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<p style="margin: 0pt 7.5pt; text-align: center; font-family: &quot;Times New Roman&quot;, Times, serif; font-size: 10pt;"><b>UNITED STATES SECURITIES AND EXCHANGE COMMISSION</b>&nbsp;</p>

<p style="margin: 0pt 7.5pt; text-align: center; font-family: &quot;Times New Roman&quot;, Times, serif; font-size: 10pt;"><b>WASHINGTON, D.C. 20549</b>&nbsp;</p>

<p style="margin: 0pt 7.5pt; text-align: center; font-family: &quot;Times New Roman&quot;, Times, serif; font-size: 18pt;"><b>FORM 8-K</b>&nbsp;</p>

<p style="margin: 0pt 7.5pt; text-align: center; font-family: &quot;Times New Roman&quot;, Times, serif; font-size: 10pt;"><b>CURRENT REPORT<br>
Pursuant to Section&nbsp;13 or 15(d) of the Securities Exchange Act of 1934</b></p>

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<p style="margin: 0pt 7.5pt; text-align: center; font-family: &quot;Times New Roman&quot;, Times, serif; font-size: 10pt;"><b>Date of Report (Date of Ea</b><b>rliest Event Reported): January&nbsp;6, 2020</b></p>

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<p style="margin: 0pt 7.5pt; text-align: center; font-family: &quot;Times New Roman&quot;, Times, serif; font-size: 24pt;"><b>Atossa Therapeutics, Inc.</b>&nbsp;</p>

<p style="margin: 0pt 7.5pt; text-align: center; font-family: &quot;Times New Roman&quot;, Times, serif; font-size: 10pt;">(Exact name of registrant as specified in its charter)</p>

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<p style="margin: 0pt 7.5pt; text-align: center; font-family: &quot;Times New Roman&quot;, Times, serif; font-size: 10pt;">Registrant&#8217;s telephone number, including area code: (206)&nbsp;325-6086</p>

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<p style="margin: 0pt 7.5pt; text-align: center; font-family: &quot;Times New Roman&quot;, Times, serif; font-size: 10pt;"><u>Atossa Genetics Inc.</u><br>
Former name or former address, if changed since last report</p>

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<p style="margin: 0pt 7.5pt; text-align: left; font-family: &quot;Times New Roman&quot;, Times, serif; font-size: 10pt;">Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions:</p>

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<p style="margin: 0pt 7.5pt 0pt 30pt; text-align: left; text-indent: -22.5pt; font-family: &quot;Times New Roman&quot;, Times, serif; font-size: 10pt;">&#9744;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;Written communications pursuant to Rule&nbsp;425 under the Securities Act (17 CFR 230.425)</p>

<p style="margin: 0pt 7.5pt 0pt 30pt; text-align: left; text-indent: -22.5pt; font-family: &quot;Times New Roman&quot;, Times, serif; font-size: 10pt;">&#9744;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;Soliciting material pursuant to Rule&nbsp;14a-12 under the Exchange Act (17 CFR 240.14a-12)</p>

<p style="margin: 0pt 7.5pt 0pt 30pt; text-align: left; text-indent: -22.5pt; font-family: &quot;Times New Roman&quot;, Times, serif; font-size: 10pt;">&#9744;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;Pre-commencement communications pursuant to Rule&nbsp;14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))</p>

<p style="margin: 0pt 7.5pt 0pt 30pt; text-align: left; text-indent: -22.5pt; font-family: &quot;Times New Roman&quot;, Times, serif; font-size: 10pt;">&#9744;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;Pre-commencement communications pursuant to Rule&nbsp;13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))</p>

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<p style="margin: 0pt 7.2pt; text-align: left; font-family: &quot;Times New Roman&quot;, Times, serif; font-size: 10pt;">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.</p>

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<p style="margin: 0pt 7.2pt; text-align: right; font-family: &quot;Times New Roman&quot;, Times, serif; font-size: 10pt;">Emerging growth company&nbsp;&#9744;</p>

