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style="font-size:9pt;visibility:hidden;">&#8203;</span></p><a id="_e960b243_f123_4820_b2e3_ae9de52c3c97"></a></div><p style="font-family:'Times New Roman','Times','serif';font-size:16pt;font-weight:bold;line-height:18pt;text-align:center;margin:0pt;">UNITED STATES</p><p style="font-family:'Times New Roman','Times','serif';font-size:11pt;line-height:18.35pt;text-align:center;margin:0pt;"><b style="font-size:16pt;font-weight:bold;">SECURITIES AND EXCHANGE COMMISSION</b></p><p style="font-family:'Times New Roman','Times','serif';font-size:9pt;text-align:center;margin:0.4pt 0pt 0pt 0pt;"><b style="font-size:9.5pt;font-weight:bold;">Washington, DC 20549</b></p><p style="font-family:'Times New Roman','Times','serif';font-size:9.5pt;margin:0.44pt 0pt 0pt 0pt;"><span style="font-size:7.5pt;font-weight:bold;visibility:hidden;">&#8203;</span></p><p style="font-family:'Times New Roman','Times','serif';font-size:16pt;font-weight:bold;text-align:center;margin:0.05pt 0pt 0pt 0pt;">FORM 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style="font-family:'Times New Roman','Times','serif';font-size:11pt;line-height:1.22;margin-bottom:0pt;margin-top:6pt;"><span style="font-size:9.5pt;">Written</span><span style="font-size:9.5pt;letter-spacing:-0.35pt;"> </span><span style="font-size:9.5pt;">communications</span><span style="font-size:9.5pt;letter-spacing:-0.35pt;"> </span><span style="font-size:9.5pt;">pursuant</span><span style="font-size:9.5pt;letter-spacing:-0.35pt;"> </span><span style="font-size:9.5pt;">to</span><span style="font-size:9.5pt;letter-spacing:-0.35pt;"> </span><span style="font-size:9.5pt;">Rule</span><span style="font-size:9.5pt;letter-spacing:-0.35pt;"> </span><span style="font-size:9.5pt;">425</span><span style="font-size:9.5pt;letter-spacing:-0.35pt;"> </span><span style="font-size:9.5pt;">under</span><span style="font-size:9.5pt;letter-spacing:-0.35pt;"> </span><span style="font-size:9.5pt;">the</span><span style="font-size:9.5pt;letter-spacing:-0.35pt;"> </span><span style="font-size:9.5pt;">Securities</span><span style="font-size:9.5pt;letter-spacing:-0.3pt;"> </span><span style="font-size:9.5pt;">Act</span><span style="font-size:9.5pt;letter-spacing:-0.35pt;"> </span><span style="font-size:9.5pt;">(17</span><span style="font-size:9.5pt;letter-spacing:-0.35pt;"> </span><span style="font-size:9.5pt;">CFR</span><span style="font-size:9.5pt;letter-spacing:-0.35pt;"> </span><span style="font-size:9.5pt;">230.425)</span></p></td></tr></table><table style="border-collapse:collapse;border:0;"><tr><td style="vertical-align:text-top;white-space:nowrap;width:18pt;padding:0pt;"><p style="font-family:'Times New Roman','Times','serif';font-size:11pt;line-height:1.22;margin-bottom:0pt;margin-top:6pt;"><ix:nonNumeric contextRef="Duration_9_29_2021_To_9_29_2021_f_vmaloJskeJSnsC9SqvLg" format="ixt-sec:boolballotbox" name="dei:SolicitingMaterial" id="Narr_rcPTGHihukCejjMLeGC0Sg"><span style="font-family:'Segoe UI 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Prior to his employment with The Siegfried Group, Mr. Clark served as Senior Consultant - Office of the CFO Solutions for FTI Consulting, a global financial consulting firm, from January 2017 to May 2018. &#160;Prior to that, Mr. Clark was Senior Associate - Audit at KPMG US, a member of Big Four global accounting firm KPMG, from August 2011 to June 2015. &#160;Mr. Clark holds a Master of Business Administration from Texas A&amp;M University, Mays School of Business, and a Bachelor of Science in Business Administration with a major in Accounting from the University of Richmond, Robins School of Business. 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Specifically, he will continue to receive an annual base salary of $205,000 and participate in the Company&#8217;s benefits package.