<!--Enhanced HTML document created with Toppan Merrill Bridge  9.9.0.72--><!--Created on: 12/18/2020 11:05:59 AM (UTC)--><!DOCTYPE HTML PUBLIC "-//W3C//DTD HTML 4.01 Transitional//EN" "http://www.w3.org/TR/html4/loose.dtd"><html><head><meta charset="UTF-8"><title></title></head><body><div style="margin-top:30pt;"></div><div style="max-width:100%;padding-left:8.17%;padding-right:10.29%;position:relative;"><div style="clear:both;max-width:100%;position:relative;"><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;text-align:center;margin:2pt 0pt 0pt 0pt;"><b style="font-size:18pt;font-weight:bold;">UNITED STATES</b></p><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;text-align:center;margin:2pt 0pt 0pt 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:3pt 0pt 6pt 0pt;"><b style="font-size:12pt;font-weight:bold;">Washington, D.C. 20549</b></p><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;text-align:center;margin:3pt 0pt 6pt 0pt;"><b style="font-size:18pt;font-weight:bold;">FORM 8-K</b></p><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;line-height:1.43;text-align:center;margin:3pt 0pt 3pt 0pt;"><b style="font-size:13.5pt;font-weight:bold;">CURRENT REPORT</b></p><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;text-align:center;margin:3pt 0pt 3pt 0pt;"><b style="font-size:12pt;font-weight:bold;">Pursuant to Section 13 or 15(d) of the</b></p><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;text-align:center;margin:3pt 0pt 3pt 0pt;"><b style="font-size:12pt;font-weight:bold;">Securities Exchange Act of 1934</b></p><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;text-align:center;margin:3pt 0pt 12pt 0pt;"><b style="font-size:12pt;font-weight:bold;">Date of Report (Date of earliest event reported): December 16, 2020</b></p><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;text-align:center;margin:3pt 0pt 0pt 0pt;"><b style="font-size:24pt;font-weight:bold;">OBALON THERAPEUTICS, INC.</b></p><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;text-align:center;margin:3pt 0pt 3pt 0pt;"><b style="font-weight:bold;">(Exact name of registrant as specified in its charter)</b></p><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;text-align:center;margin:3pt 0pt 3pt 0pt;"><b style="font-weight:bold;">Delaware</b></p><p style="font-family:'Times New Roman','Times','serif';font-size:7pt;text-align:center;margin:0pt 0pt 10pt 0pt;"><b style="font-size:7.5pt;font-weight:bold;">(State or other jurisdiction of incorporation)</b></p><div><table style="border-collapse:collapse;font-size:16pt;height:max-content;margin-left:auto;margin-right:auto;padding-left:0.5pt;padding-right:0.5pt;table-layout:auto;width:100%;" align="center"><tr style="height:13pt;"><td style="vertical-align:top;width:45.26%;margin:0pt;padding:0pt 3pt 0pt 3pt;"><div style="height:13pt;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;text-align:center;margin:2pt 3pt 2pt 3pt;"><b style="font-weight:bold;">001-37897</b></p></div></div></td><td style="vertical-align:bottom;width:21.05%;margin:0pt;padding:0pt 0pt 0pt 3pt;"><div style="height:13pt;overflow:hidden;overflow-wrap:break-word;position:relative;"><div style="bottom:0pt;position:absolute;width:100%;"><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;margin:2pt 0pt 2pt 0pt;"><font style="visibility:hidden;">&#8203;</font></p></div></div></td><td style="vertical-align:top;width:33.68%;margin:0pt;padding:0pt 3pt 0pt 3pt;"><div style="height:13pt;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;text-align:center;margin:2pt 3pt 2pt 3pt;"><b style="font-weight:bold;">20-1828101</b></p></div></div></td></tr><tr style="height:20pt;"><td style="vertical-align:top;width:45.26%;margin:0pt;padding:0pt 3pt 0pt 3pt;"><div style="height:20pt;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:7pt;text-align:center;margin:2pt 3pt 0pt 3pt;"><b style="font-size:7.5pt;font-weight:bold;">(Commission</b></p><p style="font-family:'Times New Roman','Times','serif';font-size:7pt;text-align:center;margin:0pt 