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<p style="text-align:right;border-bottom:Solid 2.25pt;padding-bottom:1pt;margin-top:12pt;margin-bottom:0pt;text-indent:0%;font-family:Times New Roman;font-size:10pt;">&nbsp;</p>
<p style="text-align:center;margin-top:12pt;margin-bottom:0pt;text-indent:0%;font-weight:bold;font-size:18pt;font-family:Times New Roman;font-style:normal;text-transform:none;font-variant: normal;">UNITED STATES </p>
<p style="text-align:center;margin-bottom:0pt;margin-top:0pt;text-indent:0%;font-weight:bold;font-size:18pt;font-family:Times New Roman;font-style:normal;text-transform:none;font-variant: normal;">SECURITIES AND EXCHANGE COMMISSION </p>
<p style="text-align:center;margin-bottom:0pt;margin-top:0pt;text-indent:0%;font-weight:bold;font-size:12pt;font-family:Times New Roman;font-style:normal;text-transform:none;font-variant: normal;">Washington, D.C. 20549 </p>
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<p style="text-align:center;margin-bottom:0pt;margin-top:0pt;text-indent:0%;font-weight:bold;font-size:18pt;font-family:Times New Roman;font-style:normal;text-transform:none;font-variant: normal;">FORM 8-K </p>
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<p style="text-align:center;margin-bottom:1pt;border-bottom:Solid 1pt #000000;padding-bottom:0pt;margin-top:0pt;text-indent:0%;font-size:6pt;font-family:Times New Roman;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;">&#160;</p>
<p style="text-align:center;margin-top:9pt;margin-bottom:0pt;text-indent:0%;font-weight:bold;font-size:12pt;font-family:Times New Roman;font-style:normal;text-transform:none;font-variant: normal;">CURRENT REPORT </p>
<p style="text-align:center;margin-bottom:0pt;margin-top:0pt;text-indent:0%;font-weight:bold;font-size:12pt;font-family:Times New Roman;font-style:normal;text-transform:none;font-variant: normal;"><a name="_9kR3WTr2CC49BaLcszv1FJ"></a><a name="_9kR3WTr2CC49CAEr"></a><a name="_9kR3WTr2CC49BaLcszv1FJ"></a>Pursuant to Section&#160;13<a name="_9kR3WTr2CC49CAEr"></a> or 15(d) </p>
<p style="text-align:center;margin-bottom:0pt;margin-top:0pt;text-indent:0%;font-weight:bold;font-size:12pt;font-family:Times New Roman;font-style:normal;text-transform:none;font-variant: normal;"><a name="_9kR3WTr7GB4DFaLct9y12ozWB1"></a><a name="_9kR3WTr27749GfLct9y12ozaa5qpw3vQJ9M9Nfi"></a><a name="_9kR3WTr27749GfLct9y12ozaa5qpw3vQJ9M9Nfi"></a>of the Securities Exchange Act of 1934 </p>
<p style="text-align:center;margin-top:9pt;margin-bottom:0pt;text-indent:0%;font-weight:bold;font-size:12pt;font-family:Times New Roman;font-style:normal;text-transform:none;font-variant: normal;">July 30, 2018</p>
<p style="text-align:center;margin-bottom:0pt;margin-top:0pt;text-indent:0%;font-weight:bold;font-size:12pt;font-family:Times New Roman;font-style:normal;text-transform:none;font-variant: normal;"><a name="_9kR3WTr26647HhKp039"></a><a name="_9kR3WTr2664BGcKp039"></a><a name="_9kR3WTr266489K2pu"></a><a name="_9kR3WTr2664BHP2pu"></a><a name="_9kR3WTr26647HhKp039"></a><a name="_9kR3WTr2664BGcKp039"></a>Date of Report<a name="_9kR3WTr266489K2pu"></a><a name="_9kR3WTr2664BHP2pu"></a> (Date of earliest event reported) </p>
<p style="text-align:center;margin-bottom:1pt;border-bottom:Solid 1pt #000000;padding-bottom:0pt;margin-top:0pt;text-indent:0%;font-size:12pt;font-family:Times New Roman;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;">&#160;</p>
<p style="text-align:center;margin-top:9pt;margin-bottom:0pt;text-indent:0%;font-weight:bold;font-size:24pt;font-family:Times New Roman;font-style:normal;text-transform:none;font-variant: normal;">ATYR PHARMA, INC.</p>
<p style="text-align:center;margin-bottom:0pt;margin-top:0pt;text-indent:0%;font-weight:bold;font-family:Times New Roman;font-size:10pt;font-style:normal;text-transform:none;font-variant: normal;">(Exact name of registrant as specified in its charter) </p>
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<p style="margin-bottom:0pt;margin-top:0pt;margin-left:0pt;;text-indent:0pt;;font-size:12pt;">&nbsp;</p></td>
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<p style="margin-bottom:0pt;margin-top:0pt;margin-left:0pt;;text-indent:0pt;;font-size:12pt;">&nbsp;</p></td>
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<p style="margin-bottom:0pt;margin-top:0pt;margin-left:0pt;;text-indent:0pt;;font-size:12pt;">&nbsp;</p></td>
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<p style="margin-bottom:0pt;margin-top:0pt;margin-left:0pt;;text-indent:0pt;;font-size:12pt;">&nbsp;</p></td>
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<p style="margin-bottom:0pt;margin-top:0pt;margin-left:0pt;;text-indent:0pt;;font-size:12pt;">&nbsp;</p></td>
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<p style="text-align:center;margin-bottom:0pt;margin-top:0pt;margin-left:0pt;;text-indent:0pt;;font-weight:bold;font-family:Times New Roman;font-size:10pt;font-style:normal;text-transform:none;font-variant: normal;">Delaware</p></td>
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<p style="margin-bottom:0pt;margin-top:0pt;margin-left:0pt;;text-indent:0pt;;font-size:7.5pt;font-family:Times New Roman;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;">&#160;</p></td>
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<p style="text-align:center;margin-bottom:0pt;margin-top:0pt;margin-left:0pt;;text-indent:0pt;;font-weight:bold;font-family:Times New Roman;font-size:10pt;font-style:normal;text-transform:none;font-variant: normal;">001-37378</p></td>
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<p style="margin-bottom:0pt;margin-top:0pt;margin-left:0pt;;text-indent:0pt;;font-size:7.5pt;font-family:Times New Roman;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;">&#160;</p></td>
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<p style="text-align:center;margin-bottom:0pt;margin-top:0pt;margin-left:0pt;;text-indent:0pt;;font-weight:bold;font-family:Times New Roman;font-size:10pt;font-style:normal;text-transform:none;font-variant: normal;">20-3435077</p></td>
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<p style="text-align:center;margin-bottom:0pt;margin-top:0pt;margin-left:0pt;;text-indent:0pt;;font-weight:bold;font-size:7.5pt;font-family:Times New Roman;font-style:normal;text-transform:none;font-variant: normal;">(State or other jurisdiction</p>
<p style="text-align:center;margin-bottom:0pt;margin-top:0pt;margin-left:0pt;;text-indent:0pt;;font-weight:bold;font-size:7.5pt;font-family:Times New Roman;font-style:normal;text-transform:none;font-variant: normal;">of incorporation)</p></td>
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<p style="margin-bottom:0pt;margin-top:0pt;margin-left:0pt;;text-indent:0pt;;font-size:7.5pt;font-family:Times New Roman;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;">&#160;</p></td>
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<p style="text-align:center;margin-bottom:0pt;margin-top:0pt;margin-left:0pt;;text-indent:0pt;;font-weight:bold;font-size:7.5pt;font-family:Times New Roman;font-style:normal;text-transform:none;font-variant: normal;">(Commission</p>
<p style="text-align:center;margin-bottom:0pt;margin-top:0pt;margin-left:0pt;;text-indent:0pt;;font-weight:bold;font-size:7.5pt;font-family:Times New Roman;font-style:normal;text-transform:none;font-variant: normal;">File Number)</p></td>
