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each class</span></p></div></div></td><td style="vertical-align:bottom;width:16.6%;margin:0pt;padding:0pt 3pt 0pt 3pt;"><div style="height:15pt;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 0pt 2pt 0pt;"><span style="text-decoration-color:#000000;text-decoration-line:underline;text-decoration-style:solid;">Trading Symbol(s)</span></p></div></div></td><td style="vertical-align:bottom;width:39.26%;margin:0pt;padding:0pt 3pt 0pt 3pt;"><div style="height:15pt;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 0pt 2pt 0pt;"><span style="text-decoration-color:#000000;text-decoration-line:underline;text-decoration-style:solid;">Name of each exchange on which registered</span></p></div></div></td></tr><tr style="height:15pt;"><td style="vertical-align:bottom;width:44.13%;margin:0pt;padding:0pt 3pt 0pt 3pt;"><div style="height:15pt;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:12pt;text-align:center;margin:2pt 0pt 2pt 0pt;"><ix:nonNumeric contextRef="Duration_8_17_2022_To_8_17_2022_V7Wcq2bb5U2J4341NKodCA" name="dei:Security12bTitle" id="Tc_3hK5l1GlE06x-ZltESsyLw_2_0"><span style="font-size:10pt;">Common Stock, par value $0.001 per share</span></ix:nonNumeric></p></div></div></td><td style="vertical-align:bottom;width:16.6%;margin:0pt;padding:0pt 3pt 0pt 3pt;"><div style="height:15pt;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:12pt;text-align:center;margin:2pt 0pt 2pt 0pt;"><ix:nonNumeric contextRef="Duration_8_17_2022_To_8_17_2022_V7Wcq2bb5U2J4341NKodCA" name="dei:TradingSymbol" id="Tc_ZGM7Hpq1X0SrUdefFwTDrA_2_1"><span style="font-size:10pt;">KRBP</span></ix:nonNumeric></p></div></div></td><td style="vertical-align:bottom;width:39.26%;margin:0pt;padding:0pt 3pt 0pt 3pt;"><div style="height:15pt;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:12pt;text-align:center;margin:2pt 0pt 2pt 0pt;"><ix:nonNumeric contextRef="Duration_8_17_2022_To_8_17_2022_V7Wcq2bb5U2J4341NKodCA" format="ixt-sec:exchnameen" name="dei:SecurityExchangeName" id="Tc_SGRss9ZDk0aET6BmnQ9IDQ_2_2"><span style="font-size:10pt;">The Nasdaq Stock Market LLC</span></ix:nonNumeric></p></div></div></td></tr></table><p style="font-family:'Times New Roman','Times','serif';font-size:12pt;margin:0pt;"><span style="font-size:8pt;visibility:hidden;">&#8203;</span></p><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;margin:0pt 0pt 6pt 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 12b-2 of the Securities Exchange Act of 1934 (&#167;240.12b-2 of this chapter). </p><p style="font-family:'Times New Roman','Times','serif';font-size:12pt;text-align:right;margin:0pt 0pt 6pt 0pt;"><span style="font-size:10pt;">Emerging growth company&#160;</span><ix:nonNumeric contextRef="Duration_8_17_2022_To_8_17_2022_V7Wcq2bb5U2J4341NKodCA" format="ixt-sec:boolballotbox" name="dei:EntityEmergingGrowthCompany" id="Narr_TxwdPSr5hUi7Gs3SYH_Yvw"><span style="font-family:'Segoe UI Symbol';font-size:10pt;">&#9746;</span></ix:nonNumeric></p><p style="font-family:'Times New Roman','Times','serif';font-size:12pt;margin:0pt;"><span style="font-size:10pt;">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&#160;13(a) of the Exchange Act. </span><ix:nonNumeric contextRef="Duration_8_17_2022_To_8_17_2022_V7Wcq2bb5U2J4341NKodCA" format="ixt-sec:boolballotbox" name="dei:EntityExTransitionPeriod" id="Narr_tXOOWjJFS0ahOGq68b-L7Q"><span style="font-family:'Segoe UI Symbol';font-size:10pt;">&#9744;</span></ix:nonNumeric></p><p style="font-family:'Times New Roman','Times','serif';font-size:12pt;min-height:3.0pt;border-bottom:1px solid #000000;margin:0pt 0pt 2pt 0pt;"><span style="font-size:8pt;visibility:hidden;">&#8203;</span></p><p style="font-family:'Times New Roman','Times','serif';font-size:12pt;margin:0pt 0.7pt 0pt 0.7pt;"><span style="font-size:8pt;margin-left:0pt;margin-right:0pt;visibility:hidden;">&#8203;</span></p><p style="display:none;font-size:12pt;line-height:0pt;margin:0pt;"><span style="font-family:'Times New Roman','Times','serif';font-size:0pt;visibility:hidden;">&#8203;</span></p></div></div>
