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STATES</b></p><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;text-align:center;margin:0pt;"><b style="font-size:18pt;font-weight:bold;">SECURITIES AND EXCHANGE COMMISSION</b></p><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;text-align:center;margin:0pt;"><b style="font-weight:bold;">Washington, DC 20549</b></p><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;text-align:center;margin:0pt;"><span style="visibility:hidden;">&#8203;</span></p><p style="font-family:'Times New Roman','Times','serif';font-size:18pt;text-align:center;margin:0pt;"><b style="font-weight:bold;">FORM </b><ix:nonNumeric contextRef="Duration_11_18_2021_To_11_18_2021_6opXUfaeZ06NsRooxjVirw" name="dei:DocumentType" id="Narr_bgChsKOrDk6t5oAlyZGKvA"><b style="font-weight:bold;">8-K</b></ix:nonNumeric></p><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;text-align:center;margin:0pt;"><span style="visibility:hidden;">&#8203;</span></p><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;text-align:center;margin:0pt;"><b style="font-weight:bold;">CURRENT REPORT</b></p><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;text-align:center;margin:0pt;"><span style="visibility:hidden;">&#8203;</span></p><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;text-align:center;margin:0pt;"><b style="font-weight:bold;">Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934</b></p><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;text-align:center;margin:0pt;"><span style="visibility:hidden;">&#8203;</span></p><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;text-align:center;margin:0pt;">Date of Report (Date of earliest event reported): <ix:nonNumeric contextRef="Duration_11_18_2021_To_11_18_2021_6opXUfaeZ06NsRooxjVirw" format="ixt:datemonthdayyearen" 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the filing obligation of the registrant under any of the following provisions (see General Instruction A.2. below):</p><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;text-align:center;text-indent:-24pt;margin:0pt;"><span style="visibility:hidden;">&#8203;</span></p><a id="_612d154b_820f_4ec0_b5c7_9dfc1e51d273"></a><a id="Tc_7fH14Cowv0On4x7yWXhrAA_1_1"></a><a id="Tc_4Qrp3MzzekW9oTa8Qnq_PQ_3_1"></a><a id="Tc_i9qo5T5RckW93FNssyOQpA_5_1"></a><a id="Tc_GwQSic_rhUq7w6dV93Mc7Q_7_1"></a><table style="border-collapse:collapse;font-size:16pt;height:max-content;margin-left:auto;margin-right:auto;width:84.86%;padding:0.75pt 0pt 0.75pt 0pt;"><tr style="height:1pt;"><td style="vertical-align:top;width:5.05%;margin:0pt;padding:0pt;"><div style="height:1pt;overflow:hidden;overflow-wrap:break-word;position:relative;"><div style="position:absolute;top:0pt;width:100%;"></div></div></td><td style="vertical-align:top;width:94.95%;margin:0pt;padding:0pt;"><div style="height:1pt;overflow:hidden;overflow-wrap:break-word;position:relative;"><div style="position:absolute;top:0pt;width:100%;"></div></div></td></tr><tr><td style="vertical-align:top;width:5.05%;margin:0pt;padding:0pt;"><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;text-align:center;margin:0pt;"><ix:nonNumeric contextRef="Duration_11_18_2021_To_11_18_2021_6opXUfaeZ06NsRooxjVirw" format="ixt-sec:boolballotbox" name="dei:WrittenCommunications" id="Tc_7Zu8HkUX70yjlR4ttqe3dA_1_0"><span style="font-family:'Segoe UI Symbol';">&#9744;</span></ix:nonNumeric></p></td><td style="vertical-align:top;width:94.95%;margin:0pt;padding:0pt;"><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;text-align:center;margin:0pt;">Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)</p></td></tr><tr><td style="vertical-align:top;width:5.05%;margin:0pt;padding:0pt;"></td><td style="vertical-align:top;width:94.95%;margin:0pt;padding:0pt;"></td></tr><tr><td style="vertical-align:top;width:5.05%;margin:0pt;padding:0pt;"><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;text-align:center;margin:0pt;"><ix:nonNumeric contextRef="Duration_11_18_2021_To_11_18_2021_6opXUfaeZ06NsRooxjVirw" format="ixt-sec:boolballotbox" name="dei:SolicitingMaterial" id="Tc_cYel1VbYZU6q2C_oMBlySg_3_0"><span style="font-family:'Segoe UI Symbol';">&#9744;</span></ix:nonNumeric></p></td><td style="vertical-align:top;width:94.95%;margin:0pt;padding:0pt;"><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;text-align:center;margin:0pt;">Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)</p></td></tr><tr><td