</p><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;text-align:justify;margin:0pt;">&#160;</p><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;text-align:justify;margin:0pt 0pt 0pt 23.35pt;">There are no family relationships between Mr. Clark and any director or executive officer of the Company, and Mr. Clark is not a party to any transaction required to be disclosed pursuant to Item 404(a) of Regulation S-K. &#160;There are no arrangements or understandings between Mr. Clark and any other persons pursuant to which Mr. Clark was&#160;appointed&#160;as the Company&#8217;s&#160;interim Chief Financial Officer. </p><p style="font-family:'Times New Roman','Times','serif';font-size:9.5pt;line-height:1.22;text-align:justify;margin:0.05pt 22.85pt 0pt 23.35pt;"><span style="margin-left:0pt;margin-right:0pt;visibility:hidden;">&#8203;</span></p><a id="_47992475_5d08_4a6d_aede_86ac2cc13045"></a><p style="font-family:'Times New Roman','Times','serif';font-size:9.5pt;font-weight:bold;text-align:center;margin:3.34pt 0pt 0pt 0.65pt;">SIGNATURES</p><p style="font-family:'Times New Roman','Times','serif';font-size:9.5pt;margin:0.15pt 0pt 0pt 0pt;"><span style="font-size:10pt;font-weight:bold;visibility:hidden;">&#8203;</span></p><p style="font-family:'Times New Roman','Times','serif';font-size:9.5pt;line-height:1.22;margin:0pt 1.05pt 0pt 23.35pt;">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><p style="font-family:'Times New Roman','Times','serif';font-size:9.5pt;margin:0.15pt 0pt 0pt 0pt;"><span style="font-size:10pt;font-weight:bold;visibility:hidden;">&#8203;</span></p><div style="padding-left:23.85pt;"><table style="border-collapse:collapse;font-size:16pt;height:max-content;padding-left:0pt;padding-right:0pt;table-layout:auto;width:94.92%;"><tr style="height:1pt;"><td style="vertical-align:top;width:47.32%;margin:0pt;padding:0pt;"><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:11pt;margin:0pt;"><span style="font-size:1pt;visibility:hidden;">&#8203;</span></p></div></div></td><td style="vertical-align:top;width:4.05%;margin:0pt;padding:0pt;"><div style="height:1pt;overflow:hidden;overflow-wrap:break-word;position:relative;"><div style="position:absolute;top:0pt;width:100%;"><p style="font-family:'Times New Roman','Times','serif';font-size:11pt;margin:0pt;"><span style="font-size:1pt;visibility:hidden;">&#8203;</span></p></div></div></td><td style="vertical-align:top;width:48.62%;margin:0pt;padding:0pt;"><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:11pt;margin:0pt;"><span style="font-size:1pt;visibility:hidden;">&#8203;</span></p></div></div></td></tr><tr><td style="vertical-align:top;width:47.32%;margin:0pt;padding:0pt;"><p style="font-family:'Times New Roman','Times','serif';font-size:11pt;line-height:1.27;margin:0pt 82.15pt 0pt 0pt;"><span style="font-size:9pt;margin-right:0pt;visibility:hidden;">&#8203;</span></p></td><td colspan="2" style="vertical-align:top;width:52.67%;margin:0pt;padding:0pt;"><p style="font-family:'Times New Roman','Times','serif';font-size:9pt;line-height:1.27;margin:0pt 82.15pt 0pt 0pt;"><b style="font-size:9.5pt;font-weight:bold;">Kiromic BioPharma, Inc.</b></p></td></tr><tr><td style="vertical-align:top;width:47.32%;margin:0pt;padding:0pt;"><p style="font-family:'Times New Roman','Times','serif';font-size:11pt;line-height:1.27;margin:0pt 82.15pt 0pt 0pt;"><span style="font-size:9pt;margin-right:0pt;visibility:hidden;">&#8203;</span></p></td><td colspan="2" style="vertical-align:top;width:52.67%;margin:0pt;padding:0pt;"><p style="font-family:'Times New Roman','Times','serif';font-size:11pt;line-height:1.27;margin:0pt 82.15pt 0pt 0pt;"><span style="font-size:9.5pt;font-weight:bold;margin-right:0pt;visibility:hidden;">&#8203;</span></p></td></tr><tr><td