<div style="background-color:#000000;clear:both;height:2pt;page-break-after:always;width:88.24%;border:0;margin:30pt 5.88% 30pt 5.88%;"></div><div style="max-width:100%;padding-left:11.76%;padding-right:11.76%;position:relative;"><div style="margin-top:30pt;width:100%;"><p style="font-family:'Times New Roman','Times','serif';font-size:12pt;margin:0pt;"><span style="visibility:hidden;">&#8203;</span></p></div><div style="clear:both;max-width:100%;position:relative;"><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;padding-left:54pt;text-indent:-54pt;margin:0pt 0pt 10pt 0pt;"><b style="font-weight:bold;white-space:pre-wrap;">Item 8.01     </b><b style="font-weight:bold;background:#ffffff;">Other Events.</b></p><a id="_Hlk112145415"></a><a id="_Hlk102923393"></a><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;text-align:justify;text-indent:36pt;margin:0pt;">On August 17, 2022, Kiromic BioPharma, Inc. (the &#8220;<span style="text-decoration-color:#000000;text-decoration-line:underline;text-decoration-style:solid;">Company</span>&#8221;) executed an engagement letter (the &#8220;<span style="text-decoration-color:#000000;text-decoration-line:underline;text-decoration-style:solid;">Letter</span>&#8221;) to retain East Wind Securities, LLC (&#8220;<span style="text-decoration-color:#000000;text-decoration-line:underline;text-decoration-style:solid;">East Wind</span>&#8221;) as the Company&#8217;s exclusive financial advisor to assist with, among other things, obtaining capital, restructuring advice, if necessary, and reviewing strategic alternatives, which may include a possible sale of all or a significant portion of the equity securities or assets of the Company (collectively, the &#8220;<span style="text-decoration-color:#000000;text-decoration-line:underline;text-decoration-style:solid;">Services</span>&#8221;).</p><p style="font-family:'Times New Roman','Times','serif';font-size:12pt;text-align:justify;text-indent:36pt;margin:0pt;"><span style="font-size:10pt;visibility:hidden;">&#8203;</span></p><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;text-align:justify;text-indent:36pt;margin:0pt;">During the term of the Letter, East Wind is entitled to receive monthly fees, payable by the Company in exchange for the Services. In addition, East Wind is eligible to receive customary success fees depending on the nature of any consummated transaction. </p><p style="font-family:'Times New Roman','Times','serif';font-size:12pt;text-align:justify;text-indent:36pt;margin:0pt;"><span style="font-size:10pt;visibility:hidden;">&#8203;</span></p><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;text-align:justify;text-indent:36pt;margin:0pt;">The Letter may be terminated by either the Company or East Wind upon 30 days&#8217; written notice to the other party.</p><p style="font-family:'Times New Roman','Times','serif';font-size:12pt;text-align:justify;margin:0pt;"><span style="font-size:10pt;visibility:hidden;">&#8203;</span></p><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;text-align:justify;text-indent:36pt;margin:0pt;">After executing the Letter, the Company initiated discussions with a private third-party (the &#8220;<span style="text-decoration-color:#000000;text-decoration-line:underline;text-decoration-style:solid;">Investor</span>&#8221;) to obtain financing through a convertible preferred stock offering. The Company and the Investor executed a non-binding term sheet to complete such a financing arrangement on August 19, 2022. Whether or not the financing with the Investor closes the Company plans to continue to pursue additional sources of financing as well.&#160; There are no assurances that such a financing arrangement will ultimately be consummated between the Company, the Investor and any other financing counterparty.