style="vertical-align:top;width:5.05%;margin:0pt;padding:0pt;"></td><td style="vertical-align:top;width:94.95%;margin:0pt;padding:0pt;"></td></tr><tr><td style="vertical-align:top;width:5.05%;margin:0pt;padding:0pt;"><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;text-align:center;margin:0pt;"><ix:nonNumeric contextRef="Duration_11_18_2021_To_11_18_2021_6opXUfaeZ06NsRooxjVirw" format="ixt-sec:boolballotbox" name="dei:PreCommencementTenderOffer" id="Tc_g-Q_l-cbuUargMvjjLZJGA_5_0"><span style="font-family:'Segoe UI Symbol';">&#9744;</span></ix:nonNumeric></p></td><td style="vertical-align:top;width:94.95%;margin:0pt;padding:0pt;"><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;text-align:center;margin:0pt;">Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))</p></td></tr><tr><td style="vertical-align:top;width:5.05%;margin:0pt;padding:0pt;"></td><td style="vertical-align:top;width:94.95%;margin:0pt;padding:0pt;"></td></tr><tr><td style="vertical-align:top;width:5.05%;margin:0pt;padding:0pt;"><p style="font-family:'Times New 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Roman','Times','serif';font-size:10pt;text-align:center;margin:0pt;"><span style="visibility:hidden;">&#8203;</span></p><a id="_6f20a198_b7c9_4e19_bafb_f0809aeba153"></a><a id="Tc_Slvlu_vfRk24EBDDiMeuaw_1_0"></a><a id="Tc_22u9QpRz40ueE5G8gsRJHg_1_2"></a><a id="Tc_ri5KWwwhlU2xMQ8nFaMkYg_1_4"></a><table style="border-collapse:collapse;font-size:16pt;height:max-content;margin-left:auto;margin-right:auto;width:66.54%;padding:0.75pt 0pt 0.75pt 0pt;"><tr style="height:1pt;"><td style="vertical-align:bottom;width:36.35%;margin:0pt;padding:0pt 0pt 1.5pt 0pt;"><div style="height:1pt;overflow:hidden;overflow-wrap:break-word;position:relative;"><div style="bottom:0pt;position:absolute;width:100%;"></div></div></td><td style="vertical-align:bottom;width:1.95%;margin:0pt;padding:0pt 0pt 1.5pt 0pt;"><div style="height:1pt;overflow:hidden;overflow-wrap:break-word;position:relative;"><div style="bottom:0pt;position:absolute;width:100%;"></div></div></td><td style="vertical-align:bottom;width:19.99%;margin:0pt;padding:0pt 0pt 1.5pt 0pt;"><div style="height:1pt;overflow:hidden;overflow-wrap:break-word;position:relative;"><div style="bottom:0pt;position:absolute;width:100%;"></div></div></td><td style="vertical-align:bottom;width:1.69%;margin:0pt;padding:0pt 0pt 1.5pt 0pt;"><div style="height:1pt;overflow:hidden;overflow-wrap:break-word;position:relative;"><div style="bottom:0pt;position:absolute;width:100%;"></div></div></td><td style="vertical-align:bottom;width:40%;margin:0pt;padding:0pt 0pt 1.5pt 0pt;"><div style="height:1pt;overflow:hidden;overflow-wrap:break-word;position:relative;"><div style="bottom:0pt;position:absolute;width:100%;"></div></div></td></tr><tr><td style="vertical-align:bottom;width:36.35%;margin:0pt;padding:0pt 0pt 1.5pt 0pt;"><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;text-align:center;margin:0pt;"><b style="font-weight:bold;">Title of Each Class</b></p></td><td 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style="display:none;font-family:'Times New Roman','Times','serif';line-height:0pt;margin:0pt;"><span style="font-size:0pt;font-weight:bold;margin-bottom:5pt;margin-top:5pt;visibility:hidden;">&#8203;</span></p></div><div style="clear:both;display:table;margin-bottom:23.75pt;min-height:33.85pt;width:100%;"><div style="display:table-cell;vertical-align:bottom;width:100%;"><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;text-align:center;margin:0pt;">1</p><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;margin:0pt;"><span style="visibility:hidden;">&#8203;</span></p></div></div></div>
<div style="background-color:#000000;clear:both;height:2pt;page-break-after:always;width:81.18%;border:0;margin:30pt 9.41% 30pt 9.41%;"></div><div style="max-width:100%;padding-left:11.76%;padding-right:11.76%;position:relative;"><div style="clear:both;max-width:100%;position:relative;"><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;margin:0pt;"><span style="visibility:hidden;">&#8203;</span></p><a id="_5d5674ae_b52b_4a67_9287_20c1596d32c5"></a><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;margin:0pt;"><span style="font-size:1pt;visibility:hidden;">&#8203;</span></p><table style="background-color:#ffffff;border-collapse:collapse;font-size:16pt;height:max-content;padding-left:0pt;padding-right:0pt;width:130.76%;"><tr><td