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<p style="text-align:center;margin-bottom:0pt;margin-top:0pt;margin-left:0pt;;text-indent:0pt;;font-weight:bold;font-size:7.5pt;font-family:Times New Roman;font-style:normal;text-transform:none;font-variant: normal;">(IRS Employer</p>
<p style="text-align:center;margin-bottom:0pt;margin-top:0pt;margin-left:0pt;;text-indent:0pt;;font-weight:bold;font-size:7.5pt;font-family:Times New Roman;font-style:normal;text-transform:none;font-variant: normal;">Identification No.)</p>
<p style="text-align:center;margin-bottom:0pt;margin-top:0pt;margin-left:0pt;;text-indent:0pt;;font-size:12pt;">&nbsp;</p></td>
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<p style="text-align:center;margin-bottom:0pt;margin-top:0pt;margin-left:0pt;;text-indent:0pt;;font-weight:bold;font-family:Times New Roman;font-size:10pt;font-style:normal;text-transform:none;font-variant: normal;">3545 John Hopkins Court, Suite #250</p>
<p style="text-align:center;margin-bottom:0pt;margin-top:0pt;margin-left:0pt;;text-indent:0pt;;font-weight:bold;font-family:Times New Roman;font-size:10pt;font-style:normal;text-transform:none;font-variant: normal;">San Diego, California 92121</p>
<p style="text-align:center;margin-bottom:0pt;margin-top:0pt;margin-left:0pt;;text-indent:0pt;;font-size:7.5pt;">&nbsp;</p></td>
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<p style="text-align:center;margin-bottom:0pt;margin-top:0pt;margin-left:0pt;;text-indent:0pt;;font-weight:bold;font-size:7.5pt;font-family:Times New Roman;font-style:normal;text-transform:none;font-variant: normal;">(Address of principal executive offices, including zip code)</p>
<p style="text-align:center;margin-bottom:0pt;margin-top:0pt;margin-left:0pt;;text-indent:0pt;;font-size:7.5pt;font-family:Times New Roman;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;">&#160;</p></td>
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<p style="text-align:center;margin-top:9pt;margin-bottom:0pt;text-indent:0%;font-weight:bold;font-family:Times New Roman;font-size:10pt;font-style:normal;text-transform:none;font-variant: normal;">(858)&#160;731-8389 </p>
<p style="text-align:center;margin-top:9pt;margin-bottom:0pt;text-indent:0%;font-size:9pt;font-family:Times New Roman;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;">&#160;<font style="font-weight:bold;font-size:7.5pt;">(Registrant&#8217;s telephone number, including area code)</font></p>
<p style="text-align:center;margin-bottom:1pt;border-bottom:Solid 1pt #000000;padding-bottom:0pt;margin-top:0pt;text-indent:0%;font-size:12pt;font-family:Times New Roman;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;">&#160;</p>
<p style="margin-top:9pt;margin-bottom:0pt;text-indent:0%;font-family:Times New Roman;font-size:10pt;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;"><a name="_9kR3WTr2AA49HTI10Ie"></a><a name="_9kR3WTr2AA49HTI10Ie"></a>Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligations of the registrant under any of the following provisions: </p>
<p style="margin-bottom:0pt;margin-top:0pt;text-indent:0%;font-size:4.5pt;font-family:Times New Roman;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;">&#160;</p>
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<p style="margin-bottom:0pt;margin-top:0pt;margin-left:0pt;;text-indent:0pt;;font-size:10pt;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;font-family:'Times New Roman';"><font style="font-size:10pt;font-family:'Times New Roman'">&#9744;</font></p></td>
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<p style="margin-bottom:0pt;margin-top:0pt;margin-left:0pt;;text-indent:0pt;;font-family:Times New Roman;font-size:10pt;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;"><a name="_9kR3WTr27749Iga1m6IKD9tl0G7tfar8ODGH3El"></a><a name="_9kMHG5YVt9ID6FG2xjVQhyE367t4bG6"></a><a name="_9kR3WTr27749JHGSiymIHJMO"></a><a name="_9kR3WTr27749Iga1m6IKD9tl0G7tfar8ODGH3El"></a>Written communications pursuant to <a name="_9kMHG5YVt9ID6FG2xjVQhyE367t4bG6"></a>Rule 425 under the Securities Act<a name="_9kR3WTr27749JHGSiymIHJMO"></a> (17 CFR 230.425) </p></td>
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<p style="margin-bottom:0pt;margin-top:0pt;text-indent:0%;font-size:4.5pt;font-family:Times New Roman;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;">&#160;</p>
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<p style="margin-bottom:0pt;margin-top:0pt;margin-left:0pt;;text-indent:0pt;;font-size:10pt;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;font-family:'Times New Roman';"><font style="font-size:10pt;font-family:'Times New Roman'">&#9744;</font></p></td>
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<p style="margin-bottom:0pt;margin-top:0pt;margin-left:0pt;;text-indent:0pt;;font-family:Times New Roman;font-size:10pt;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;"><a name="_9kR3WTr2774ABYa1m3Hr2ICBvn2I9vThCxw3A2X"></a><a name="_9kR3WTr2774AC9GSiy"></a><a name="_9kR3WTr2774ABYa1m3Hr2ICBvn2I9vThCxw3A2X"></a>Soliciting material pursuant to Rule 14a-12 under the Exchange Act<a name="_9kR3WTr2774AC9GSiy"></a> (17 CFR 240.14a-12) </p></td>
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<p style="margin-bottom:0pt;margin-top:0pt;text-indent:0%;font-size:4.5pt;font-family:Times New Roman;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;">&#160;</p>
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<p style="margin-bottom:0pt;margin-top:0pt;margin-left:0pt;;text-indent:0pt;;font-size:10pt;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;font-family:'Times New Roman';"><font style="font-size:10pt;font-family:'Times New Roman'">&#9744;</font></p></td>
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<p style="margin-bottom:0pt;margin-top:0pt;margin-left:0pt;;text-indent:0pt;;font-family:Times New Roman;font-size:10pt;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;"><a name="_9kR3WTr2774ADaa1m3Hu6syBvn2I9vThCxw3A2X"></a><a name="_9kR3WTr7GB4DE0vhTOfwC145r2ZE4"></a><a name="_9kMHG5YVt4996CEBIUk0"></a><a name="_9kR3WTr2774ADaa1m3Hu6syBvn2I9vThCxw3A2X"></a>Pre-commencement communications pursuant to <a name="_9kR3WTr7GB4DE0vhTOfwC145r2ZE4"></a>Rule&#160;14d-2(b) under the Exchange Act<a name="_9kMHG5YVt4996CEBIUk0"></a> (17 CFR 240.14d-2(b)) </p></td>
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<p style="margin-bottom:0pt;margin-top:0pt;text-indent:0%;font-size:4.5pt;font-family:Times New Roman;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;">&#160;</p>
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<p style="margin-bottom:0pt;margin-top:0pt;margin-left:0pt;;text-indent:0pt;;font-size:10pt;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;font-family:'Times New Roman';"><font style="font-size:10pt;font-family:'Times New Roman'">&#9744;</font></p></td>
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<p style="margin-bottom:0pt;margin-top:0pt;margin-left:0pt;;text-indent:0pt;;font-family:Times New Roman;font-size:10pt;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;"><a name="_9kR3WTr2774AEba1m3Gu9vzBvn2I9vThCxw3A2X"></a><a name="_9kMIH5YVt4996CEBIUk0"></a><a name="_9kR3WTr2774AEba1m3Gu9vzBvn2I9vThCxw3A2X"></a>Pre-commencement communications pursuant to Rule&#160;13e-4(c) under the Exchange Act<a name="_9kMIH5YVt4996CEBIUk0"></a> (17 CFR 240.13e-4(c)) </p></td>