3pt 2pt 3pt;"><b style="font-size:7.5pt;font-weight:bold;">File Number)</b></p></div></div></td><td style="vertical-align:bottom;width:21.05%;margin:0pt;padding:0pt 0pt 0pt 3pt;"><div style="height:20pt;overflow:hidden;overflow-wrap:break-word;position:relative;"><div style="bottom:0pt;position:absolute;width:100%;"><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;margin:2pt 0pt 2pt 0pt;"><font style="visibility:hidden;">&#8203;</font></p></div></div></td><td style="vertical-align:top;width:33.68%;margin:0pt;padding:0pt 3pt 0pt 3pt;"><div style="height:20pt;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:7pt;text-align:center;margin:2pt 3pt 0pt 3pt;"><b style="font-size:7.5pt;font-weight:bold;">(IRS Employer</b></p><p style="font-family:'Times New Roman','Times','serif';font-size:7pt;text-align:center;margin:0pt 3pt 1pt 3pt;"><b style="font-size:7.5pt;font-weight:bold;">Identification No.)</b></p></div></div></td></tr></table></div><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;margin:2pt 0pt 7pt 0pt;"><font style="visibility:hidden;">&#8203;</font></p><div><table style="border-collapse:collapse;font-size:16pt;height:max-content;margin-left:auto;margin-right:auto;padding-left:0.5pt;padding-right:0.5pt;table-layout:auto;width:100%;" align="center"><tr style="height:29pt;"><td style="vertical-align:bottom;width:45.68%;margin:0pt;padding:0pt 3pt 0pt 3pt;"><div style="height:29pt;overflow:hidden;overflow-wrap:break-word;position:relative;"><div style="bottom:0pt;position:absolute;width:100%;"><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;text-align:center;margin:2pt 2.9pt 0pt 2.9pt;"><b style="font-weight:bold;">5421 Avenida Encinas, Suite F</b></p><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;text-align:center;margin:0pt 2.9pt 2pt 2.9pt;"><b style="font-weight:bold;">Carlsbad, California</b></p></div></div></td><td style="vertical-align:bottom;width:19.35%;margin:0pt;padding:0pt 0pt 0pt 3pt;"><div style="height:29pt;overflow:hidden;overflow-wrap:break-word;position:relative;"><div style="bottom:0pt;position:absolute;width:100%;"><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;margin:2pt 0pt 2pt 0pt;"><font style="visibility:hidden;">&#8203;</font></p></div></div></td><td style="vertical-align:bottom;width:34.95%;margin:0pt;padding:0pt 3pt 0pt 3pt;"><div style="height:29pt;overflow:hidden;overflow-wrap:break-word;position:relative;"><div style="bottom:0pt;position:absolute;width:100%;"><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;text-align:center;margin:0pt 2.9pt 2pt 2.9pt;"><b style="font-weight:bold;">92008</b></p></div></div></td></tr><tr style="height:13.7pt;"><td style="vertical-align:top;width:45.68%;margin:0pt;padding:0pt 3pt 0pt 3pt;"><div style="height:13.7pt;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:7pt;text-align:center;margin:2pt 3pt 2pt 3pt;"><b style="font-size:7.5pt;font-weight:bold;">(Address of principal executive offices)</b></p></div></div></td><td style="vertical-align:top;width:19.35%;margin:0pt;padding:0pt 0pt 0pt 3pt;"><div style="height:13.7pt;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:2pt 0pt 2pt 0pt;"><font style="visibility:hidden;">&#8203;</font></p></div></div></td><td style="vertical-align:top;width:34.95%;margin:0pt;padding:0pt 3pt 0pt 3pt;"><div style="height:13.7pt;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:7pt;text-align:center;margin:2pt 3pt 2pt 3pt;"><b style="font-size:7.5pt;font-weight:bold;">(Zip Code)</b></p></div></div></td></tr></table></div><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;line-height:1.43;text-align:center;margin:6pt 0pt 0pt 0pt;"><b style="font-weight:bold;">(844) 362-2566</b></p><p style="font-family:'Times New Roman','Times','serif';font-size:7pt;line-height:1.43;text-align:center;margin:3pt 0pt 0pt 0pt;"><b style="font-size:7.5pt;font-weight:bold;">(Registrant&#8217;s telephone number, including area code)</b></p><p style="font-family:'Times New