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<p style="margin: 0pt 7.2pt; text-align: left; font-family: &quot;Times New Roman&quot;, Times, serif; 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 13(a) of the Exchange Act.&nbsp;&#9744;</p>

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<p style="margin: 0pt 7.2pt; text-align: center; font-family: &quot;Times New Roman&quot;, Times, serif; font-size: 10pt;">Securities registered pursuance to Section 12(b) of the Act:</p>

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<p style="margin: 0pt; text-align: left; font-family: &quot;Times New Roman&quot;, Times, serif; font-size: 10pt;"><b>&nbsp;</b></p>

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<p style="font-family: &quot;Times New Roman&quot;, Times, serif; font-size: 10pt; margin: 0pt 7.2pt 0pt -2pt; text-align: left;"><b>Item 5.03&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year.</b></p>

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<p style="font-family: &quot;Times New Roman&quot;, Times, serif; font-size: 10pt; margin: 0pt 7.2pt 0pt -2pt; text-align: left;">Effective January 6, 2020, the Company&#8217;s corporate name was changed from &#8220;Atossa Genetics Inc.&#8221; to &#8220;Atossa Therapeutics, Inc.&#8221; (the &#8220;Name Change&#8221;) to more clearly reflect its increased focus&nbsp;on developing therapies to treat breast cancer, breast density and other breast conditions. The Name Change was effectuated by filing a Certificate of Amendment to the Amended and Restated Certificate of Incorporation with the Delaware Secretary of State (the &#8220;Certificate of Amendment&#8221;).&nbsp; The Company also amended and restated its Bylaws (the &#8220;Amended and Restated Bylaws&#8221;) to reflect the Name Change.&nbsp;</p>

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<p style="font-family: &quot;Times New Roman&quot;, Times, serif; font-size: 10pt; margin: 0pt 7.2pt 0pt -2pt; text-align: left;">The Name Change does not affect the rights of the Company's stockholders and there were no changes to the Certificate of Incorporation or the Amended and Restated Bylaws other than to reflect the Name Change. The Company&#8217;s common stock, par value $0.18 per share (the &#8220;Common Stock&#8221;), will continue to trade on the Nasdaq Capital Market under the Symbol &#8220;ATOS&#8221; and there has been no change to the CUSIP number for the Common Stock.&nbsp;&nbsp;</p>

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<p style="font-family: &quot;Times New Roman&quot;, Times, serif; font-size: 10pt; margin: 0pt 7.2pt 0pt -2pt; text-align: left;">The foregoing summary of the Certificate of Amendment and the Amended and Restated Bylaws does not purport to be complete and is subject to, and qualified in its entirety by, the full text of the Certificate of Amendment and the Amended and Restated Bylaws which are filed as Exhibit 3.1 and 3.2, respectively, to this Current Report on Form 8-K and incorporated herein by reference.</p>

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<p style="font-family: &quot;Times New Roman&quot;, Times, serif; font-size: 10pt; margin: 0pt 7.2pt 0pt -2pt; text-align: left;"><b>Item&nbsp;9.01.&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; Financial Statements and Exhibits.</b></p>

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<p style="margin: 0pt 7.5pt 0pt -2pt; text-align: left; font-family: &quot;Times New Roman&quot;, Times, serif; font-size: 10pt;">(d)&nbsp;Exhibits</p>