style="background-color:#ffffff;vertical-align:top;width:10.99%;margin:0pt;padding:0pt;"><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;margin:0pt;"><b style="font-weight:bold;">Item&#160;3.01</b></p></td><td style="background-color:#ffffff;vertical-align:top;width:89%;margin:0pt;padding:0pt;"><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;margin:0pt;"><b style="font-weight:bold;">Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing</b></p></td></tr></table><p style="background-color:#ffffff;font-family:'Times New Roman','Times','serif';font-size:10pt;margin:12pt 0pt 0pt 0pt;">On November 18, 2021, Kiromic BioPharma, Inc. (the &#8220;Company&#8221;) received a written notice (the &#8220;Notice&#8221;) from the Listing Qualifications Department of The Nasdaq Stock Market (&#8220;Nasdaq&#8221;) advising the Company that it was not in compliance with Nasdaq&#8217;s continued listing requirements under the Nasdaq Listing Rule 5250(c)(1) (the &#8220;Rule&#8221;) as a result of its failure to file its Quarterly Report on Form 10-Q for the quarter ended&#160;September 30, 2021&#160;(the &#8220;Form 10-Q&#8221;) in a timely manner. The Rule requires listed companies to timely file all required periodic reports with the Securities and Exchange Commission (the &#8220;SEC&#8221;). The Company previously reported in its Form&#160;12b-25&#160;<span style="white-space:pre-wrap;">filed with the SEC  on November 16, 2021 that the Company was unable to file its Form&#160;10-Q&#160;</span><span style="white-space:pre-wrap;">within the prescribed time period without unreasonable effort or expense.  </span></p><p style="background-color:#ffffff;font-family:'Times New Roman','Times','serif';font-size:10pt;padding-top:12pt;margin:0pt;">The Notice has no immediate effect on the listing or trading of the Company&#8217;s common stock. However, if the Company fails to timely regain compliance with the Rule, the Company&#8217;s common stock will be subject to delisting from Nasdaq. Under Nasdaq rules, the Company has 60 calendar days from receipt of the Notice or until January&#160;18, 2022, to submit a plan to regain compliance with the Rule. If Nasdaq accepts the Company&#8217;s plan, then Nasdaq may grant an exception of up to 180 calendar days from the due date of the Form&#160;10-Q, or until May 16, 2022, to regain compliance. However, there can be no assurance that Nasdaq will accept the Company&#8217;s plan to regain compliance or that the Company will be able to regain compliance within any extension period granted by Nasdaq. If Nasdaq does not accept the Company&#8217;s plan, then the Company will have the opportunity to appeal that decision to a Nasdaq hearings panel.</p><p style="background-color:#ffffff;font-family:'Times New Roman','Times','serif';font-size:10pt;padding-top:12pt;margin:0pt;">The Company is working diligently to complete its Form&#160;10-Q.&#160;The Company intends to file the Form&#160;10-Q&#160;with the SEC as promptly as practicable.</p><p style="background-color:#ffffff;font-family:'Times New Roman','Times','serif';font-size:10pt;padding-top:12pt;margin:0pt;"><span style="visibility:hidden;">&#8203;</span></p><p style="background-color:#ffffff;font-family:'Times New Roman','Times','serif';font-size:10pt;margin:0pt;"><span style="font-size:18pt;">&#160;</span></p><table style="background-color:#ffffff;border-collapse:collapse;font-size:16pt;height:max-content;padding-left:0pt;padding-right:0pt;width:130.76%;"><tr><td style="background-color:#ffffff;vertical-align:top;width:10.99%;margin:0pt;padding:0pt;"><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;margin:0pt;"><b style="font-weight:bold;">Item&#160;8.01.</b></p></td><td style="background-color:#ffffff;vertical-align:top;width:89%;margin:0pt;padding:0pt;"><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;margin:0pt;"><b style="font-weight:bold;">Other Events.</b></p></td></tr></table><p style="background-color:#ffffff;font-family:'Times New Roman','Times','serif';font-size:10pt;margin:6pt 0pt 0pt 0pt;">On November 24, 2021, the Company issued a press release announcing its receipt of the Notice. A copy of the press release is attached hereto as Exhibit&#160;99.1 and is incorporated herein by reference.