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<p style="margin: 0pt; text-align: center; color: rgb(0, 0, 0); text-indent: 0pt; font-family: Times New Roman; font-size: 18pt; background-color: rgb(255, 255, 255);"><b>UNITED STATES</b></p>

<p style="margin: 0pt; text-align: center; font-family: Times New Roman, Times, serif; font-size: 18pt;"><b>SECURITIES AND EXCHANGE COMMISSION</b></p>

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

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

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<p style="margin: 0pt; text-align: center; font-family: Times New Roman, Times, serif; font-size: 10pt;"><b>CURRENT REPORT </b></p>

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

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<p style="margin: 0pt; text-align: center; font-family: Times New Roman, Times, serif; font-size: 10pt;"><b>Date of Report (Date of Earliest Eve</b><font style="font-family: Times New Roman, Times, serif; font-size: 10pt;"><b>nt Reported):&nbsp;December 31</b><b>, 2019 (December 18, 2019)</b></font></p>

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

<p style="margin: 0pt; text-align: center; font-family: Times New Roman, Times, serif; font-size: 10pt;"><b>(Exact Name of Registrant as Specified in Its Charter) </b></p>

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			<p style="margin: 0pt; text-align: center; font-family: Times New Roman, Times, serif; font-size: 10pt;"><b>001-36913</b></p>
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			<p style="margin: 0pt; text-align: center; font-family: Times New Roman, Times, serif; font-size: 10pt;"><b>20-5894398</b></p>
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			<p style="margin: 0pt; text-align: center; font-family: Times New Roman, Times, serif; font-size: 10pt;"><b>(IRS Employer Identification No.)</b></p>
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			<p style="margin: 0pt; text-align: center; font-family: Times New Roman, Times, serif; font-size: 10pt;"><strong>1180 Celebration Boulevard, Suite 103, Celebration, FL</strong></p>
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			<td style="width: 33.3%; text-align: center; vertical-align: bottom;"><b>34747</b></td>
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			<p style="margin: 0pt; text-align: center; font-family: Times New Roman, Times, serif; font-size: 10pt;"><b>(Address of Principal Executive Offices)</b></p>
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			<p style="margin: 0pt; text-align: center; font-family: Times New Roman, Times, serif; font-size: 10pt;"><b>(Zip Code)</b></p>
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<p style="margin: 0pt; text-align: center; font-family: Times New Roman, Times, serif; font-size: 10pt;"><b>Registrant<font style="font-family: Times New Roman, Times, serif; font-size: 10pt;">&#8217;s Telephone Number, Including Area Code: </font></b><font style="font-family: Times New Roman, Times, serif; font-size: 10pt;"><b>(321) 939-3416</b></font></p>

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<p style="margin: 0pt; text-align: center; font-family: Times New Roman, Times, serif; font-size: 10pt;"><b>(Former Name or Former Address, if Changed Since Last Report) </b></p>

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<p style="margin: 0pt; text-align: justify; font-family: Times New Roman, 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 (see General Instructions A.2. below):</p>

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			<p style="text-align: left; font-family: Times New Roman, Times, serif; font-size: 10pt; margin-top: 0pt; margin-right: 0pt; margin-bottom: 0pt;">&#9744;</p>
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<p style="margin: 0pt; text-align: left; font-family: &quot;Times New Roman&quot;, Times, serif; font-size: 10pt;">Securities registered pursuant to Section 12(b) of the Act:</p>

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			<p style="margin: 0pt; text-align: center; font-family: &quot;Times New Roman&quot;, Times, serif; font-size: 10pt;">Title of each class</p>
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			<p style="margin: 0pt; text-align: center; font-family: &quot;Times New Roman&quot;, Times, serif; font-size: 10pt;">Trading Symbol(s)</p>
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			<p style="margin: 0pt; text-align: center; font-family: &quot;Times New Roman&quot;, Times, serif; font-size: 10pt;">Name of each exchange on which registered</p>
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			<p style="margin: 0pt; text-align: center; font-family: &quot;Times New Roman&quot;, Times, serif; font-size: 10pt;">Common Stock</p>
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			<p style="margin: 0pt; text-align: center; font-family: &quot;Times New Roman&quot;, Times, serif; font-size: 10pt;">KMPH</p>
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			<p style="margin: 0pt; text-align: center; font-family: &quot;Times New Roman&quot;, Times, serif; font-size: 10pt;">Nasdaq Global Market</p>
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<p style="margin: 0pt; text-align: justify; font-family: Times New Roman; 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 (&#167;<font style="font-family: Times New Roman, Times, serif; font-size: 10pt;"> 230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (&#167; 240.12b-2 of this chapter).</font></p>