Roman','Times','serif';font-size:7pt;line-height:1.43;text-align:center;margin:3pt 0pt 0pt 0pt;"><b style="font-size:7.5pt;font-weight:bold;">(Former name or former address, if changed since last report)</b></p><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;line-height:1.43;margin:3pt 0pt 10pt 0pt;">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:</p><div style="padding-left:3pt;" align="left"><table style="border-collapse:collapse;font-size:16pt;height:max-content;padding-left:0.5pt;padding-right:0.5pt;table-layout:auto;width:100%;"><tr style="height:14pt;"><td style="vertical-align:top;width:3.8%;margin:0pt;padding:0pt 2pt 0pt 3pt;"><div style="height:14pt;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:2pt 2pt 2pt 3pt;"><font style="font-family:'Times New Roman';">&#9723;</font></p></div></div></td><td style="vertical-align:top;width:96.19%;margin:0pt;padding:0pt 2pt 0pt 3pt;"><div style="height:14pt;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:2pt 2pt 2pt 3pt;">Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)</p></div></div></td></tr></table></div><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;line-height:9pt;margin:0pt;"><font style="font-size:9pt;visibility:hidden;">&#8203;</font></p><div style="padding-left:3pt;" align="left"><table style="border-collapse:collapse;font-size:16pt;height:max-content;padding-left:0.5pt;padding-right:0.5pt;table-layout:auto;width:100%;"><tr style="height:14pt;"><td style="vertical-align:top;width:3.8%;margin:0pt;padding:0pt 2pt 0pt 3pt;"><div style="height:14pt;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:2pt 2pt 2pt 3pt;"><font style="font-family:'Times New Roman';">&#9723;</font></p></div></div></td><td style="vertical-align:top;width:96.19%;margin:0pt;padding:0pt 2pt 0pt 3pt;"><div style="height:14pt;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:2pt 2pt 2pt 3pt;">Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)</p></div></div></td></tr></table></div><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;line-height:9pt;margin:0pt;"><font style="font-size:9pt;visibility:hidden;">&#8203;</font></p><div style="padding-left:3pt;" align="left"><table style="border-collapse:collapse;font-size:16pt;height:max-content;padding-left:0.5pt;padding-right:0.5pt;table-layout:auto;width:100%;"><tr style="height:14pt;"><td style="vertical-align:top;width:3.8%;margin:0pt;padding:0pt 2pt 0pt 3pt;"><div style="height:14pt;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:2pt 2pt 2pt 3pt;"><font style="font-family:'Times New Roman';">&#9723;</font></p></div></div></td><td style="vertical-align:top;width:96.19%;margin:0pt;padding:0pt 2pt 0pt 3pt;"><div style="height:14pt;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:2pt 2pt 2pt 3pt;">Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))</p></div></div></td></tr></table></div><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;line-height:9pt;margin:0pt;"><font style="font-size:9pt;visibility:hidden;">&#8203;</font></p><div style="padding-left:3pt;" align="left"><table style="border-collapse:collapse;font-size:16pt;height:max-content;padding-left:0.5pt;padding-right:0.5pt;table-layout:auto;width:100%;"><tr style="height:14pt;"><td style="vertical-align:top;width:3.8%;margin:0pt;padding:0pt 2pt 0pt 3pt;"><div style="height:14pt;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:2pt 2pt 2pt 3pt;"><font style="font-family:'Times New Roman';">&#9723;</font></p></div></div></td><td style="vertical-align:top;width:96.19%;margin:0pt;padding:0pt 2pt 0pt 3pt;"><div style="height:14pt;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:2pt 2pt 2pt 0pt;"><font style="white-space:pre-wrap;"> Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))</font></p></div></div></td></tr></table></div><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;line-height:9pt;margin:0pt;"><font style="font-size:9pt;visibility:hidden;">&#8203;</font></p><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;line-height:9pt;margin:0pt;">Securities