</p><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;margin:0pt;"><span style="margin-bottom:5pt;margin-top:5pt;visibility:hidden;">&#8203;</span></p><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;margin:0pt;"><span style="margin-bottom:5pt;margin-top:5pt;visibility:hidden;">&#8203;</span></p><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;margin:0pt;"><span style="margin-bottom:5pt;margin-top:5pt;visibility:hidden;">&#8203;</span></p><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;text-align:justify;margin:0pt 0pt 12pt 0pt;"><b style="font-weight:bold;">Item 9.01 Financial Statements and Exhibit</b></p><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;margin:14pt 0pt 0pt 0pt;">(d) Exhibits.</p><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;margin:14pt 0pt 12pt 0pt;"><span style="display:inline-block;text-indent:0pt;width:36pt;"></span>The following exhibit is filed with this Current Report on Form 8-K:</p><table style="border-collapse:collapse;font-size:16pt;height:max-content;width:100%;"><tr style="height:1pt;"><td style="vertical-align:top;width:15.38%;margin:0pt;padding:0pt 5.4pt 0pt 5.4pt;"><div style="height:1pt;overflow:hidden;overflow-wrap:break-word;position:relative;"><div style="position:absolute;top:0pt;width:100%;"><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;margin:0pt;"><span style="margin-bottom:5pt;margin-top:5pt;visibility:hidden;">&#8203;</span></p><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;margin:0pt;"><span style="font-size:1pt;visibility:hidden;">&#8203;</span></p></div></div></td><td style="vertical-align:top;width:84.61%;margin:0pt;padding:0pt 5.4pt 0pt 5.4pt;"><div style="height:1pt;overflow:hidden;overflow-wrap:break-word;position:relative;"><div style="position:absolute;top:0pt;width:100%;"><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;margin:0pt;"><span style="font-size:1pt;visibility:hidden;">&#8203;</span></p></div></div></td></tr><tr><td style="vertical-align:top;width:15.38%;border-bottom:1.5pt solid #000000;margin:0pt;padding:0pt 5.4pt 0pt 5.4pt;"><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;margin:0pt;"><b style="font-weight:bold;">Exhibit</b></p><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;margin:0pt;"><b style="font-weight:bold;">Number</b></p></td><td style="vertical-align:top;width:84.61%;border-bottom:1.5pt solid #000000;margin:0pt;padding:0pt 5.4pt 0pt 5.4pt;"><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;margin:0pt;"><b style="font-weight:bold;">Description</b></p></td></tr><tr><td style="vertical-align:top;width:15.38%;border-top:1.5pt solid #000000;margin:0pt;padding:0pt 5.4pt 0pt 5.4pt;"><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;margin:14pt 0pt 0pt 0pt;"><b style="font-weight:bold;">99.1</b></p></td><td style="vertical-align:top;width:84.61%;border-top:1.5pt solid #000000;margin:0pt;padding:0pt 5.4pt 0pt 5.4pt;"><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;margin:14pt 0pt 0pt 0pt;"><a style="-sec-extract:exhibit;" href="krbp-20211118xex99d1.htm"><span style="font-family:'Times New Roman','Times','serif';font-size:10pt;font-style:normal;font-weight:normal;text-align:left;">Press Release dated November 24, 2021 of Kiromic BioPharma, Inc.</span></a></p></td></tr><tr><td style="vertical-align:top;width:15.38%;margin:0pt;padding:0pt 5.4pt 0pt 5.4pt;"><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;margin:14pt 0pt 0pt 0pt;"><b style="font-weight:bold;">104</b></p></td><td style="vertical-align:top;width:84.61%;margin:0pt;padding:0pt 5.4pt 0pt 5.4pt;"><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;margin:14pt 0pt 0pt 0pt;"><span style="background-color:#ffffff;">Cover Page Interactive Data File (embedded within the Inline XBRL document).</span></p></td></tr><tr><td style="vertical-align:top;width:15.38%;margin:0pt;padding:0pt 5.4pt 0pt 5.4pt;"><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;margin:14pt 0pt 0pt 0pt;"><span style="font-weight:bold;margin-bottom:5pt;margin-top:5pt;visibility:hidden;">&#8203;</span></p></td><td style="vertical-align:top;width:84.61%;margin:0pt;padding:0pt 5.4pt 0pt 5.4pt;"><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;margin:14pt 0pt 0pt 0pt;"><span style="margin-bottom:5pt;margin-top:5pt;visibility:hidden;">&#8203;</span></p></td></tr><tr><td style="vertical-align:top;width:15.38%;margin:0pt;padding:0pt 5.4pt 0pt 5.4pt;"><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;margin:14pt 0pt 0pt 0pt;"><span style="font-weight:bold;margin-bottom:5pt;margin-top:5pt;visibility:hidden;">&#8203;</span></p></td><td style="vertical-align:top;width:84.61%;margin:0pt;padding:0pt 5.4pt 0pt 5.4pt;"><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;margin:14pt 0pt 