style="vertical-align:top;width:47.32%;margin:0pt;padding:0pt;"><p style="font-family:'Times New Roman','Times','serif';font-size:9pt;line-height:1.27;margin:0pt 82.15pt 0pt 0pt;"><span style="font-size:9.5pt;">Date: October 5,</span><span style="font-size:9.5pt;letter-spacing:-0.25pt;"> </span><span style="font-size:9.5pt;">2021</span></p></td><td style="vertical-align:top;width:4.05%;margin:0pt;padding:0pt;"><p style="font-family:'Times New Roman','Times','serif';font-size:9pt;line-height:1.27;margin:0pt;"><span style="font-size:9.5pt;">By: </span></p></td><td style="vertical-align:top;width:48.62%;border-bottom:1px solid #000000;margin:0pt;padding:0pt;"><p style="font-family:'Times New Roman','Times','serif';font-size:9pt;line-height:1.27;margin:0pt 82.15pt 0pt 0pt;"><i style="font-size:9.5pt;font-style:italic;">/s/ Maurizio Chiriva</i><i style="font-size:9.5pt;font-style:italic;letter-spacing:-1.4pt;"> </i><i style="font-size:9.5pt;font-style:italic;">Internati</i></p></td></tr><tr><td style="vertical-align:top;width:47.32%;margin:0pt;padding:0pt;"><p style="font-family:'Times New Roman','Times','serif';font-size:11pt;line-height:1.27;margin:0pt 82.15pt 0pt 0pt;"><span style="font-size:9.5pt;margin-right:0pt;visibility:hidden;">&#8203;</span></p></td><td style="vertical-align:top;width:4.05%;margin:0pt;padding:0pt;"><p style="font-family:'Times New Roman','Times','serif';font-size:11pt;line-height:1.27;margin:0pt 82.15pt 0pt 0pt;"><span style="font-size:9.5pt;margin-right:0pt;visibility:hidden;">&#8203;</span></p></td><td style="vertical-align:top;width:48.62%;border-top:1px solid #000000;margin:0pt;padding:0pt;"><p style="font-family:'Times New Roman','Times','serif';font-size:9pt;line-height:1.27;margin:0pt 82.15pt 0pt 0pt;"><span style="font-size:9.5pt;">Maurizio Chiriva Internati</span></p></td></tr><tr><td style="vertical-align:top;width:47.32%;margin:0pt;padding:0pt;"><p style="font-family:'Times New Roman','Times','serif';font-size:11pt;line-height:1.27;margin:0pt 82.15pt 0pt 0pt;"><span style="font-size:9.5pt;margin-right:0pt;visibility:hidden;">&#8203;</span></p></td><td style="vertical-align:top;width:4.05%;margin:0pt;padding:0pt;"><p style="font-family:'Times New Roman','Times','serif';font-size:11pt;line-height:1.27;margin:0pt 82.15pt 0pt 0pt;"><span style="font-size:9.5pt;margin-right:0pt;visibility:hidden;">&#8203;</span></p></td><td style="vertical-align:top;width:48.62%;margin:0pt;padding:0pt;"><p style="font-family:'Times New Roman','Times','serif';font-size:9pt;line-height:1.27;margin:0pt 82.15pt 0pt 0pt;"><span style="font-size:9.5pt;">Chief Executive</span><span style="font-size:9.5pt;letter-spacing:-0.3pt;"> </span><span style="font-size:9.5pt;">Officer</span></p></td></tr></table></div><p style="font-family:'Times New Roman','Times','serif';font-size:11pt;margin:0pt;"><span style="visibility:hidden;">&#8203;</span></p><p style="font-family:'Times New Roman','Times','serif';font-size:9.5pt;margin:0pt;"><span style="font-size:10pt;visibility:hidden;">&#8203;</span></p><p style="font-family:'Times New Roman','Times','serif';font-size:9.5pt;margin:0.4pt 0pt 0pt 0pt;"><span style="font-size:11.5pt;visibility:hidden;">&#8203;</span></p><p style="font-family:'Times New Roman','Times','serif';font-size:9.5pt;text-align:center;margin:4.5pt 0pt 0pt 0.65pt;">- 2 -</p><p style="font-family:'Times New 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[{"type": "8-K", "sequence": "1", "filename": "krbp-20210929x8k.htm", "description": "8-K", "secsgml_size_bytes": 42766}]
{"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": "211307378"}, "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
​
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):
September 29, 2021
​
KIROMIC BIOPHARMA
,
INC.
