSE American continued listing standards during the cure period ending on December 23, 2022 or Ampio may not be able to maintain listing on the NYSE American for any other reason.

Investor and Media Contacts:
Tony Russo or Nic Johnson
Russo Partners
info@ampiopharma.com
tony.russo@russopartnersllc.com
nic.johnson@russopartnersllc.com