registered pursuant to Section 12(b) of the Act: </p><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;line-height:9pt;margin:0pt;"><font style="font-size:9pt;visibility:hidden;">&#8203;</font></p><div><table style="border-collapse:collapse;font-size:16pt;height:max-content;margin-left:auto;margin-right:auto;padding-left:0.5pt;padding-right:0.5pt;table-layout:auto;width:100%;" align="center"><tr style="height:1pt;"><td style="vertical-align:middle;width:33.19%;margin:0pt;padding:0pt 3pt 0pt 3pt;"><div style="height:1pt;overflow:hidden;overflow-wrap:break-word;position:relative;"><div style="position:absolute;top:50%;transform:translate(0,-50%);width:100%;"><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;margin:0pt;"><font style="font-size:1pt;visibility:hidden;">&#8203;</font></p></div></div></td><td style="vertical-align:middle;width:26.92%;margin:0pt;padding:0pt 3pt 0pt 3pt;"><div style="height:1pt;overflow:hidden;overflow-wrap:break-word;position:relative;"><div style="position:absolute;top:50%;transform:translate(0,-50%);width:100%;"><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;margin:0pt;"><font style="font-size:1pt;visibility:hidden;">&#8203;</font></p></div></div></td><td style="vertical-align:middle;width:39.87%;margin:0pt;padding:0pt 3pt 0pt 3pt;"><div style="height:1pt;overflow:hidden;overflow-wrap:break-word;position:relative;"><div style="position:absolute;top:50%;transform:translate(0,-50%);width:100%;"><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;margin:0pt;"><font style="font-size:1pt;visibility:hidden;">&#8203;</font></p></div></div></td></tr><tr style="height:22pt;"><td style="vertical-align:middle;width:33.19%;border-bottom:1.0pt solid #000000;border-left:1.0pt solid #000000;border-right:1.0pt solid #000000;border-top:1.0pt solid #000000;margin:0pt;padding:0pt 2.5pt 0pt 2.5pt;"><div style="height:22pt;overflow:hidden;overflow-wrap:break-word;position:relative;"><div style="position:absolute;top:50%;transform:translate(0,-50%);width:100%;"><p style="font-family:'Times New Roman','Times','serif';font-size:9pt;text-align:center;margin:2pt 3pt 2pt 3pt;">Title of each class</p></div></div></td><td style="vertical-align:middle;width:26.92%;border-bottom:1.0pt solid #000000;border-right:1.0pt solid #000000;border-top:1.0pt solid #000000;margin:0pt;padding:0pt 2.5pt 0pt 2.5pt;"><div style="height:22pt;overflow:hidden;overflow-wrap:break-word;position:relative;"><div style="position:absolute;top:50%;transform:translate(0,-50%);width:100%;"><p style="font-family:'Times New Roman','Times','serif';font-size:9pt;text-align:center;margin:2pt 3pt 2pt 3pt;">Trading Symbol(s)</p></div></div></td><td style="vertical-align:middle;width:39.87%;border-bottom:1.0pt solid #000000;border-right:1.0pt solid #000000;border-top:1.0pt solid #000000;margin:0pt;padding:0pt 2.5pt 0pt 2.5pt;"><div style="height:22pt;overflow:hidden;overflow-wrap:break-word;position:relative;"><div style="position:absolute;top:50%;transform:translate(0,-50%);width:100%;"><p style="font-family:'Times New Roman','Times','serif';font-size:9pt;text-align:center;margin:2pt 3pt 2pt 3pt;">Name of each exchange on which registered</p></div></div></td></tr><tr style="height:25.95pt;"><td style="vertical-align:middle;width:33.19%;border-bottom:1.0pt solid #000000;border-left:1.0pt solid #000000;border-right:1.0pt solid #000000;margin:0pt;padding:0pt 2.5pt 0pt 2.5pt;"><div style="height:25.95pt;overflow:hidden;overflow-wrap:break-word;position:relative;"><div style="position:absolute;top:50%;transform:translate(0,-50%);width:100%;"><p style="font-family:'Times New Roman','Times','serif';font-size:9pt;text-align:center;margin:2pt 3pt 2pt 3pt;">Common stock, par value $0.001 per share</p></div></div></td><td style="vertical-align:middle;width:26.92%;border-bottom:1.0pt solid #000000;border-right:1.0pt solid #000000;margin:0pt;padding:0pt 2.5pt 0pt 2.5pt;"><div style="height:25.95pt;overflow:hidden;overflow-wrap:break-word;position:relative;"><div