&#160; </p><p style="font-family:'Times New Roman','Times','serif';font-size:12pt;text-align:justify;text-indent:36pt;margin:0pt;"><span style="font-size:10pt;visibility:hidden;">&#8203;</span></p><p style="font-family:'Times New Roman','Times','serif';font-size:12pt;margin:0pt;"><span style="font-size:10pt;visibility:hidden;">&#8203;</span></p></div><div style="clear:both;margin-bottom:30pt;width:100%;"><p style="font-family:'Times New Roman','Times','serif';font-size:12pt;margin:0pt;"><span style="visibility:hidden;">&#8203;</span></p></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="margin-top:30pt;width:100%;"><p style="font-family:'Times New Roman','Times','serif';font-size:12pt;text-align:right;margin:0pt;"><span style="font-style:italic;font-weight:bold;text-decoration-line:underline;text-decoration-style:solid;visibility:hidden;">&#8203;</span></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:1.28;text-align:center;margin:0pt;"><b style="font-weight:bold;">SIGNATURES</b></p><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;text-align:justify;text-indent:36pt;margin:12pt 0pt 0pt 0pt;">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:12pt;margin:0pt;"><span style="visibility:hidden;">&#8203;</span></p><a id="_Hlk103084804"></a><table style="border-collapse:collapse;font-size:16pt;height:max-content;padding-left:0pt;padding-right:0pt;width:100%;"><tr><td style="vertical-align:top;width:46.48%;margin:0pt;padding:0pt;"><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;margin:0pt;">Date: August 23, 2022</p></td><td style="vertical-align:bottom;width:3.87%;margin:0pt;padding:0pt;"><p style="font-family:'Times New Roman','Times','serif';font-size:12pt;margin:0pt;"><span style="font-size:10pt;visibility:hidden;">&#8203;</span></p></td><td colspan="3" style="vertical-align:bottom;width:49.63%;margin:0pt;padding:0pt;"><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;margin:0pt;"><b style="font-weight:bold;">KIROMIC BIOPHARMA, INC.</b></p></td></tr><tr><td style="vertical-align:top;width:46.48%;margin:0pt;padding:0pt;"><p style="font-family:'Times New Roman','Times','serif';font-size:12pt;margin:0pt;"><span style="font-size:10pt;visibility:hidden;">&#8203;</span></p></td><td style="vertical-align:bottom;width:3.87%;margin:0pt;padding:0pt;"><p style="font-family:'Times New Roman','Times','serif';font-size:12pt;margin:0pt;"><span style="font-size:10pt;visibility:hidden;">&#8203;</span></p></td><td colspan="3" style="vertical-align:bottom;width:49.63%;margin:0pt;padding:0pt;"><p style="font-family:'Times New Roman','Times','serif';font-size:12pt;margin:0pt;"><span style="font-size:10pt;font-weight:bold;visibility:hidden;">&#8203;</span></p></td></tr><tr><td style="vertical-align:top;width:46.48%;margin:0pt;padding:0pt;"><p style="font-family:'Times New Roman','Times','serif';font-size:12pt;margin:0pt;"><span style="font-size:10pt;visibility:hidden;">&#8203;</span></p></td><td style="vertical-align:bottom;width:3.87%;margin:0pt;padding:0pt;"><p style="font-family:'Times New Roman','Times','serif';font-size:12pt;margin:0pt;"><span style="font-size:10pt;visibility:hidden;">&#8203;</span></p></td><td style="vertical-align:bottom;width:3.71%;margin:0pt;padding:0pt;"><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;margin:0pt;">By:</p></td><td style="vertical-align:bottom;width:45.29%;border-bottom:1px solid #000000;margin:0pt;padding:0pt;"><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;margin:0pt 0pt 1pt 0pt;">/s/ Daniel Clark</p></td></tr><tr><td style="vertical-align:top;width:46.48%;margin:0pt;padding:0pt;"><p style="font-family:'Times New Roman','Times','serif';font-size:12pt;margin:0pt;"><span style="font-size:10pt;visibility:hidden;">&#8203;</span></p></td><td style="vertical-align:bottom;width:3.87%;margin:0pt;padding:0pt;"><p style="font-family:'Times New Roman','Times','serif';font-size:12pt;margin:0pt;"><span style="font-size:10pt;visibility:hidden;">&#8203;</span></p></td><td style="vertical-align:bottom;width:3.71%;margin:0pt;padding:0pt;"><p style="font-family:'Times New Roman','Times','serif';font-size:12pt;margin:0pt;"><span