Form 8-K/A - Current report: [Amend]
03 8월 2023 - 5:51AM
Edgar (US Regulatory)
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0001713863
2023-06-01
2023-06-01
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UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 8-K/A
CURRENT REPORT
Pursuant to Section 13 or 15(d) of the Securities
Exchange Act of 1934
Date of Report (Date of earliest event reported):
June 1, 2023
RAFAEL HOLDINGS, INC.
(Exact name of registrant as specified in its
charter)
Delaware |
|
1-38411 |
|
82-2296593 |
(State or other jurisdiction
of Incorporation) |
|
(Commission File Number) |
|
(IRS Employer
Identification No.) |
520 Broad Street
Newark, New Jersey |
|
07102 |
(Address of principal executive offices) |
|
(Zip Code) |
Registrant’s telephone number, including
area code: 212 658-1450
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 (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)) |
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. ☐
Securities registered pursuant to Section 12(b)-2 of the Exchange Act:
Title of each class |
|
Trading Symbol |
|
Name of each exchange
on
which registered |
Class B common stock, par value $0.01 per share |
|
RFL |
|
New York Stock Exchange |
Item 8.01 Other Events.
On August 1, 2023, Rafael Holdings, Inc. (the “Company”) purchased 4,000,000 shares of common stock (the “Shares”)
of Cyclo Therapeutics, Inc., a Nevada corporation (“Cyclo”), and a warrant to purchase an additional 4,000,000 Shares (the
“Warrant”), for an aggregate purchase price of $5,000,000. The Warrant has an exercise price of $1.25 per share, and the
Warrant will be exercisable for a period of seven years.
As disclosed on the Company’s Current Report on Form 8-K filed
with the Securities and Exchange Commission on June 5, 2023, the Company entered into a Securities Purchase Agreement (the “Purchase
Agreement”) with Cyclo to purchase the Shares and the Warrant. The obligations of the Company and Cyclo to consummate the closing
of the Purchase Agreement were subject to, in addition to other conditions, Cyclo obtaining the approval of its stockholders to the consummation
of the transactions contemplated by the Purchase Agreement in accordance with Listing Rule 5635 of The Nasdaq Stock Market, Inc. Such
stockholder approval was obtained on July 31, 2023.
The Shares and Warrants purchased on August 1, 2023 are in addition, to 2,514,970
shares of common stock of Cyclo and warrants to purchase an additional 2,514,970 shares of common stock of Cyclo (at an exercise price
of $0.71 per share) the Company purchased in April 2023.
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.
|
RAFAEL HOLDINGS, INC. |
|
|
|
|
By: |
/s/ William Conkling |
|
|
Name: William Conkling |
|
|
Title: Chief Executive Officer |
Dated: August 2, 2023
2
v3.23.2
Cover
|
Jun. 01, 2023 |
Cover [Abstract] |
|
Document Type |
8-K/A
|
Amendment Flag |
true
|
Amendment Description |
As disclosed on the Company’s Current Report on Form 8-K filed
with the Securities and Exchange Commission on June 5, 2023, the Company entered into a Securities Purchase Agreement (the “Purchase
Agreement”) with Cyclo to purchase the Shares and the Warrant. The obligations of the Company and Cyclo to consummate the closing
of the Purchase Agreement were subject to, in addition to other conditions, Cyclo obtaining the approval of its stockholders to the consummation
of the transactions contemplated by the Purchase Agreement in accordance with Listing Rule 5635 of The Nasdaq Stock Market, Inc. Such
stockholder approval was obtained on July 31, 2023.
|
Document Period End Date |
Jun. 01, 2023
|
Entity File Number |
1-38411
|
Entity Registrant Name |
RAFAEL HOLDINGS, INC.
|
Entity Central Index Key |
0001713863
|
Entity Tax Identification Number |
82-2296593
|
Entity Incorporation, State or Country Code |
DE
|
Entity Address, Address Line One |
520 Broad Street
|
Entity Address, City or Town |
Newark
|
Entity Address, State or Province |
NJ
|
Entity Address, Postal Zip Code |
07102
|
City Area Code |
212
|
Local Phone Number |
658-1450
|
Written Communications |
false
|
Soliciting Material |
false
|
Pre-commencement Tender Offer |
false
|
Pre-commencement Issuer Tender Offer |
false
|
Title of 12(b) Security |
Class B common stock, par value $0.01 per share
|
Trading Symbol |
RFL
|
Security Exchange Name |
NYSE
|
Entity Emerging Growth Company |
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Rafael (NYSE:RFL)
과거 데이터 주식 차트
부터 4월(4) 2024 으로 5월(5) 2024
Rafael (NYSE:RFL)
과거 데이터 주식 차트
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