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<p style="margin: 0pt; text-align: left; font-family: Times New Roman; font-size: 10pt;">Emerging growth company&nbsp;&nbsp; &#9746;</p>

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<p style="margin: 0pt; text-align: justify; font-family: Times New Roman; 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<font style="font-family: Times New Roman, Times, serif; font-size: 10pt;">) of the Exchange Act.&nbsp;&nbsp; &#9746;</font></p>

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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>

<p style="margin: 0pt; text-align: left; font-family: &quot;Times New Roman&quot;, Times, serif; font-size: 10pt;"><b>Item 3.02&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; </b><font style="font-family: Times New Roman, Times, serif; font-size: 10pt;"><b>Unregistered Sales of Equity Securities</b><b>.</b></font></p>

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<p style="font-family: &quot;Times New Roman&quot;, Times, serif; font-size: 10pt; margin: 0pt; text-align: justify;">The following list sets forth unregistered issuances of common stock of KemPharm, Inc. (the &#8220;Company&#8221;) since its last report filed under Item 3.02 of Form 8-K.</p>

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			<p style="font-family:'Times New Roman', Times, serif;margin-right:7.2pt;margin-top:0pt;text-align:left;margin-bottom:0pt;font-size:10pt;">1.</p>
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			<p style="font-family: &quot;Times New Roman&quot;, Times, serif; margin-right: 7.2pt; margin-top: 0pt; margin-bottom: 0pt; font-size: 10pt; text-align: justify;">On December 18, 2019, the Company issued 1,112,333 shares of its common stock upon conversion of 3,337 shares of the Company&#8217;s Series A convertible preferred stock.</p>
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			<td style="width: 4%;">&nbsp;</td>
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			<p style="font-family:'Times New Roman', Times, serif;margin-right:7.2pt;margin-top:0pt;text-align:left;margin-bottom:0pt;font-size:10pt;">2.</p>
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			<p style="font-family: &quot;Times New Roman&quot;, Times, serif; margin-right: 7.2pt; margin-top: 0pt; margin-bottom: 0pt; font-size: 10pt; text-align: justify;">On December 26, 2019, the Company issued 1,000,000 shares of its common stock upon exchange of convertible promissory notes of the Company in the aggregate amount of $600,000.</p>
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			<td style="width: 4%;">&nbsp;</td>
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			<p style="font-family:'Times New Roman', Times, serif;margin-right:7.2pt;margin-top:0pt;text-align:left;margin-bottom:0pt;font-size:10pt;">3.</p>
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			<p style="font-family: &quot;Times New Roman&quot;, Times, serif; margin-right: 7.2pt; margin-top: 0pt; margin-bottom: 0pt; font-size: 10pt; text-align: justify;">On December 30, 2019, the Company issued 1,000,000 shares of its common stock upon exchange of convertible promissory notes of the Company in the aggregate amount of $600,000.</p>
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<p style="font-family: &quot;Times New Roman&quot;, Times, serif; font-size: 10pt; margin: 0pt; text-align: justify;">The issuances of the securities described above were exempt from registration under Section 3(a)(9) of the Securities Act of 1933, as amended, as securities exchanged by an issuer with its existing security holders exclusively where no commission or other remuneration is paid or given directly or indirectly for soliciting such exchange.</p>

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

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<p style="margin: 0pt; text-align: justify; font-family: Times New Roman, 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 thereunto duly authorized.</p>