style="font-size:10pt;visibility:hidden;">&#8203;</span></p></td><td style="vertical-align:bottom;width:45.29%;border-top:1px solid #000000;margin:0pt;padding:0pt;"><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;margin:0pt 0pt 1pt 0pt;">Name: Daniel Clark</p></td></tr><tr><td style="vertical-align:top;width:46.48%;margin:0pt;padding:0pt;"><p style="font-family:'Times New Roman','Times','serif';font-size:12pt;margin:0pt;"><span style="font-size:10pt;visibility:hidden;">&#8203;</span></p></td><td style="vertical-align:bottom;width:3.87%;margin:0pt;padding:0pt;"><p style="font-family:'Times New Roman','Times','serif';font-size:12pt;margin:0pt;"><span style="font-size:10pt;visibility:hidden;">&#8203;</span></p></td><td style="vertical-align:bottom;width:3.71%;margin:0pt;padding:0pt;"><p style="font-family:'Times New Roman','Times','serif';font-size:12pt;margin:0pt;"><span style="font-size:10pt;visibility:hidden;">&#8203;</span></p></td><td style="vertical-align:bottom;width:45.29%;margin:0pt;padding:0pt;"><p style="font-family:'Times New Roman','Times','serif';font-size:10pt;margin:0pt;">Title: Chief Financial Officer</p></td></tr></table><p style="font-family:'Times New Roman','Times','serif';font-size:12pt;margin:0pt;"><span style="visibility:hidden;">&#8203;</span></p><p style="font-family:'Times New Roman','Times','serif';font-size:12pt;margin:0pt;"><span style="visibility:hidden;">&#8203;</span></p></div><div style="clear:both;margin-bottom:30pt;width:100%;"><p style="font-family:'Times New Roman','Times','serif';font-size:12pt;margin:0pt;"><span style="visibility:hidden;">&#8203;</span></p></div></div>
<div style="background-color:#000000;clear:both;height:2pt;margin-left:11.76%;margin-right:11.76%;margin-top:30pt;page-break-after:avoid;width:76.47%;border:0;"></div></body></html>
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​
​
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):
August 17, 2022
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.)
​
, TX
​
​
7707 Fannin Street
,
Suite 140
Houston
,
TX
77054
(Address of principal executive offices)
(Zip Code)
​
Registrant's telephone number, including area code: (
832
)
968-4888
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:
​
☐
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
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 8.01
Other Events.
On August 17, 2022, Kiromic BioPharma, Inc. (the "
Company
") executed an engagement letter (the "
Letter
") to retain East Wind Securities, LLC ("
East Wind
") as the Company's exclusive financial advisor to assist with, among other things, obtaining capital, restructuring advice, if necessary, and reviewing strategic alternatives, which may include a possible sale of all or a significant portion of the equity securities or assets of the Company (collectively, the "
Services
").
​
During the term of the Letter, East Wind is entitled to receive monthly fees, payable by the Company in exchange for the Services. In addition, East Wind is eligible to receive customary success fees depending on the nature of any consummated transaction.
​
The Letter may be terminated by either the Company or East Wind upon 30 days' written notice to the other party.
​
After executing the Letter, the Company initiated discussions with a private third-party (the "
Investor
") to obtain financing through a convertible preferred stock offering. The Company and the Investor executed a non-binding term sheet to complete such a financing arrangement on August 19, 2022. Whether or not the financing with the Investor closes the Company plans to continue to pursue additional sources of financing as well.  There are no assurances that such a financing arrangement will ultimately be consummated between the Company, the Investor and any other financing counterparty.
​
​
​
​
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.
​
Date: August 23, 2022
​
KIROMIC BIOPHARMA, INC.
​
​
​
​
​
By:
/s/ Daniel Clark
​
​
​
Name: Daniel Clark
​
​
​
Title: Chief Financial Officer
​
​
​