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			<td style="width: 8%; vertical-align: bottom; border-bottom-color: rgb(0, 0, 0); border-bottom-width: 1px; border-bottom-style: solid;">
			<p style="margin: 0pt; text-align: left; font-family: &quot;Times New Roman&quot;, Times, serif; font-size: 10pt;">Exhibit No.</p>
			</td>
			<td style="width: 3%; vertical-align: bottom;">
			<p style="margin: 0pt; text-align: left; font-family: &quot;Times New Roman&quot;, Times, serif; font-size: 10pt;">&nbsp;</p>
			</td>
			<td style="width: 89%; vertical-align: bottom; border-bottom-color: rgb(0, 0, 0); border-bottom-width: 1px; border-bottom-style: solid;">
			<p style="margin: 0pt; text-align: left; font-family: &quot;Times New Roman&quot;, Times, serif; font-size: 10pt;">Description</p>
			</td>
		</tr>
		<tr>
			<td style="width: 8%; vertical-align: top;">
			<p style="margin: 0pt; font-family: &quot;Times New Roman&quot;, Times, serif; font-size: 10pt; text-align: center;"><a href="ex_168672.htm" style="-sec-extract:exhibit;">&nbsp;3.1&nbsp;</a></p>
			</td>
			<td style="width: 3%; vertical-align: bottom;">
			<p style="margin: 0pt; text-align: left; font-family: &quot;Times New Roman&quot;, Times, serif; font-size: 10pt;">&nbsp;</p>
			</td>
			<td style="width: 89%; vertical-align: top;">
			<p style="margin: 0pt; text-align: left; font-family: &quot;Times New Roman&quot;, Times, serif; font-size: 10pt;"><a href="ex_168672.htm" style="-sec-extract:exhibit;">Certificate of Amendment to the&nbsp;Certificate of Incorporation of Atossa Therapeutics, Inc. (filed herewith)</a></p>
			</td>
		</tr>
		<tr>
			<td style="width: 8%; vertical-align: top; text-align: center;"><a href="ex_168682.htm" style="-sec-extract:exhibit;">3.2</a></td>
			<td style="width: 3%; vertical-align: bottom;">&nbsp;</td>
			<td style="width: 89%; vertical-align: top;"><a href="ex_168682.htm" style="-sec-extract:exhibit;">Amended and Restated Bylaws of Atossa Therapeutics, Inc. (filed herewith)</a></td>
		</tr>

</table>

<p style="margin: 0pt 7.5pt; text-align: center; font-family: &quot;Times New Roman&quot;, Times, serif; font-size: 10pt;">* * *</p>

<p style="margin: 0pt 7.5pt; text-align: left; font-family: &quot;Times New Roman&quot;, Times, serif; font-size: 10pt;">&nbsp;</p>

<p style="margin: 0pt 7.5pt; text-align: center; font-family: &quot;Times New Roman&quot;, Times, serif; font-size: 10pt;">&nbsp;</p>

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<div id="PGNUM" style="width: 100%; text-align: center;">&nbsp;</div>

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<div id="PGHDR" style="width: 100%; text-align: left;">&nbsp;</div>
</div>

<p style="margin: 0pt; text-align: left; font-family: &quot;Times New Roman&quot;, Times, serif; font-size: 10pt;">&nbsp;</p>

<p style="margin: 0pt 7.5pt; text-align: left; font-family: &quot;Times New Roman&quot;, Times, serif; font-size: 10pt;">&nbsp;</p>

<p style="margin: 0pt 7.5pt; text-align: left; font-family: &quot;Times New Roman&quot;, Times, serif; font-size: 10pt;">&nbsp;</p>

<p style="margin: 0pt 7.5pt; text-align: left; font-family: &quot;Times New Roman&quot;, Times, serif; font-size: 10pt;">&nbsp;</p>

<p style="margin: 0pt 7.5pt; text-align: left; font-family: &quot;Times New Roman&quot;, Times, serif; font-size: 10pt;">&nbsp;</p>

<p style="margin: 0pt 7.5pt; text-align: center; font-family: &quot;Times New Roman&quot;, Times, serif; font-size: 10pt;"><b>SIGNATURES</b>&nbsp;</p>

<p style="margin: 0pt 7.5pt; text-align: left; font-family: &quot;Times New Roman&quot;, Times, serif; font-size: 10pt;">&nbsp;</p>

<p style="margin: 0pt 7.5pt; text-align: center; font-family: &quot;Times New Roman&quot;, Times, serif; font-size: 10pt;">&nbsp;</p>

<p style="margin: 0pt 7.5pt 0pt -38pt; text-align: left; text-indent: 36pt; font-family: &quot;Times New Roman&quot;, Times, serif; font-size: 10pt;">Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.</p>