(Exact name of registrant as specified in its charter)
​
​
​
​
​
​
Delaware
001-39619
46-4762913
(State or other jurisdiction of incorporation)
(Commission File Number)
(IRS Employer Identification No.)
​
7707 Fannin, Suite 140
Houston
,
TX
,
77054
(Address of principal executive offices) (Zip Code)
Registrant's telephone number, including area code
(
832
)
968-4888
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))
​
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, $0.001 par value
KRBP
The Nasdaq Stock Market LLC
​
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 5.02.
Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers.
Departure of Tony Tontat as Chief Financial Officer and Director
On September 29, 2021, Tony Tontat, Chief Financial Officer and a director of Kiromic BioPharma, Inc. (the "Company") notified the Company of his decision to resign from his positions at the Company effective immediately. Mr. Tontat's resignation from the Company's board of directors was due to personal reasons and did not relate to any disagreement with the operations, policies or practices of the Company on any matters.
Appointment of Dan Clark as Interim Chief Financial Officer
On September 30, 2021, the Board of Directors of the Company appointed Dan Clark as interim Chief Financial Officer, effective September 30, 2021. In his capacity as interim Chief Financial Officer, Mr. Clark succeeds Mr. Tontat as the principal financial officer of the Company.
Mr. Clark, age 32, joined the Company in February 2020 and served as the Company's Corporate Controller until September 2021, when he was promoted to Vice President – Finance Operations prior to his appointment as interim Chief Financial Officer. Before joining the Company, Mr. Clark was a Manager with The Siegfried Group, a national accounting services firm, from June 2018 to February 2020. Prior to his employment with The Siegfried Group, Mr. Clark served as Senior Consultant - Office of the CFO Solutions for FTI Consulting, a global financial consulting firm, from January 2017 to May 2018.  Prior to that, Mr. Clark was Senior Associate - Audit at KPMG US, a member of Big Four global accounting firm KPMG, from August 2011 to June 2015.  Mr. Clark holds a Master of Business Administration from Texas A&M University, Mays School of Business, and a Bachelor of Science in Business Administration with a major in Accounting from the University of Richmond, Robins School of Business. Mr. Clark is a licensed Certified Public Accountant in the state of Texas.
The Company has not entered into an employment agreement with Mr. Clark in his capacity as interim Chief Financial Officer. Mr. Clark will continue to be compensated and receive the same benefits as he received when he served as the Company's Vice President – Finance Operations. Specifically, he will continue to receive an annual base salary of $205,000 and participate in the Company's benefits package.
There are no family relationships between Mr. Clark and any director or executive officer of the Company, and Mr. Clark is not a party to any transaction required to be disclosed pursuant to Item 404(a) of Regulation S-K.  There are no arrangements or understandings between Mr. Clark and any other persons pursuant to which Mr. Clark was appointed as the Company's interim Chief Financial Officer.
​
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.
​
​
​
​
​
Kiromic BioPharma, Inc.
​
​
Date: October 5,
2021
By:
/s/ Maurizio Chiriva
Internati
​
​
Maurizio Chiriva Internati
​
​
Chief Executive
Officer
​
​
​
- 2 -
​
​