style="position:absolute;top:50%;transform:translate(0,-50%);width:100%;"><p style="font-family:'Times New Roman','Times','serif';font-size:9pt;text-align:center;margin:2pt 3pt 2pt 3pt;">OBLN</p></div></div></td><td style="vertical-align:middle;width:39.87%;border-bottom:1.0pt solid #000000;border-right:1.0pt solid #000000;margin:0pt;padding:0pt 2.5pt 0pt 2.5pt;"><div style="height:25.95pt;overflow:hidden;overflow-wrap:break-word;position:relative;"><div style="position:absolute;top:50%;transform:translate(0,-50%);width:100%;"><p style="font-family:'Times New Roman','Times','serif';font-size:9pt;text-align:center;margin:2pt 3pt 0pt 3pt;">The NASDAQ Stock Market LLC</p><p style="font-family:'Times New Roman','Times','serif';font-size:9pt;text-align:center;margin:0pt 3pt 2pt 3pt;">(NASDAQ Global Market)</p></div></div></td></tr></table></div><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;margin:0pt;"><font style="visibility:hidden;">&#8203;</font></p><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;line-height:1.43;margin:0pt;">Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (&#167;230.405 of this chapter) or Rule&#160;12b-2&#160;of the Securities Exchange Act of 1934 (&#167;240.12b-2 of this chapter).&#160;Emerging growth company <font style="font-family:'Times New Roman';">&#8999;</font></p><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;margin:0pt;"><font style="visibility:hidden;">&#8203;</font></p><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;line-height:1.43;margin:0pt;">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. <font style="font-family:'Times New Roman';">&#8999;</font></p><p style="display:none;line-height:0pt;margin:0pt;"><font style="font-family:'Times New Roman','Times','serif';font-size:0pt;visibility:hidden;">&#8203;</font></p></div></div><hr style="background-color:#000000;clear:both;color:#000000;height:2pt;line-height:0;margin-bottom:30pt;margin-left:8.17%;margin-right:10.29%;margin-top:30pt;page-break-after:always;width:81.54%;border-width:0;"><div style="max-width:100%;padding-left:8.17%;padding-right:10.29%;position:relative;"><div style="margin-top:8pt;width:100%;"><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;margin:0pt;"><font style="visibility:hidden;">&#8203;</font></p></div><div style="clear:both;max-width:100%;position:relative;"><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;line-height:1.43;margin:0pt;"><b style="font-weight:bold;">Item 8.01 Other Events.</b></p><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;margin:0pt;"><font style="visibility:hidden;">&#8203;</font></p><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;line-height:1.43;margin:0pt;"><font style="white-space:pre-wrap;">On December 16, 2020, Obalon Therapeutics, Inc. (the &#8220;Company&#8221;) received a written notification from the Nasdaq Listing Qualifications staff confirming that the closing bid price of the Company&#8217;s common stock has been $1.00 per share or greater for 10 consecutive business days and that the Company has accordingly regained compliance with the minimum bid requirement for continued listing on Nasdaq under Nasdaq Listing Rule 5450(a)(1).  The Company had previously been notified of its non-compliance with this rule on August 6, 2020 after the closing bid price of its common stock had been below $1.00 for 30 consecutive business days.</font></p><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;line-height:1.43;margin:0pt;"><font style="visibility:hidden;">&#8203;</font></p><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;line-height:1.43;margin:0pt;">With the Company&#8217;s transfer to the Nasdaq Capital Market effective today and its satisfaction of the minimum bid requirement, the Company is currently in full compliance with the continued listing standards of Nasdaq.