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Filing
Table of Contents
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
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
TO SECTION 13 OR 15 (d) OF THE
SECURITIES EXCHANGE ACT OF 1934
Date of Report (Date of earliest event reported) August 30, 2005
ADVENTRX Pharmaceuticals, Inc.
(Exact name of registrant as specified in its charter)
Delaware
(State or other jurisdiction of incorporation)
(State or other jurisdiction of incorporation)
001-32157 | 84-1318182 | |
(Commission File Number) | (IRS Employer Identification No.) |
6725 Mesa Ridge Road, Suite 100
San Diego, California 92121
(Address of principal executive offices) (Zip Code)
San Diego, California 92121
(Address of principal executive offices) (Zip Code)
(858) 552-0866
(Companys telephone number, including area code)
(Companys 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):
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Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425) | |
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Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12) | |
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Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b)) | |
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Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c)) |
TABLE OF CONTENTS
Items 3.02. Unregistered Sales of Equity Securities | ||||||||
SIGNATURES |
Table of Contents
Item 3.02. Unregistered Sales of Equity Securities
From August 1, 2005 through August 30, 2005, we issued 766,223 shares of common stock to 16 of
our warrant holders in connection with their exercise of outstanding warrants. We received gross
proceeds of $1,174,261 upon exercise of these warrants.
Pursuant to the terms of an agreement we entered into with Burnham Hill Partners, a division
of Pali Capital, Inc., in March 2004, we are obligated to pay a 4% cash commission on each cash
exercise of warrants issued in a financing that we consummated in April 2004. In accordance with
this obligation, we owe Burnham Hill Partners approximately $32,569 in connection with the
exercises of warrants from August 1, 2005 through August 30, 2005. No other commission or other
remuneration was paid or given directly or indirectly in connection with these warrant exercises.
The issuances of shares of common stock upon exercise of these warrants were not registered under
the Securities Act of 1933 in reliance upon Section 4(2) of such Act.
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.
ADVENTRX Pharmaceuticals, Inc. |
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By: | /s/ Carrie E. Carlander | |||
Name: | Carrie E. Carlander | |||
Title: | Chief Financial Officer, Vice President Finance, and Treasurer | |||
August 30, 2005