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<p style="margin-bottom:1pt;border-bottom:Solid 0.75pt #000000;padding-bottom:0pt;margin-top:0pt;text-indent:0%;font-size:8pt;font-family:Times New Roman;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;">&#160;</p>
<p style="margin-top:6pt;margin-bottom:0pt;text-indent:0%;font-family:Times New Roman;font-size:10pt;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;"><a name="_9kMHG5YVt4666AKUHy0poD"></a><a name="_9kMHG5YVt4666EJPHy0poD"></a><a name="_9kR3WTr2774AFca1m6GI7v14qcXo5LADE0BiNDQ"></a><a name="_9kMHG5YVt9ID6FHcNevB034q1YD3"></a><a name="_9kR3WTr2774AGda1m3Fq45w25rdYp6MBEF1CnnI"></a><a name="_9kMHG5YVt4666AKUHy0poD"></a><a name="_9kMHG5YVt4666EJPHy0poD"></a>Indicate by check mark whether the registrant is an emerging growth company<a name="_9kR3WTr2774AFca1m6GI7v14qcXo5LADE0BiNDQ"></a> as defined in <a name="_9kMHG5YVt9ID6FHcNevB034q1YD3"></a>Rule 405 of the Securities Act of 1933<a name="_9kR3WTr2774AGda1m3Fq45w25rdYp6MBEF1CnnI"></a> or Rule 12b-2 of the Securities Exchange Act of 1934.</p>
<p style="margin-top:6pt;margin-bottom:0pt;text-indent:0%;font-family:Times New Roman;font-size:10pt;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;"><a name="_9kMIH5YVt4666AKUHy0poD"></a><a name="_9kMIH5YVt4666EJPHy0poD"></a><a name="_9kMIH5YVt4666AKUHy0poD"></a><a name="_9kMIH5YVt4666EJPHy0poD"></a>Emerging growth company&nbsp;&nbsp;&nbsp;&nbsp; <font style="font-family:'Times New Roman';"><font style="font-size:10pt;font-family:'Times New Roman'">&#9746;</font></font></p>
<p style="margin-top:6pt;margin-bottom:0pt;text-indent:0%;font-family:Times New Roman;font-size:10pt;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;"><a name="_9kMJI5YVt4666AKUHy0poD"></a><a name="_9kMJI5YVt4666EJPHy0poD"></a><a name="_9kR3WTr2774AHfLcszv1FJtsy47tRfAvu180VOE"></a><a name="_9kR3WTr5DA4CL"></a><a name="_9kR3WTr5B84CK"></a><a name="_9kMJI5YVt4666AKUHy0poD"></a><a name="_9kMJI5YVt4666EJPHy0poD"></a>If an emerging growth company<a name="_9kR3WTr2774AHfLcszv1FJtsy47tRfAvu180VOE"></a>, 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 <a name="_9kR3WTr5DA4CL"></a>Section 13(a) of the Exchange Act.<a name="_9kR3WTr5B84CK"></a>&nbsp;&nbsp;&nbsp;&nbsp; <font style="font-family:'Times New Roman';"><font style="font-size:10pt;font-family:'Times New Roman'">&#9746;</font></font></p>
<p style="margin-top:12pt;border-bottom:Solid 2.25pt;padding-bottom:1pt; clear:both;margin-top:12pt;margin-bottom:0pt;text-indent:0%;font-family:Times New Roman;font-size:10pt;">&nbsp;</p>
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<p style="text-align:justify;margin-top:0pt;margin-bottom:0pt;text-indent:0%;font-weight:bold;color:#000000;font-size:11pt;font-family:Times New Roman;font-style:normal;text-transform:none;font-variant: normal;"><a name="_AEIOULastRenderedPageBreakAEIOU2"></a><font style="font-weight:bold;color:#000000;font-size:11pt;font-family:Times New Roman;font-style:normal;text-transform:none;font-variant: normal;">Item 1.01 Entry into a Mater</font><font style="font-weight:bold;color:#000000;font-size:11pt;font-family:Times New Roman;font-style:normal;text-transform:none;font-variant: normal;">ial Definitive Agreement.</font></p>
<p style="text-align:justify;margin-top:6pt;margin-bottom:0pt;text-indent:6.67%;font-size:11pt;font-family:Times New Roman;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;"><a name="_9kR3WTr24448ISFwynmB"></a><a name="_9kR3WTr2444CHNFwynmB"></a><a name="_9kR3WTr2AA4AIhPlwsCGrtttvxD"></a><a name="_9kR3WTr24448ISFwynmB"></a><a name="_9kR3WTr2444CHNFwynmB"></a>On July 30, 2018, aTyr Pharma, Inc. (the &#8220;Company<a name="_9kR3WTr2AA4AIhPlwsCGrtttvxD"></a>&#8221;) entered into an amendment (the &#8220;Third Amendment&#8221;) to the Lease between the Company and BMR-3545-3575 John Hopkins LP (as successor-in-interest to BMR-John Hopkins Court LLC), dated December 22, 2011, as amended (the &#8220;Lease&#8221;), for its principal executive offices located at 3545 John Hopkins Court, San Diego, CA (the &#8220;Premises&#8221;). </p>
<p style="text-align:justify;margin-top:6pt;margin-bottom:0pt;text-indent:6.67%;font-size:11pt;font-family:Times New Roman;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;"><a name="_9kMHG5YVt4CC6CKjRnyuEItvvvxzF"></a><a name="_9kMHG5YVt4CC6CKjRnyuEItvvvxzF"></a>Pursuant to the Third Amendment, the space leased by the Company was reduced by 3,986 square feet to 20,508 square feet at the Premises, and the term of the Lease was extended to May 15, 2023, four years beyond the current termination date of May 15, 2019. </p>
<p style="text-align:justify;margin-top:6pt;margin-bottom:0pt;text-indent:6.67%;font-size:11pt;font-family:Times New Roman;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;"><a name="_9kMIH5YVt4CC6CKjRnyuEItvvvxzF"></a><a name="_9kR3WTr26648AJ0otTOr7"></a><a name="_9kR3WTr2664BIO0otTOr7"></a><a name="_9kMHG5YVt4886ACL2qvVQt9"></a><a name="_9kMHG5YVt4886DKQ2qvVQt9"></a><a name="_9kMIH5YVt4886ACL2qvVQt9"></a><a name="_9kMIH5YVt4886DKQ2qvVQt9"></a><a name="_9kMJI5YVt4886ACL2qvVQt9"></a><a name="_9kMJI5YVt4886DKQ2qvVQt9"></a><a name="_9kMIH5YVt4CC6CKjRnyuEItvvvxzF"></a>Under the Third Amendment<a name="_9kR3WTr26648AJ0otTOr7"></a><a name="_9kR3WTr2664BIO0otTOr7"></a>, the Base Rent (as such term is defined in the Lease) of the reduced space <a name="_9kMHG5YVt4886ACL2qvVQt9"></a><a name="_9kMHG5YVt4886DKQ2qvVQt9"></a>is $3.90 per rentable square foot per month. The Base Rent<a name="_9kMIH5YVt4886ACL2qvVQt9"></a><a name="_9kMIH5YVt4886DKQ2qvVQt9"></a> for January and February of 2019 will be abated in full. Starting one year from the effective date of the surrender of the 3,986 square feet in connection with the reduction of the Premises, the Base Rent<a name="_9kMJI5YVt4886ACL2qvVQt9"></a><a name="_9kMJI5YVt4886DKQ2qvVQt9"></a> payable with respect to the Premises will be increased annually by 3% of the then-current Base Rent.</p>
<p style="text-align:justify;margin-top:6pt;margin-bottom:0pt;text-indent:6.67%;font-size:11pt;font-family:Times New Roman;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;"><a name="_9kMJI5YVt4CC6CKjRnyuEItvvvxzF"></a><a name="_9kMKJ5YVt4CC6CKjRnyuEItvvvxzF"></a><a name="_9kR3WTr2AA4AJfZqo8wv3BsTy9CIGBdZIHSUu"></a><a name="_9kMJI5YVt4CC6CKjRnyuEItvvvxzF"></a>The foregoing description of the Third Amendment<a name="_9kMKJ5YVt4CC6CKjRnyuEItvvvxzF"></a> does not purport to be complete, and is qualified in its entirety by reference to the Third Amendment<a name="_9kR3WTr2AA4AJfZqo8wv3BsTy9CIGBdZIHSUu"></a>, a copy of which the Company intends to file as an exhibit to its Quarterly Report on Form 10-Q for the quarter ending September 30, 2018<font style="color:#000000;">.</font></p>
<p style="text-align:justify;margin-bottom:6pt;margin-top:12pt;text-indent:0%;font-weight:bold;font-size:11pt;font-family:Times New Roman;font-style:normal;text-transform:none;font-variant: normal;">Item 5.02 Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers.</p>
<p style="text-align:justify;margin-top:6pt;margin-bottom:0pt;text-indent:6.67%;font-size:11pt;font-family:Times New Roman;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;"><a name="_9kR3WTr26648BLFwyrq5tv406VR874COAw"></a><a name="_9kR3WTr2664BJQFwyrq5tv406VR874COAw"></a><a name="_9kR3WTr26648BLFwyrq5tv406VR874COAw"></a><a name="_9kR3WTr2664BJQFwyrq5tv406VR874COAw"></a>Effective on July 30, 2018, the Board of Directors (the &#8220;Board&#8221;) of the Company, on the recommendation of the Compensation Committee of the Board, appointed Jill M. Broadfoot to serve as the Company&#8217;s Chief Financial Officer.&nbsp;&nbsp;</p>