</p><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;line-height:1.43;margin:0pt;"><font style="font-weight:bold;visibility:hidden;">&#8203;</font></p><p style="display:none;line-height:0pt;margin:0pt;"><font style="font-family:'Times New Roman','Times','serif';font-size:0pt;visibility:hidden;">&#8203;</font></p></div><div style="clear:both;margin-bottom:13pt;width:100%;"><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;margin:0pt;"><font style="visibility:hidden;">&#8203;</font></p></div></div><hr style="background-color:#000000;clear:both;color:#000000;height:2pt;line-height:0;margin-bottom:30pt;margin-left:8.17%;margin-right:10.29%;margin-top:30pt;page-break-after:always;width:81.54%;border-width:0;"><div style="max-width:100%;padding-left:8.17%;padding-right:10.29%;position:relative;"><div style="margin-top:8pt;width:100%;"><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;margin:0pt;"><font style="visibility:hidden;">&#8203;</font></p></div><div style="clear:both;max-width:100%;position:relative;"><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;line-height:1.71;text-align:center;margin:0pt;"><b style="font-weight:bold;">SIGNATURE</b><a name="Signature_Page"></a></p><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;line-height:1.71;margin:6pt 0pt 18pt 0pt;"><font style="display:inline-block;text-indent:0pt;width:36pt;"></font>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.</p><div><table style="border-collapse:collapse;font-size:16pt;height:max-content;margin-left:auto;margin-right:auto;padding-left:0.5pt;padding-right:0.5pt;table-layout:auto;width:100%;" align="center"><tr style="height:13pt;"><td style="vertical-align:top;width:46.58%;margin:0pt;padding:0pt 0pt 0pt 3pt;"><div style="height:13pt;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:2pt 0pt 2pt 0pt;"><font style="visibility:hidden;">&#8203;</font></p></div></div></td><td style="vertical-align:bottom;width:0.91%;margin:0pt;padding:0pt 0pt 0pt 3pt;"><div style="height:13pt;overflow:hidden;overflow-wrap:break-word;position:relative;"><div style="bottom:0pt;position:absolute;width:100%;"><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;margin:2pt 0pt 2pt 0pt;"><font style="visibility:hidden;">&#8203;</font></p></div></div></td><td colspan="2" style="vertical-align:bottom;width:52.5%;margin:0pt;padding:0pt 2pt 0pt 3pt;"><div style="height:13pt;overflow:hidden;overflow-wrap:break-word;position:relative;"><div style="bottom:0pt;position:absolute;width:100%;"><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;margin:2pt 2pt 2pt 3pt;"><b style="font-weight:bold;">OBALON THERAPEUTICS, INC.</b></p></div></div></td></tr><tr style="height:12pt;"><td style="vertical-align:middle;width:46.58%;margin:0pt;padding:0pt 0pt 0pt 3pt;"><div style="height:12pt;overflow:hidden;overflow-wrap:break-word;position:relative;"><div style="position:absolute;top:50%;transform:translate(0,-50%);width:100%;"><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;margin:2pt 0pt 2pt 0pt;"><font style="visibility:hidden;">&#8203;</font></p></div></div></td><td colspan="2" style="vertical-align:middle;width:6.82%;margin:0pt;padding:0pt 0pt 0pt 3pt;"><div style="height:12pt;overflow:hidden;overflow-wrap:break-word;position:relative;"><div style="position:absolute;top:50%;transform:translate(0,-50%);width:100%;"><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;margin:2pt 0pt 2pt 0pt;"><font style="visibility:hidden;">&#8203;</font></p></div></div></td><td style="vertical-align:bottom;width:46.59%;margin:0pt;padding:0pt 0pt 0pt 3pt;"><div style="height:12pt;overflow:hidden;overflow-wrap:break-word;position:relative;"><div style="bottom:0pt;position:absolute;width:100%;"><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;margin:2pt 0pt 2pt 0pt;"><font style="visibility:hidden;">&#8203;</font></p></div></div></td></tr><tr style="height:12pt;"><td style="vertical-align:middle;width:46.58%;margin:0pt;padding:0pt 0pt 0pt 3pt;"><div style="height:12pt;overflow:hidden;overflow-wrap:break-word;position:relative;"><div style="position:absolute;top:50%;transform:translate(0,-50%);width:100%;"><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;margin:2pt 