0pt 0pt;"><span style="margin-bottom:5pt;margin-top:5pt;visibility:hidden;">&#8203;</span></p></td></tr></table><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;margin:0pt;"><span style="font-size:1pt;visibility:hidden;">&#8203;</span></p><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;margin:0pt;"><span style="visibility:hidden;">&#8203;</span></p><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;margin:0pt;"><span style="visibility:hidden;">&#8203;</span></p><p style="display:none;font-family:'Times New Roman','Times','serif';line-height:0pt;margin:0pt;"><span style="font-size:0pt;margin-bottom:5pt;margin-top:5pt;visibility:hidden;">&#8203;</span></p></div><div style="clear:both;display:table;margin-bottom:23.75pt;min-height:48.25pt;width:100%;"><div style="display:table-cell;vertical-align:bottom;width:100%;"><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;text-align:center;margin:0pt;">2</p><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;margin:0pt;"><span style="visibility:hidden;">&#8203;</span></p></div></div></div>
<div style="background-color:#000000;clear:both;height:2pt;page-break-after:always;width:76.47%;border:0;margin:30pt 11.76% 30pt 11.76%;"></div><div style="max-width:100%;padding-left:11.76%;padding-right:11.76%;position:relative;"><div style="clear:both;max-width:100%;position:relative;"><a id="_7e2d8dfe_32cf_4be3_b615_7460641dab54"></a><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;text-align:center;margin:0pt;"><b style="font-weight:bold;">SIGNATURES</b></p><p style="font-family:'Times New Roman','Times','serif';font-size:12pt;margin:12pt 0pt 12pt 0pt;"><span style="display:inline-block;text-indent:0pt;width:36pt;"></span><span style="font-size:10pt;">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.</span></p><table style="border-collapse:collapse;font-size:16pt;height:max-content;padding-left:0pt;padding-right:0pt;width:100%;"><tr style="height:1pt;"><td style="vertical-align:top;width:49.91%;margin:0pt;padding:0pt;"><div style="height:1pt;overflow:hidden;overflow-wrap:break-word;position:relative;"><div style="position:absolute;top:0pt;width:100%;"></div></div></td><td colspan="2" style="vertical-align:top;width:3.18%;margin:0pt;padding:0pt;"><div style="height:1pt;overflow:hidden;overflow-wrap:break-word;position:relative;"><div style="position:absolute;top:0pt;width:100%;"></div></div></td><td style="vertical-align:top;width:46.9%;margin:0pt;padding:0pt;"><div style="height:1pt;overflow:hidden;overflow-wrap:break-word;position:relative;"><div style="position:absolute;top:0pt;width:100%;"></div></div></td></tr><tr style="height:1pt;"><td colspan="2" style="vertical-align:top;width:50%;margin:0pt;padding:0pt 5.4pt 0pt 5.4pt;"><div style="height:1pt;overflow:hidden;overflow-wrap:break-word;position:relative;"><div style="position:absolute;top:0pt;width:100%;"><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;margin:0pt;"><span style="font-size:1pt;visibility:hidden;">&#8203;</span></p></div></div></td><td colspan="2" style="vertical-align:top;width:50%;margin:0pt;padding:0pt 5.4pt 0pt 5.4pt;"><div style="height:1pt;overflow:hidden;overflow-wrap:break-word;position:relative;"><div style="position:absolute;top:0pt;width:100%;"><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;margin:0pt;"><span style="font-size:1pt;visibility:hidden;">&#8203;</span></p></div></div></td></tr><tr><td colspan="2" style="vertical-align:top;width:50%;margin:0pt;padding:0pt 5.4pt 0pt 5.4pt;"><p style="font-family:'Times New Roman','Times','serif';font-size:12pt;margin:12pt 0pt 12pt 0pt;"><span style="font-size:10pt;visibility:hidden;">&#8203;</span></p></td><td colspan="2" style="vertical-align:top;width:50%;margin:0pt;padding:0pt 5.4pt 0pt 5.4pt;"><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;margin:12pt 0pt 12pt 0pt;"><b style="font-weight:bold;">Kiromic BioPharma, Inc.