<p style="text-align:justify;margin-top:6pt;margin-bottom:0pt;text-indent:6.67%;font-size:11pt;font-family:Times New Roman;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;">Prior to joining the Company, from January 2017 to July 2018, Ms. Broadfoot, age 57, served as Chief Financial Officer of Emerald Health Pharmaceuticals Inc. and Emerald Health Bioceuticals Inc., companies focused on discovering, developing and commercializing proprietary cannabinoid-derived medicines and herbal supplements. During that time, she was responsible for establishing operations for the U.S.-based pharmaceutical and bioceuticals entities as well as the establishment of operations, corporate governance, finance and accounting and investor relations functions, among others. Prior to Emerald Health, Ms. Broadfoot served as Vice President, U.S. Corporate Controller at GW Pharmaceuticals, a global leader in cannabinoid-based medicines, from May 2016 to January 2017. While at GW Pharmaceuticals, her responsibilities included establishing U.S. commercial operations and implementing U.S. public company financial and accounting standards in connection with the transfer of corporate operations from the U.K. to the U.S. Prior to joining GW Pharmaceuticals, Ms. Broadfoot served as Chief Financial Officer of Vical Inc.,<font style="font-size:12pt;"> </font>a DNA delivery technology company, from October 2004 to March 2013, where she had oversight of finance, investor relations, manufacturing, information technology, human resources, and business development and raised significant amounts of capital through public and private financing. Before joining Vical, Ms. Broadfoot held various positions at DJO Global, Inc., a medical device company, most recently as Vice President of Finance with broad responsibilities in finance, accounting, treasury, risk management, and corporate governance. Ms. Broadfoot also served as an audit manager at Ernst &amp; Young LLP, where her clients included life sciences, computer software and telecommunications companies as well as government contractors. Ms. Broadfoot also owns a <font style="font-size:12pt;">small</font><font style="letter-spacing:0.8pt;font-size:12pt;"> </font><font style="font-size:12pt;">private</font><font style="letter-spacing:0.85pt;font-size:12pt;"> </font><font style="font-size:12pt;">boat</font><font style="letter-spacing:0.8pt;font-size:12pt;"> </font><font style="font-size:12pt;">charter</font><font style="letter-spacing:0.85pt;font-size:12pt;"> </font><font style="font-size:12pt;">business</font>, which she established in March 2013. Ms. Broadfoot holds a B.S. in business administration and accounting from San Diego State University and is a Certified Public Accountant.</p>
<p style="text-align:justify;margin-top:6pt;margin-bottom:0pt;text-indent:6.67%;font-size:11pt;font-family:Times New Roman;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;"><a name="_9kR3WTr7HC4DGxogkifv"></a><a name="_9kMHG5YVt9JE6FIzqimkhx"></a><a name="_9kR3WTr7HC4DGxogkifv"></a>There are no understandings or arrangements between Ms. Broadfoot and any other person pursuant to which she was appointed as Chief Financial Officer of the Company, and Ms. B<a name="_9kMHG5YVt9JE6FIzqimkhx"></a>roadfoot has no direct or indirect material interest in any transaction or proposed transaction in which the Company is or is to be a party. Ms. Broadfoot has no family relationship with any director or executive officer of the Company.</p>
<p style="text-align:center;margin-top:12pt;border-bottom:Solid 2.25pt;padding-bottom:1pt;margin-top:12pt;margin-bottom:0pt;text-indent:0%;font-family:Times New Roman;font-size:10pt;">&nbsp;</p>
<p style="text-align:center;margin-top:12pt;margin-bottom:0pt;text-indent:0%;font-family:Times New Roman;font-size:10pt;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;">2</a></p>
<p style="margin-bottom:0pt;margin-top:0pt;text-indent:0%;font-family:Times New Roman;font-size:10pt;">&nbsp;</p>
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<p style="text-align:justify;margin-top:6pt;margin-bottom:0pt;text-indent:6.67%;font-size:11pt;font-family:Times New Roman;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;"><a name="_AEIOULastRenderedPageBreakAEIOU3"></a><a name="_9kR3WTr26648CTGptKL5pflx7DI"></a><a name="_9kR3WTr2664BKYGptKL5pflx7DI"></a><a name="_9kR3WTr2AA4AKUFxxxBArt9lSqq3lT8OA9"></a><a name="_9kMHG5YVt4CC6CMWHzzzDCtvBnUss5nVAQCB"></a><a name="_9kMHG5YVt4886AEVIrvMN7rhnz9FK"></a><a name="_9kMHG5YVt4886DMaIrvMN7rhnz9FK"></a><a name="_9kMIH5YVt4CC6CMWHzzzDCtvBnUss5nVAQCB"></a><a name="_9kR3WTr24449AVS4yu0"></a><a name="_9kR3WTr2444CIaS4yu0"></a><a name="_9kMIH5YVt4886AEVIrvMN7rhnz9FK"></a><a name="_9kMIH5YVt4886DMaIrvMN7rhnz9FK"></a><a name="_9kMHG5YVt4666BCXU60w2"></a><a name="_9kMHG5YVt4666EKcU60w2"></a><a name="_9kMJI5YVt4886AEVIrvMN7rhnz9FK"></a><a name="_9kMJI5YVt4886DMaIrvMN7rhnz9FK"></a><a name="_9kR3WTr2CC49Dm1"></a><font style="font-size:11pt;font-family:Times New Roman;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;"><a name="_9kR3WTr26648CTGptKL5pflx7DI"></a><a name="_9kR3WTr2664BKYGptKL5pflx7DI"></a>In connection with </font><font style="font-size:11pt;font-family:Times New Roman;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;">Ms. Broadfoot&#8217;s</font><font style="font-size:11pt;font-family:Times New Roman;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;"><a name="_9kR3WTr2AA4AKUFxxxBArt9lSqq3lT8OA9"></a> appointment, the Company entered into an at-will employment offer letter with Ms. Broadfoot, dated July 16, 2018 (the &#8220;</font><font style="font-size:11pt;font-family:Times New Roman;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;">Employment Offer Letter</font><font style="font-size:11pt;font-family:Times New Roman;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;">&#8221;), pursuant to which Ms. Broadfoot would become employed as the Chief Financial Officer of the Co</font><font style="font-size:11pt;font-family:Times New Roman;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;"><a name="_9kMHG5YVt4CC6CMWHzzzDCtvBnUss5nVAQCB"></a>mpany. A copy of the Employment Offer Letter is filed as Exhibit 10.1 to this report on Form 8-K. Pursuant to the </font><font style="font-size:11pt;font-family:Times New Roman;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;">Employment Offer Letter</font><font style="font-size:11pt;font-family:Times New Roman;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;"><a name="_9kMHG5YVt4886AEVIrvMN7rhnz9FK"></a><a name="_9kMHG5YVt4886DMaIrvMN7rhnz9FK"></a>, </font><font style="font-size:11pt;font-family:Times New Roman;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;">Ms. Broadfoot&#8217;s</font><font style="font-size:11pt;font-family:Times New Roman;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;"> annual base salary will be $350,000. Ms. Broadfoot is also eligible for a discretionary bonus target </font><font style="font-size:11pt;font-family:Times New Roman;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;"><a name="_9kMIH5YVt4CC6CMWHzzzDCtvBnUss5nVAQCB"></a>of up to 40% of her base salary based upon certain performance achievement goals. Pursuant to the </font><font style="font-size:11pt;font-family:Times