0pt 2pt 0pt;"><font style="visibility:hidden;">&#8203;</font></p></div></div></td><td colspan="2" style="vertical-align:middle;width:6.82%;margin:0pt;padding:0pt 0pt 0pt 3pt;"><div style="height:12pt;overflow:hidden;overflow-wrap:break-word;position:relative;"><div style="position:absolute;top:50%;transform:translate(0,-50%);width:100%;"><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;margin:2pt 0pt 2pt 0pt;"><font style="visibility:hidden;">&#8203;</font></p></div></div></td><td style="vertical-align:bottom;width:46.59%;margin:0pt;padding:0pt 0pt 0pt 3pt;"><div style="height:12pt;overflow:hidden;overflow-wrap:break-word;position:relative;"><div style="bottom:0pt;position:absolute;width:100%;"><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;margin:2pt 0pt 2pt 0pt;"><font style="visibility:hidden;">&#8203;</font></p></div></div></td></tr><tr style="height:14pt;"><td style="vertical-align:top;width:46.58%;margin:0pt;padding:0pt 2pt 0pt 3pt;"><div style="height:14pt;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:2pt 2pt 2pt 3pt;">Date: December 18, 2020</p></div></div></td><td style="vertical-align:bottom;width:0.91%;margin:0pt;padding:0pt 0pt 0pt 3pt;"><div style="height:14pt;overflow:hidden;overflow-wrap:break-word;position:relative;"><div style="bottom:0pt;position:absolute;width:100%;"><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;margin:2pt 0pt 2pt 0pt;"><font style="visibility:hidden;">&#8203;</font></p></div></div></td><td style="vertical-align:bottom;width:5.91%;margin:0pt;padding:0pt 2pt 0pt 3pt;"><div style="height:14pt;overflow:hidden;overflow-wrap:break-word;position:relative;"><div style="bottom:0pt;position:absolute;width:100%;"><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;margin:2pt 2pt 2pt 3pt;">By:</p></div></div></td><td style="vertical-align:bottom;width:46.59%;border-bottom:1.0pt solid #000000;margin:0pt;padding:0pt 2pt 0pt 3pt;"><div style="height:14pt;overflow:hidden;overflow-wrap:break-word;position:relative;"><div style="bottom:0pt;position:absolute;width:100%;"><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;margin:2pt 2pt 2pt 3pt;">/s/ Nooshin Hussainy</p></div></div></td></tr><tr style="height:14pt;"><td style="vertical-align:top;width:46.58%;margin:0pt;padding:0pt 0pt 0pt 3pt;"><div style="height:14pt;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:2pt 0pt 2pt 0pt;"><font style="visibility:hidden;">&#8203;</font></p></div></div></td><td style="vertical-align:bottom;width:0.91%;margin:0pt;padding:0pt 0pt 0pt 3pt;"><div style="height:14pt;overflow:hidden;overflow-wrap:break-word;position:relative;"><div style="bottom:0pt;position:absolute;width:100%;"><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;margin:2pt 0pt 2pt 0pt;"><font style="visibility:hidden;">&#8203;</font></p></div></div></td><td style="vertical-align:bottom;width:5.91%;margin:0pt;padding:0pt 0pt 0pt 3pt;"><div style="height:14pt;overflow:hidden;overflow-wrap:break-word;position:relative;"><div style="bottom:0pt;position:absolute;width:100%;"><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;margin:2pt 0pt 2pt 0pt;"><font style="visibility:hidden;">&#8203;</font></p></div></div></td><td style="vertical-align:bottom;width:46.59%;margin:0pt;padding:0pt 2pt 0pt 3pt;"><div style="height:14pt;overflow:hidden;overflow-wrap:break-word;position:relative;"><div style="bottom:0pt;position:absolute;width:100%;"><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;margin:2pt 2pt 2pt 3pt;">Nooshin Hussainy</p></div></div></td></tr><tr style="height:14pt;"><td style="vertical-align:top;width:46.58%;margin:0pt;padding:0pt 0pt 0pt 3pt;"><div style="height:14pt;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:2pt 0pt 2pt 0pt;"><font style="visibility:hidden;">&#8203;</font></p></div></div></td><td style="vertical-align:bottom;width:0.91%;margin:0pt;padding:0pt 0pt 0pt 3pt;"><div style="height:14pt;overflow:hidden;overflow-wrap:break-word;position:relative;"><div