</b></p></td></tr><tr><td style="vertical-align:top;width:49.91%;margin:0pt;padding:0pt;"><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;line-height:1.27;margin:0pt;">Date: November 24, 2021</p></td><td colspan="2" style="vertical-align:top;width:3.18%;margin:0pt;padding:0pt;"><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;line-height:1.27;margin:0pt;">By:</p></td><td style="vertical-align:top;width:46.9%;border-bottom:1.5pt solid #000000;margin:0pt;padding:0pt;"><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;line-height:1.27;margin:0pt;"><i style="font-style:italic;">/s/&#160;Daniel Clark</i></p></td></tr><tr><td style="vertical-align:top;width:49.91%;margin:0pt;padding:0pt;"><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;line-height:1.27;margin:0pt;">&#160;</p></td><td colspan="2" style="vertical-align:top;width:3.18%;margin:0pt;padding:0pt;"><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;line-height:1.27;margin:0pt;">&#160;</p></td><td style="vertical-align:top;width:46.9%;margin:0pt;padding:0pt;"><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;line-height:1.27;margin:0pt;">Daniel Clark</p><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;line-height:1.27;margin:0pt;">Interim Chief Financial Officer</p><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;line-height:1.27;margin:0pt;"><span style="visibility:hidden;">&#8203;</span></p></td></tr><tr><td colspan="2" style="vertical-align:top;width:50%;margin:0pt;padding:0pt 5.4pt 0pt 5.4pt;"><p style="font-family:'Times New Roman','Times','serif';font-size:12pt;margin:0pt 0pt 12pt 0pt;"><span style="font-size:10pt;visibility:hidden;">&#8203;</span></p></td><td colspan="2" style="vertical-align:bottom;width:50%;margin:0pt;padding:0pt 5.4pt 0pt 5.4pt;"><p style="font-family:'Times New Roman','Times','serif';font-size:12pt;margin:0pt 0pt 12pt 0pt;"><span style="font-size:10pt;font-style:italic;visibility:hidden;">&#8203;</span></p></td></tr><tr style="height:24pt;"><td colspan="2" style="vertical-align:top;width:50%;margin:0pt;padding:0pt 5.4pt 0pt 5.4pt;"><div style="height:24pt;overflow:hidden;overflow-wrap:break-word;position:relative;"><div style="position:absolute;top:0pt;width:100%;"><p style="font-family:'Times New Roman','Times','serif';font-size:12pt;margin:12pt 0pt 12pt 0pt;"><span style="font-size:10pt;visibility:hidden;">&#8203;</span></p></div></div></td><td colspan="2" style="vertical-align:top;width:50%;margin:0pt;padding:0pt 5.4pt 0pt 5.4pt;"><div style="height:24pt;overflow:hidden;overflow-wrap:break-word;position:relative;"><div style="position:absolute;top:0pt;width:100%;"><p style="font-family:'Times New Roman','Times','serif';font-size:12pt;margin:0pt 0pt 12pt 0pt;"><span style="font-size:10pt;visibility:hidden;">&#8203;</span></p></div></div></td></tr></table><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;margin:0pt;"><span style="visibility:hidden;">&#8203;</span></p><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;margin:0pt;"><span style="font-size:1pt;visibility:hidden;">&#8203;</span></p><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;margin:0pt;"><span style="visibility:hidden;">&#8203;</span></p><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;margin:0pt;"><span style="visibility:hidden;">&#8203;</span></p><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;margin:0pt;"><span style="visibility:hidden;">&#8203;</span></p></div><div style="clear:both;display:table;margin-bottom:23.75pt;min-height:48.25pt;width:100%;"><div style="display:table-cell;vertical-align:bottom;width:100%;"><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;text-align:center;margin:0pt;">3</p><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;margin:0pt;"><span style="visibility:hidden;">&#8203;</span></p></div></div></div>
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{"company-data": {"conformed-name": "Kiromic Biopharma, Inc.", "cik": "0001792581", "assigned-sic": "2836", "irs-number": "464762913", "state-of-incorporation": "DE", "fiscal-year-end": "1231"}, "filing-values": {"form-type": "8-K", "act": "34", "file-number": "001-39619", "film-number": "211447060"}, "business-address": {"street1": "7707 FANNIN ST.", "street2": "SUITE 140", "city": "HOUSTON", "state": "TX", "zip": "77054", "phone": "832-968-4888"}, "mail-address": {"street1": "7707 FANNIN ST.", "street2": "SUITE 140", "city": "HOUSTON", "state": "TX", "zip": "77054"}, "former-company": {"former-conformed-name": "Kiromic, Inc.", "date-changed": "20191029"}}
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, DC 20549
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FORM
8-K
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CURRENT REPORT
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Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934
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Date of Report (Date of earliest event reported):
November 18, 2021
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KIROMIC BIOPHARMA, INC.