New Roman;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;">Employment Offer Letter</font><font style="font-size:11pt;font-family:Times New Roman;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;"><a name="_9kR3WTr24449AVS4yu0"></a><a name="_9kR3WTr2444CIaS4yu0"></a>, Ms. Broadfoot will be granted an option to purchase 200,000 shares of the common stock of the Company (the &#8220;</font><font style="font-size:11pt;font-family:Times New Roman;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;">Option</font><font style="font-size:11pt;font-family:Times New Roman;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;">&#8221;), with an exercis</font><font style="font-size:11pt;font-family:Times New Roman;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;"><a name="_9kMIH5YVt4886AEVIrvMN7rhnz9FK"></a><a name="_9kMIH5YVt4886DMaIrvMN7rhnz9FK"></a>e price of $0.8151 per share, the closing price per share of the Company&#8217;s common stock as reported by NASDAQ on July 30, 2018, the effective date of the grant and the start date of </font><font style="font-size:11pt;font-family:Times New Roman;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;">Ms. Broadfoot&#8217;s</font><font style="font-size:11pt;font-family:Times New Roman;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;"><a name="_9kMHG5YVt4666BCXU60w2"></a><a name="_9kMHG5YVt4666EKcU60w2"></a> employment. The Option is a non-qualified stock </font><font style="font-size:11pt;font-family:Times New Roman;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;">option</font><font style="font-size:11pt;font-family:Times New Roman;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;"> and</font><font style="font-size:11pt;font-family:Times New Roman;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;"> t</font><font style="color:#000000;">he shares subject to the Option will vest over a period of four years, with 25% of the shares subject to the Option vesting one year following the vesting commencement date and the remainder vesting in equal monthly installments for 36 months thereafter,</font><font style="color:#000000;"><a name="_9kMJI5YVt4886AEVIrvMN7rhnz9FK"></a><a name="_9kMJI5YVt4886DMaIrvMN7rhnz9FK"></a> subject to </font><font style="font-size:11pt;font-family:Times New Roman;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;">Ms. Broadfoot</font><font style="color:#000000;">&#8217;s</font><font style="color:#000000;"> continued employment with </font><font style="font-size:11pt;font-family:Times New Roman;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;">the Company</font><font style="color:#000000;"> on the applicable vesting date</font><font style="font-size:11pt;font-family:Times New Roman;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;"><a name="_9kR3WTr2CC49Dm1"></a>. This award was granted as an inducement material to Ms. Broadfoot entering into employment with the Company in accordance with NASDAQ Stock Market Rule 5635</font><font style="font-size:11pt;font-family:Times New Roman;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;">(c</font><font style="font-size:11pt;font-family:Times New Roman;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;">)(4)</font><font style="font-size:11pt;font-family:Times New Roman;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;">.</font></p>
<p style="text-align:justify;margin-top:9pt;margin-bottom:0pt;text-indent:6.67%;font-size:11pt;font-family:Times New Roman;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;"><a name="_9kR3WTr26648DPQxduC141ZU452zwzrq04UTy5C"></a><a name="_9kR3WTr2664BLUQxduC141ZU452zwzrq04UTy5C"></a><a name="_9kR3WTr26648DPQxduC141ZU452zwzrq04UTy5C"></a><a name="_9kR3WTr2664BLUQxduC141ZU452zwzrq04UTy5C"></a>In addition, Ms. Broadfoot is eligible to participate in the Company&#8217;s Executive Severance and Change in Control Policy as in effect from time to time (the &#8220;Policy&#8221;). <font style="color:#000000;">The purpose of the Policy is to provide certain of the Company&#8217;s senior management employees with compensation and benefits in the event of a termination of employment without Cause or for Good Reason (as such terms are defined in the Policy). The post-termination compensation and benefits under the Policy include (i) acceleration of time-based vesting provisions of outstanding equity awards that would have vested within 12 months of the termination, (ii) severance in the amount of 12 months of base salary, and (iii) payment of the employer portion of group health care benefits under COBRA for up to 12 months after termination. In addition, if the termination occurs within two months prior to or one year after the closing of a Sale Event (as defined in the Policy), then, in lieu of the benefits described above, the post-termination compensation and benefits under the Policy include (i) full acceleration of time-based vesting provisions of all outstanding equity awards, (ii) severance in the amount of 12 months of base salary, (iii) payment of the bonus target for the calendar year in which the termination occurred, and (iv) payment of the employer portion of group health care benefits under COBRA for up to 12 months after termination. In each case, receipt of any compensation or benefits under the Policy is subject to the Ms. Broadfoot&#8217;s execution of a severance agreement and release of claims.</font></p>
<p style="text-align:justify;margin-top:6pt;margin-bottom:0pt;text-indent:6.67%;font-size:11pt;font-family:Times New Roman;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;"><a name="_9kR3WTr7GB4CM9vhdoz11r01NQ888ML24K"></a><a name="_9kMJI5YVt4CC6CMWHzzzDCtvBnUss5nVAQCB"></a><a name="_9kMHG5YVt9ID6EOBxjfq133t23PSAAAON46M"></a><a name="_9kMKJ5YVt4CC6CMWHzzzDCtvBnUss5nVAQCB"></a><a name="_9kR3WTr2CC49EPQ0mhi1LGH"></a><a name="_9kR3WTr7GB4CM9vhdoz11r01NQ888ML24K"></a>The foregoing summary of <a name="_9kMJI5YVt4CC6CMWHzzzDCtvBnUss5nVAQCB"></a>the Employment Offer Letter<a name="_9kMHG5YVt9ID6EOBxjfq133t23PSAAAON46M"></a> does not purport to be complete and is qualified in its entirety by reference to <a name="_9kMKJ5YVt4CC6CMWHzzzDCtvBnUss5nVAQCB"></a>the complete Employment Offer Letter<a name="_9kR3WTr2CC49EPQ0mhi1LGH"></a>, which is attached as Exhibit 10.1 and incorporated herein by reference.</p>
<p style="text-align:justify;margin-bottom:12pt;margin-top:0pt;text-indent:6.67%;font-size:11pt;font-family:Times New Roman;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;">On July 31, 2018, the Company&#8217;s Board of Directors also appointed Ms. Broadfoot as the Company&#8217;s principal financial officer and principal accounting officer, replacing Stan Blackburn in these positions, effective as of August 15, 2018. On July 31, 2018, the Company also accepted Mr. Blackburn&#8217;s resignation from these positions, effective as of August 15, 2018. Following his resignation from these positions, Mr. Blackburn will continue to serve as a financial consultant to the Company.</p>
<p style="margin-bottom:12pt;margin-top:12pt;text-indent:0%;font-weight:bold;font-size:11pt;font-family:Times New Roman;font-style:normal;text-transform:none;font-variant: normal;">Forward-Looking Statements</p>