<p style="margin: 0pt 7.5pt; text-align: left; font-family: &quot;Times New Roman&quot;, Times, serif; font-size: 10pt;">&nbsp;</p>

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			</td>
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			<p style="margin: 0pt; text-align: left; font-family: &quot;Times New Roman&quot;, Times, serif; font-size: 10pt;">&nbsp;</p>
			</td>
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			<p style="margin: 0pt; text-align: left; font-family: &quot;Times New Roman&quot;, Times, serif; font-size: 10pt;">&nbsp;</p>
			</td>
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			<p style="margin: 0pt; text-align: left; font-family: &quot;Times New Roman&quot;, Times, serif; font-size: 10pt;">&nbsp;</p>
			</td>
			<td style="width: 14.2%; vertical-align: middle;">
			<p style="margin: 0pt; text-align: left; font-family: &quot;Times New Roman&quot;, Times, serif; font-size: 10pt;">&nbsp;</p>
			</td>
		</tr>
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			<td style="width: 47.2%; vertical-align: top;">
			<p style="margin: 0pt; text-align: left; font-family: &quot;Times New Roman&quot;, Times, serif; font-size: 10pt;">Date: January&nbsp;6, 2020</p>
			</td>
			<td colspan="3" style="width: 38.6%; vertical-align: middle;">
			<p style="margin: 0pt; text-align: left; font-family: &quot;Times New Roman&quot;, Times, serif; font-size: 10pt;">Atossa Therapeutics, Inc.<br>
			&nbsp;</p>
			</td>
			<td style="width: 14.2%; vertical-align: middle;">
			<p style="margin: 0pt; text-align: left; font-family: &quot;Times New Roman&quot;, Times, serif; font-size: 10pt;">&nbsp;</p>
			</td>
		</tr>
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			<td style="width: 47.2%; vertical-align: middle;">
			<p style="margin: 0pt; text-align: left; font-family: &quot;Times New Roman&quot;, Times, serif; font-size: 10pt;">&nbsp;</p>
			</td>
			<td style="width: 4.2%; vertical-align: top;">
			<p style="margin: 0pt; text-align: left; font-family: &quot;Times New Roman&quot;, Times, serif; font-size: 10pt;">By:&nbsp;&nbsp;</p>
			</td>
			<td colspan="2" style="width: 34.4%; vertical-align: middle; border-bottom-color: rgb(0, 0, 0); border-bottom-width: 1px; border-bottom-style: solid;">
			<p style="margin: 0pt; text-align: left; font-family: &quot;Times New Roman&quot;, Times, serif; font-size: 10pt;">/s/ Kyle Guse&nbsp;</p>
			</td>
			<td style="width: 14.2%; vertical-align: middle;">
			<p style="margin: 0pt; text-align: left; font-family: &quot;Times New Roman&quot;, Times, serif; font-size: 10pt;">&nbsp;</p>
			</td>
		</tr>
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			<td style="width: 47.2%; vertical-align: middle;">
			<p style="margin: 0pt; text-align: left; font-family: &quot;Times New Roman&quot;, Times, serif; font-size: 10pt;">&nbsp;</p>
			</td>
			<td style="width: 4.2%; vertical-align: middle;">
			<p style="margin: 0pt; text-align: left; font-family: &quot;Times New Roman&quot;, Times, serif; font-size: 10pt;">&nbsp;</p>
			</td>
			<td colspan="2" style="width: 34.4%; vertical-align: middle;">
			<p style="margin: 0pt; text-align: left; font-family: &quot;Times New Roman&quot;, Times, serif; font-size: 10pt;">Kyle Guse</p>
			</td>
			<td style="width: 14.2%; vertical-align: middle;">
			<p style="margin: 0pt; text-align: left; font-family: &quot;Times New Roman&quot;, Times, serif; font-size: 10pt;">&nbsp;</p>
			</td>
		</tr>
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			<p style="margin: 0pt; text-align: left; font-family: &quot;Times New Roman&quot;, Times, serif; font-size: 10pt;">&nbsp;</p>
			</td>
			<td style="width: 4.2%; vertical-align: middle;">
			<p style="margin: 0pt; text-align: left; font-family: &quot;Times New Roman&quot;, Times, serif; font-size: 10pt;">&nbsp;</p>
			</td>
			<td colspan="2" style="width: 34.4%; vertical-align: middle;">
			<p style="margin: 0pt; text-align: left; font-family: &quot;Times New Roman&quot;, Times, serif; font-size: 10pt;">Chief Financial Officer, General Counsel and Secretary&nbsp;</p>
			</td>
			<td style="width: 14.2%; vertical-align: middle;">
			<p style="margin: 0pt; text-align: left; font-family: &quot;Times New Roman&quot;, Times, serif; font-size: 10pt;">&nbsp;</p>
			</td>
		</tr>