(Exact name of registrant as specified in its charter)
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Delaware
001-39619
46-4762913
(State or other jurisdiction
of incorporation)
(Commission
File Number)
(IRS Employer
Identification No.)
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7707 Fannin
,
Suite 140
Houston
,
TX
,
77054
(Address of principal executive offices) (Zip Code)
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Registrant's telephone number, including area code
(
832
)
968-4888
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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)
☐
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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Securities registered pursuant to Section 12(b) of the Act:
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Title of Each Class
Trading Symbol(s)
Name of Each Exchange on Which Registered
Common Stock, $0.001 par value
KRBP
The Nasdaq Stock Market LLC
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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).
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Emerging growth company
☒
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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.
☐
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1
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Item 3.01
Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing
On November 18, 2021, Kiromic BioPharma, Inc. (the "Company") received a written notice (the "Notice") from the Listing Qualifications Department of The Nasdaq Stock Market ("Nasdaq") advising the Company that it was not in compliance with Nasdaq's continued listing requirements under the Nasdaq Listing Rule 5250(c)(1) (the "Rule") as a result of its failure to file its Quarterly Report on Form 10-Q for the quarter ended September 30, 2021 (the "Form 10-Q") in a timely manner. The Rule requires listed companies to timely file all required periodic reports with the Securities and Exchange Commission (the "SEC"). The Company previously reported in its Form 12b-25
filed with the SEC  on November 16, 2021 that the Company was unable to file its Form 10-Q
within the prescribed time period without unreasonable effort or expense.
The Notice has no immediate effect on the listing or trading of the Company's common stock. However, if the Company fails to timely regain compliance with the Rule, the Company's common stock will be subject to delisting from Nasdaq. Under Nasdaq rules, the Company has 60 calendar days from receipt of the Notice or until January 18, 2022, to submit a plan to regain compliance with the Rule. If Nasdaq accepts the Company's plan, then Nasdaq may grant an exception of up to 180 calendar days from the due date of the Form 10-Q, or until May 16, 2022, to regain compliance. However, there can be no assurance that Nasdaq will accept the Company's plan to regain compliance or that the Company will be able to regain compliance within any extension period granted by Nasdaq. If Nasdaq does not accept the Company's plan, then the Company will have the opportunity to appeal that decision to a Nasdaq hearings panel.
The Company is working diligently to complete its Form 10-Q. The Company intends to file the Form 10-Q with the SEC as promptly as practicable.
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Item 8.01.
Other Events.
On November 24, 2021, the Company issued a press release announcing its receipt of the Notice. A copy of the press release is attached hereto as Exhibit 99.1 and is incorporated herein by reference.
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Item 9.01 Financial Statements and Exhibit
(d) Exhibits.
The following exhibit is filed with this Current Report on Form 8-K:
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Exhibit
Number
Description
99.1
Press Release dated November 24, 2021 of Kiromic BioPharma, Inc.
104
Cover Page Interactive Data File (embedded within the Inline XBRL document).
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2
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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.
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Kiromic BioPharma, Inc.
Date: November 24, 2021
By:
/s/ Daniel Clark
Daniel Clark
Interim Chief Financial Officer
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3
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