<p style="text-align:justify;margin-bottom:12pt;margin-top:0pt;text-indent:6.67%;font-size:11pt;font-family:Times New Roman;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;"><a name="_9kR3WTr2AA4BDbPlxSPB9xuApV0BEKIDfbKJbx"></a><a name="_9kR3WTr26646AZVv0tsxQP45tm095Bpbw7KJdOE"></a><a name="_9kR3WTr26647DbVv0tsxQP45tm095Bpbw7KJdOE"></a><a name="_9kR3WTr5DA47F"></a><a name="_AEIOULastRenderedPageBreakAEIOU4"></a><a name="_9kR3WTr5DA47G"></a><a name="_9kR3WTr2AA4BEJCw4skcQv69FD8aWFEPRl"></a><a name="_9kR3WTr2AA4BFaZqo8wv3BsTy9CIKGCeaJITVv"></a>This Current Report on Form 8-K<a name="_9kR3WTr26646AZVv0tsxQP45tm095Bpbw7KJdOE"></a><a name="_9kR3WTr26647DbVv0tsxQP45tm095Bpbw7KJdOE"></a> contains forward-looking statements within the meaning of the <a name="_9kR3WTr5DA47F"></a>Private Litigation Reform Act. Forward-looking statements are usually identified by the use of words such as &#8220;anticipates,&#8221; &#8220;believes,&#8221; &#8220;estimates,&#8221; &#8220;expects,&#8221; &#8220;intends,&#8221; &#8220;may,&#8221; &#8220;plans,&#8221; &#8220;projects,&#8221; &#8220;seeks,&#8221; &#8220;should,&#8221; &#8220;will,&#8221; and variations of such words or similar expressions. We intend these forward-looking statements to be covered by such safe harbor provisions for forward-looking statements and are making this statement for purposes of complying with those safe harbor provisions. These forward-looking statements, including statements regarding the potential therapeutic benefits and applications of our product candidates; our ability to successfully advance our pipeline or product candidates, undertake certain development activities (such as the initiation of clinical trials, clinical trial enrollment, the conduct of clinical trials and the announcement of top-line results) and accomplish certain development goals, and the timing of such events; and the scope and strength of </p>
<p style="text-align:center;margin-top:12pt;border-bottom:Solid 2.25pt;padding-bottom:1pt;margin-top:12pt;margin-bottom:0pt;text-indent:0%;font-family:Times New Roman;font-size:10pt;">&nbsp;</p>
<p style="text-align:center;margin-top:12pt;margin-bottom:0pt;text-indent:0%;font-family:Times New Roman;font-size:10pt;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;">3</p>
<p style="margin-bottom:0pt;margin-top:0pt;text-indent:0%;font-family:Times New Roman;font-size:10pt;">&nbsp;</p>
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<p style="text-align:justify;margin-bottom:12pt;margin-top:0pt;font-size:11pt;font-family:Times New Roman;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;"><font style="font-size:11pt;font-family:Times New Roman;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;">our intellectual property portfolio. These forward-looking statements also reflect our current views about our plans, intentions, expectations, </font><font style="font-size:11pt;font-family:Times New Roman;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;"><a name="_9kR3WTr5DA47G"></a>strategies and prospects, which are based on the information currently available to us and on assumptions </font><font style="font-size:11pt;font-family:Times New Roman;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;">we have made. Although we believe that our plans, intentions, expectations, strategies and prospects, as reflected in or suggested by these forward-lo</font><font style="font-size:11pt;font-family:Times New Roman;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;">oking statements, are reasonable, we can give no assurance that the plans, intentions, expectations or strategies will be attained or achieved. Furthermore, actual results may differ materially from those described in these forward-looking statements and w</font><font style="font-size:11pt;font-family:Times New Roman;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;">ill be affected by a variety of risks and factors that are beyond our control including, without limitation, risks associated with the discovery, development and regulation of our product candidates, the risk that we may cease or delay preclinical or clini</font><font style="font-size:11pt;font-family:Times New Roman;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;">cal development activities for any of our existing or future product candidates for a variety of reasons (including difficulties or delays in patient enrollment in planned clinical trials), and the risk that we may not be able to raise the additional fundi</font><font style="font-size:11pt;font-family:Times New Roman;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;"><a name="_9kR3WTr2AA4BEJCw4skcQv69FD8aWFEPRl"></a>ng required for our business and product development plans, as well as those risks set forth in our most recent </font><font style="font-size:11pt;font-family:Times New Roman;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;">Annual Report on Form 10-K</font><font style="font-size:11pt;font-family:Times New Roman;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;"><a name="_9kR3WTr2AA4BFaZqo8wv3BsTy9CIKGCeaJITVv"></a>, </font><font style="font-size:11pt;font-family:Times New Roman;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;">Quarterly Reports on Form 10-Q</font><font style="font-size:11pt;font-family:Times New Roman;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;"> and in our other SEC filings. Except as required by law, we assume no obligation to u</font><font style="font-size:11pt;font-family:Times New Roman;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;">pdate publicly any forward-looking statements, whether as a result of new information, future events or otherwise.</font></p>
<p style="text-align:justify;margin-bottom:0pt;margin-top:12pt;text-indent:0%;font-weight:bold;font-size:11pt;font-family:Times New Roman;font-style:normal;text-transform:none;font-variant: normal;"><a name="_9kR3WTr2CC49FLHA"></a><a name="_9kR3WTr2CC49FLHA"></a>Item 9.01 Exhibits.&nbsp;&nbsp;</p>
<p style="text-align:justify;margin-bottom:0pt;margin-top:9pt;text-indent:0%;font-size:11pt;font-family:Times New Roman;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;"><a name="_9kR3WTr8F94CJq"></a>(d)&nbsp;&nbsp;Exhibits</p>
<p style="text-align:justify;margin-bottom:0pt;margin-top:9pt;text-indent:0%;font-size:11pt;">&nbsp;</p>
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<p style="text-align:center;margin-bottom:0pt;margin-top:0pt;margin-left:0pt;;text-indent:0pt;;font-weight:bold;font-size:11pt;font-family:Times New Roman;font-style:normal;text-transform:none;font-variant: normal;">&#160;</p></td>
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<p style="text-align:center;margin-bottom:0pt;margin-top:0pt;margin-left:0pt;;text-indent:0pt;;font-weight:bold;font-size:11pt;font-family:Times New Roman;font-style:normal;text-transform:none;font-variant: normal;">Description</p></td>
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<p style="margin-bottom:0pt;margin-top:0pt;margin-left:0pt;;text-indent:0pt;;font-size:11pt;font-family:Times New Roman;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;">&#160;</p></td>
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<p style="margin-bottom:0pt;margin-top:0pt;margin-left:0pt;;text-indent:0pt;;font-size:11pt;font-family:Times New Roman;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;"><a href="life-ex101_6.htm"><font style="text-decoration:underline;">Employment Offer Letter by and between aTyr Pharma, Inc. and Jill M. Broadfoot, dated July 16, 2018</font></a></p></td>