</table>

<p style="margin: 0pt 7.5pt; text-align: left; font-family: &quot;Times New Roman&quot;, Times, serif; font-size: 10pt;">&nbsp;</p>

<p style="margin: 0pt 7.5pt; text-align: center; font-family: &quot;Times New Roman&quot;, Times, serif; font-size: 10pt;">&nbsp;</p>

<p style="margin: 0pt 7.5pt; text-align: left; font-family: &quot;Times New Roman&quot;, Times, serif; font-size: 10pt;"><b>&nbsp;</b></p>

<p style="margin: 0pt 7.5pt; text-align: left; font-family: &quot;Times New Roman&quot;, Times, serif; font-size: 10pt;">&nbsp;</p>


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atos20190327_8k.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
Date of Report (Date of Ea
rliest Event Reported): January 6, 2020
Atossa Therapeutics, Inc.
(Exact name of registrant as specified in its charter)
Delaware
001-35610
26-4753208
(State or other jurisdiction of
incorporation)
(Commission File Number)
(I.R.S. Employer
Identification No.)
107 Spring Street
Seattle, Washington
98104
(Address of principal executive offices)
(Zip Code)
Registrant's telephone number, including area code: (206) 325-6086
Atossa Genetics Inc.
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))
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. ☐
Securities registered pursuance to Section 12(b) of the Act:
Title of each class
Trading symbol(s)
Name of each exchange on which registered
Common Stock, $0.18 par value
ATOS
Nasdaq Capital Market
Item 5.03              Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year.
Effective January 6, 2020, the Company's corporate name was changed from "Atossa Genetics Inc." to "Atossa Therapeutics, Inc." (the "Name Change") to more clearly reflect its increased focus on developing therapies to treat breast cancer, breast density and other breast conditions. The Name Change was effectuated by filing a Certificate of Amendment to the Amended and Restated Certificate of Incorporation with the Delaware Secretary of State (the "Certificate of Amendment").  The Company also amended and restated its Bylaws (the "Amended and Restated Bylaws") to reflect the Name Change.
The Name Change does not affect the rights of the Company's stockholders and there were no changes to the Certificate of Incorporation or the Amended and Restated Bylaws other than to reflect the Name Change. The Company's common stock, par value $0.18 per share (the "Common Stock"), will continue to trade on the Nasdaq Capital Market under the Symbol "ATOS" and there has been no change to the CUSIP number for the Common Stock.
The foregoing summary of the Certificate of Amendment and the Amended and Restated Bylaws does not purport to be complete and is subject to, and qualified in its entirety by, the full text of the Certificate of Amendment and the Amended and Restated Bylaws which are filed as Exhibit 3.1 and 3.2, respectively, to this Current Report on Form 8-K and incorporated herein by reference.
Item 9.01.             Financial Statements and Exhibits.
(d) Exhibits
Exhibit No.
Description
3.1
Certificate of Amendment to the Certificate of Incorporation of Atossa Therapeutics, Inc. (filed herewith)
3.2
Amended and Restated Bylaws of Atossa Therapeutics, Inc. (filed herewith)
* * *
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: January 6, 2020
Atossa Therapeutics, Inc.
By:
/s/ Kyle Guse
Kyle Guse
Chief Financial Officer, General Counsel and Secretary