style="bottom:0pt;position:absolute;width:100%;"><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;margin:2pt 0pt 2pt 0pt;"><font style="visibility:hidden;">&#8203;</font></p></div></div></td><td style="vertical-align:bottom;width:5.91%;margin:0pt;padding:0pt 0pt 0pt 3pt;"><div style="height:14pt;overflow:hidden;overflow-wrap:break-word;position:relative;"><div style="bottom:0pt;position:absolute;width:100%;"><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;margin:2pt 0pt 2pt 0pt;"><font style="visibility:hidden;">&#8203;</font></p></div></div></td><td style="vertical-align:bottom;width:46.59%;margin:0pt;padding:0pt 2pt 0pt 3pt;"><div style="height:14pt;overflow:hidden;overflow-wrap:break-word;position:relative;"><div style="bottom:0pt;position:absolute;width:100%;"><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;margin:2pt 2pt 2pt 3pt;">Chief Financial Officer</p></div></div></td></tr></table></div><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;margin:0pt;"><font style="visibility:hidden;">&#8203;</font></p></div><div style="clear:both;margin-bottom:13pt;width:100%;"><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;margin:0pt;"><font style="visibility:hidden;">&#8203;</font></p></div></div><hr style="background-color:#000000;clear:both;color:#000000;height:2pt;line-height:0;margin-left:8.17%;margin-right:10.29%;margin-top:30pt;page-break-after:avoid;width:81.54%;border-width:0;"></body></html>
[{"type": "8-K", "sequence": "1", "filename": "tmb-20201216x8k.htm", "description": "8-K", "secsgml_size_bytes": 33867}]
{"company-data": {"conformed-name": "OBALON THERAPEUTICS INC", "cik": "0001427570", "assigned-sic": "3841", "irs-number": "000000000", "state-of-incorporation": "DE", "fiscal-year-end": "1231"}, "filing-values": {"form-type": "8-K", "act": "34", "file-number": "001-37897", "film-number": "201397921"}, "business-address": {"street1": "5421 AVENIDA ENCINAS", "street2": "SUITE F", "city": "San Diego", "state": "CA", "zip": "92008", "phone": "858-480-2400"}, "mail-address": {"street1": "5421 AVENIDA ENCINAS", "street2": "SUITE F", "city": "San Diego", "state": "CA", "zip": "92008"}}
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): December 16, 2020
OBALON THERAPEUTICS, INC.
(Exact name of registrant as specified in its charter)
Delaware
(State or other jurisdiction of incorporation)
001-37897
​
20-1828101
(Commission
File Number)
​
(IRS Employer
Identification No.)
​
5421 Avenida Encinas, Suite F
Carlsbad, California
​
92008
(Address of principal executive offices)
​
(Zip Code)
(844) 362-2566
(Registrant's telephone number, including area code)
(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(s)
Name of each exchange on which registered
Common stock, par value $0.001 per share
OBLN
The NASDAQ Stock Market LLC
(NASDAQ Global Market)
​
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 8.01 Other Events.
​
On December 16, 2020, Obalon Therapeutics, Inc. (the "Company") received a written notification from the Nasdaq Listing Qualifications staff confirming that the closing bid price of the Company's common stock has been $1.00 per share or greater for 10 consecutive business days and that the Company has accordingly regained compliance with the minimum bid requirement for continued listing on Nasdaq under Nasdaq Listing Rule 5450(a)(1).  The Company had previously been notified of its non-compliance with this rule on August 6, 2020 after the closing bid price of its common stock had been below $1.00 for 30 consecutive business days.
​
With the Company's transfer to the Nasdaq Capital Market effective today and its satisfaction of the minimum bid requirement, the Company is currently in full compliance with the continued listing standards of Nasdaq.
​
​
​
SIGNATURE
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.
​
​
OBALON THERAPEUTICS, INC.
​
​
​
​
​
​
Date: December 18, 2020
​
By:
/s/ Nooshin Hussainy
​
​
​
Nooshin Hussainy
​
​
​
Chief Financial Officer
​
​