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<p style="margin-bottom:0pt;margin-top:0pt;text-indent:0%;font-family:Times New Roman;font-size:10pt;">&nbsp;</p>
<p style="margin-bottom:0pt;margin-top:0pt;font-family:Times New Roman;font-size:10pt;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;text-indent:36.48%;"><font style="margin-left:36pt;"></font>&nbsp;</p>
<p style="text-align:center;margin-top:12pt;border-bottom:Solid 2.25pt;padding-bottom:1pt; clear:both;margin-top:12pt;margin-bottom:0pt;text-indent:0%;font-family:Times New Roman;font-size:10pt;">&nbsp;</p>
<p style="text-align:center;margin-top:12pt;margin-bottom:0pt;text-indent:0%;font-family:Times New Roman;font-size:10pt;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;">4</a></p>
<p style="margin-bottom:0pt;margin-top:0pt;text-indent:0%;font-family:Times New Roman;font-size:10pt;">&nbsp;</p>
<hr style="page-break-after:always;width:100%;">
<p style="text-align:center;margin-bottom:0pt;margin-top:0pt;text-indent:0%;font-weight:bold;font-family:Times New Roman;font-size:10pt;font-style:normal;text-transform:none;font-variant: normal;"><a name="_AEIOULastRenderedPageBreakAEIOU5"></a><font style="font-weight:bold;font-family:Times New Roman;font-size:10pt;font-style:normal;text-transform:none;font-variant: normal;">SIGNATURE</font></p>
<p style="text-align:center;margin-bottom:0pt;margin-top:0pt;text-indent:0%;font-family:Times New Roman;font-size:10pt;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;">&#160;</p>
<p style="margin-bottom:0pt;margin-top:0pt;text-indent:6.67%;font-family:Times New Roman;font-size:10pt;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;"><a name="_9kMHG5YVt4996BIhNevB034q1cc7sry5xSLBOBP"></a><a name="_9kMHG5YVt4996BIhNevB034q1cc7sry5xSLBOBP"></a>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="margin-bottom:0pt;margin-top:0pt;text-indent:0%;font-family:Times New Roman;font-size:10pt;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;">&#160;</p>
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<p style="margin-bottom:0pt;margin-top:0pt;margin-left:0pt;;text-indent:0pt;;font-size:1pt;font-family:Times New Roman;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;">&#160;</p></td>
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<p style="margin-bottom:0pt;margin-top:0pt;margin-left:0pt;;text-indent:0pt;;font-weight:bold;font-family:Times New Roman;font-size:10pt;font-style:normal;text-transform:none;font-variant: normal;">ATYR PHARMA, INC.</p></td>
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<p style="margin-bottom:0pt;margin-top:0pt;margin-left:0pt;;text-indent:0pt;;font-family:Times New Roman;font-size:10pt;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;">By:</p></td>
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<p style="margin-bottom:0pt;margin-top:0pt;margin-left:0pt;;text-indent:0pt;;font-family:Times New Roman;font-size:10pt;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;">/s/ Sanjay S. Shukla</p></td>
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<p style="margin-bottom:0pt;margin-top:0pt;margin-left:0pt;;text-indent:0pt;;font-family:Times New Roman;font-size:10pt;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;">&#160;</p></td>
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<p style="margin-bottom:0pt;margin-top:0pt;margin-left:0pt;;text-indent:0pt;;font-size:1pt;font-family:Times New Roman;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;">&#160;</p></td>
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<p style="margin-bottom:0pt;margin-top:0pt;margin-left:0pt;;text-indent:0pt;;font-family:Times New Roman;font-size:10pt;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;">Sanjay S. Shukla, M.D., M.S.</p></td>
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<p style="margin-bottom:0pt;margin-top:0pt;margin-left:0pt;;text-indent:0pt;;font-size:1pt;font-family:Times New Roman;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;">&#160;</p></td>
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<p style="margin-bottom:0pt;margin-top:0pt;margin-left:0pt;;text-indent:0pt;;font-family:Times New Roman;font-size:10pt;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;">President and Chief Executive Officer</p></td>
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<p style="margin-bottom:0pt;margin-top:0pt;margin-left:0pt;;text-indent:0pt;;font-size:12pt;">&nbsp;</p></td>
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<p style="margin-bottom:0pt;margin-top:0pt;margin-left:0pt;;text-indent:0pt;;font-family:Times New Roman;font-size:10pt;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;"><a name="_9kMHG5YVt4886ABM4rw"></a><a name="_9kMHG5YVt4886DJR4rw"></a>Date: August 1, 2018</p></td>
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life-8k_20180730.htm
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
July 30, 2018
Date of Report
(Date of earliest event reported)
ATYR PHARMA, INC.
(Exact name of registrant as specified in its charter)
Delaware
001-37378
20-3435077
(State or other jurisdiction
of incorporation)
(Commission
File Number)
(IRS Employer
Identification No.)
3545 John Hopkins Court, Suite #250
San Diego, California 92121
(Address of principal executive offices, including zip code)
(858) 731-8389
(Registrant's telephone number, including area code)
Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligations 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))
Indicate by check mark whether the registrant is an emerging growth company
as defined in
Rule 405 of the Securities Act of 1933
or Rule 12b-2 of the Securities Exchange Act of 1934.
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 1.01 Entry into a Mater
ial Definitive Agreement.
On July 30, 2018, aTyr Pharma, Inc. (the "Company
") entered into an amendment (the "Third Amendment") to the Lease between the Company and BMR-3545-3575 John Hopkins LP (as successor-in-interest to BMR-John Hopkins Court LLC), dated December 22, 2011, as amended (the "Lease"), for its principal executive offices located at 3545 John Hopkins Court, San Diego, CA (the "Premises").
Pursuant to the Third Amendment, the space leased by the Company was reduced by 3,986 square feet to 20,508 square feet at the Premises, and the term of the Lease was extended to May 15, 2023, four years beyond the current termination date of May 15, 2019.
Under the Third Amendment
, the Base Rent (as such term is defined in the Lease) of the reduced space
is $3.90 per rentable square foot per month. The Base Rent
for January and February of 2019 will be abated in full. Starting one year from the effective date of the surrender of the 3,986 square feet in connection with the reduction of the Premises, the Base Rent
payable with respect to the Premises will be increased annually by 3% of the then-current Base Rent.
The foregoing description of the Third Amendment
does not purport to be complete, and is qualified in its entirety by reference to the Third Amendment
, a copy of which the Company intends to file as an exhibit to its Quarterly Report on Form 10-Q for the quarter ending September 30, 2018
.
Item 5.02 Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers.
Effective on July 30, 2018, the Board of Directors (the "Board") of the Company, on the recommendation of the Compensation Committee of the Board, appointed Jill M. Broadfoot to serve as the Company's Chief Financial Officer.
Prior to joining the Company, from January 2017 to July 2018, Ms. Broadfoot, age 57, served as Chief Financial Officer of Emerald Health Pharmaceuticals Inc. and Emerald Health Bioceuticals Inc., companies focused on discovering, developing and commercializing proprietary cannabinoid-derived medicines and herbal supplements. During that time, she was responsible for establishing operations for the U.S.-based pharmaceutical and bioceuticals entities as well as the establishment of operations, corporate governance, finance and accounting and investor relations functions, among others. Prior to Emerald Health, Ms. Broadfoot served as Vice President, U.S. Corporate Controller at GW Pharmaceuticals, a global leader in cannabinoid-based medicines, from May 2016 to January 2017. While at GW Pharmaceuticals, her responsibilities included establishing U.S. commercial operations and implementing U.S. public company financial and accounting standards in connection with the transfer of corporate operations from the U.K. to the U.S. Prior to joining GW Pharmaceuticals, Ms. Broadfoot served as Chief Financial Officer of Vical Inc.,
a DNA delivery technology company, from October 2004 to March 2013, where she had oversight of finance, investor relations, manufacturing, information technology, human resources, and business development and raised significant amounts of capital through public and private financing. Before joining Vical, Ms. Broadfoot held various positions at DJO Global, Inc., a medical device company, most recently as Vice President of Finance with broad responsibilities in finance, accounting, treasury, risk management, and corporate governance. Ms. Broadfoot also served as an audit manager at Ernst & Young LLP, where her clients included life sciences, computer software and telecommunications companies as well as government contractors. Ms. Broadfoot also owns a
small
private
boat
charter
business
, which she established in March 2013. Ms. Broadfoot holds a B.S. in business administration and accounting from San Diego State University and is a Certified Public Accountant.
There are no understandings or arrangements between Ms. Broadfoot and any other person pursuant to which she was appointed as Chief Financial Officer of the Company, and Ms. B
roadfoot has no direct or indirect material interest in any transaction or proposed transaction in which the Company is or is to be a party. Ms. Broadfoot has no family relationship with any director or executive officer of the Company.
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In connection with
Ms. Broadfoot's
appointment, the Company entered into an at-will employment offer letter with Ms. Broadfoot, dated July 16, 2018 (the "
Employment Offer Letter
"), pursuant to which Ms. Broadfoot would become employed as the Chief Financial Officer of the Co
mpany. A copy of the Employment Offer Letter is filed as Exhibit 10.1 to this report on Form 8-K. Pursuant to the
Employment Offer Letter
,
Ms. Broadfoot's
annual base salary will be $350,000. Ms. Broadfoot is also eligible for a discretionary bonus target
of up to 40% of her base salary based upon certain performance achievement goals. Pursuant to the
Employment Offer Letter
, Ms. Broadfoot will be granted an option to purchase 200,000 shares of the common stock of the Company (the "
Option
"), with an exercis
e price of $0.8151 per share, the closing price per share of the Company's common stock as reported by NASDAQ on July 30, 2018, the effective date of the grant and the start date of
Ms. Broadfoot's
employment. The Option is a non-qualified stock
option
and
t
he shares subject to the Option will vest over a period of four years, with 25% of the shares subject to the Option vesting one year following the vesting commencement date and the remainder vesting in equal monthly installments for 36 months thereafter,
subject to
Ms. Broadfoot
's
continued employment with
the Company
on the applicable vesting date
. This award was granted as an inducement material to Ms. Broadfoot entering into employment with the Company in accordance with NASDAQ Stock Market Rule 5635
(c
)(4)
.
In addition, Ms. Broadfoot is eligible to participate in the Company's Executive Severance and Change in Control Policy as in effect from time to time (the "Policy").
The purpose of the Policy is to provide certain of the Company's senior management employees with compensation and benefits in the event of a termination of employment without Cause or for Good Reason (as such terms are defined in the Policy). The post-termination compensation and benefits under the Policy include (i) acceleration of time-based vesting provisions of outstanding equity awards that would have vested within 12 months of the termination, (ii) severance in the amount of 12 months of base salary, and (iii) payment of the employer portion of group health care benefits under COBRA for up to 12 months after termination. In addition, if the termination occurs within two months prior to or one year after the closing of a Sale Event (as defined in the Policy), then, in lieu of the benefits described above, the post-termination compensation and benefits under the Policy include (i) full acceleration of time-based vesting provisions of all outstanding equity awards, (ii) severance in the amount of 12 months of base salary, (iii) payment of the bonus target for the calendar year in which the termination occurred, and (iv) payment of the employer portion of group health care benefits under COBRA for up to 12 months after termination. In each case, receipt of any compensation or benefits under the Policy is subject to the Ms. Broadfoot's execution of a severance agreement and release of claims.
The foregoing summary of
the Employment Offer Letter
does not purport to be complete and is qualified in its entirety by reference to
the complete Employment Offer Letter
, which is attached as Exhibit 10.1 and incorporated herein by reference.
On July 31, 2018, the Company's Board of Directors also appointed Ms. Broadfoot as the Company's principal financial officer and principal accounting officer, replacing Stan Blackburn in these positions, effective as of August 15, 2018. On July 31, 2018, the Company also accepted Mr. Blackburn's resignation from these positions, effective as of August 15, 2018. Following his resignation from these positions, Mr. Blackburn will continue to serve as a financial consultant to the Company.
Forward-Looking Statements
This Current Report on Form 8-K
contains forward-looking statements within the meaning of the
Private Litigation Reform Act. Forward-looking statements are usually identified by the use of words such as "anticipates," "believes," "estimates," "expects," "intends," "may," "plans," "projects," "seeks," "should," "will," and variations of such words or similar expressions. We intend these forward-looking statements to be covered by such safe harbor provisions for forward-looking statements and are making this statement for purposes of complying with those safe harbor provisions. These forward-looking statements, including statements regarding the potential therapeutic benefits and applications of our product candidates; our ability to successfully advance our pipeline or product candidates, undertake certain development activities (such as the initiation of clinical trials, clinical trial enrollment, the conduct of clinical trials and the announcement of top-line results) and accomplish certain development goals, and the timing of such events; and the scope and strength of
3
our intellectual property portfolio. These forward-looking statements also reflect our current views about our plans, intentions, expectations,
strategies and prospects, which are based on the information currently available to us and on assumptions
we have made. Although we believe that our plans, intentions, expectations, strategies and prospects, as reflected in or suggested by these forward-lo
oking statements, are reasonable, we can give no assurance that the plans, intentions, expectations or strategies will be attained or achieved. Furthermore, actual results may differ materially from those described in these forward-looking statements and w
ill be affected by a variety of risks and factors that are beyond our control including, without limitation, risks associated with the discovery, development and regulation of our product candidates, the risk that we may cease or delay preclinical or clini
cal development activities for any of our existing or future product candidates for a variety of reasons (including difficulties or delays in patient enrollment in planned clinical trials), and the risk that we may not be able to raise the additional fundi
ng required for our business and product development plans, as well as those risks set forth in our most recent
Annual Report on Form 10-K
,
Quarterly Reports on Form 10-Q
and in our other SEC filings. Except as required by law, we assume no obligation to u
pdate publicly any forward-looking statements, whether as a result of new information, future events or otherwise.
Item 9.01 Exhibits.
(d)  Exhibits
Exhibit No.
Description
10.1
Employment Offer Letter by and between aTyr Pharma, Inc. and Jill M. Broadfoot, dated July 16, 2018
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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.
ATYR PHARMA, INC.
By:
/s/ Sanjay S. Shukla
Sanjay S. Shukla, M.D., M.S.
President and Chief Executive Officer
Date: August 1, 2018
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