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			<td colspan="2" style="width: 49.6%; vertical-align: bottom;">
			<p style="margin: 0pt; text-align: left; font-family: Times New Roman, Times, serif; font-size: 10pt;"><b>Kem</b><font style="font-family: Times New Roman, Times, serif; font-size: 10pt;"><b>Pharm</b></font><font style="font-family: Times New Roman, Times, serif; font-size: 10pt;"><b>, Inc</b></font><font style="font-family: Times New Roman, Times, serif; font-size: 10pt;"><b>.</b></font></p>
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			<p style="margin: 0pt; text-align: left; font-family: Times New Roman, Times, serif; font-size: 10pt;">&nbsp;</p>
			</td>
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			<p style="margin: 0pt; text-align: left; font-family: Times New Roman, Times, serif; font-size: 10pt;">Date:&nbsp;December 31<font style="font-family: Times New Roman, Times, serif; font-size: 10pt;">, 2019</font></p>
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			<p style="margin: 0pt; text-align: left; font-family: Times New Roman, Times, serif; font-size: 10pt;">&nbsp;</p>
			</td>
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			<p style="margin: 0pt; text-align: left; font-family: Times New Roman, Times, serif; font-size: 10pt;">By:</p>
			</td>
			<td style="width: 46.4%; 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: Times New Roman, Times, serif; font-size: 10pt;">/s/ R. LaDuane Clifton</p>
			</td>
		</tr>
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			<p style="margin: 0pt; text-align: left; font-family: Times New Roman, Times, serif; font-size: 10pt;">&nbsp;</p>
			</td>
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			<p style="margin: 0pt; text-align: left; font-family: Times New Roman, Times, serif; font-size: 10pt;">&nbsp;</p>
			</td>
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			<p style="margin: 0pt; text-align: left; font-family: Times New Roman, Times, serif; font-size: 10pt;"><b>&nbsp;</b></p>
			</td>
			<td style="width: 46.4%; vertical-align: bottom; border-bottom-color: rgb(0, 0, 0); border-bottom-width: 1px; border-bottom-style: none;">
			<p style="margin: 0pt; text-align: left; font-family: Times New Roman, Times, serif; font-size: 10pt;">R. LaDuane Clifton, CPA</p>
			</td>
		</tr>
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			<p style="margin: 0pt; text-align: left; font-family: Times New Roman, Times, serif; font-size: 10pt;">&nbsp;</p>
			</td>
			<td style="width: 5%; vertical-align: bottom;">
			<p style="margin: 0pt; text-align: left; font-family: Times New Roman, Times, serif; font-size: 10pt;">&nbsp;</p>
			</td>
			<td style="width: 3.2%; vertical-align: bottom;">
			<p style="margin: 0pt; text-align: left; font-family: Times New Roman, Times, serif; font-size: 10pt;"><b>&nbsp;</b></p>
			</td>
			<td style="width: 46.4%; vertical-align: bottom;">
			<p style="margin: 0pt; text-align: left; font-family: Times New Roman, Times, serif; font-size: 10pt;">Chief Financial<font style="font-family: Times New Roman, Times, serif; font-size: 10pt;"> Officer, Secretary and Treasurer</font></p>
			</td>
		</tr>

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


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[{"type": "8-K", "sequence": "1", "filename": "kmph20191227_8k.htm", "description": "FORM 8-K", "secsgml_size_bytes": 25481}]
{"company-data": {"conformed-name": "KEMPHARM, INC", "cik": "0001434647", "assigned-sic": "2834", "irs-number": "205894398", "state-of-incorporation": "DE", "fiscal-year-end": "1231"}, "filing-values": {"form-type": "8-K", "act": "34", "file-number": "001-36913", "film-number": "191317983"}, "business-address": {"street1": "1180 CELEBRATION BOULEVARD, SUITE 103", "city": "CELEBRATION", "state": "FL", "zip": "34747", "phone": "(321) 939-3416"}, "mail-address": {"street1": "1180 CELEBRATION BOULEVARD, SUITE 103", "city": "CELEBRATION", "state": "FL", "zip": "34747"}, "former-company": {"former-conformed-name": "KEMPHARM INC", "date-changed": "20080507"}}
kmph20161107_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 Earliest Eve
nt Reported): December 31
, 2019 (December 18, 2019)
KemPharm, Inc.
(Exact Name of Registrant as Specified in Its Charter)
Delaware
001-36913
20-5894398
(State or Other Jurisdiction of Incorporation)
(Commission File Number)
(IRS Employer Identification No.)
1180 Celebration Boulevard, Suite 103, Celebration, FL
34747
(Address of Principal Executive Offices)
(Zip Code)
Registrant
's Telephone Number, Including Area Code:
(321) 939-3416
(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 (see General Instructions A.2. below):
☐
Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)
☐
Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)
☐
Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))
☐
Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))
Securities registered pursuant to Section 12(b) of the Act:
Title of each class
Trading Symbol(s)
Name of each exchange on which registered
Common Stock
KMPH
Nasdaq Global Market
Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (§
230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (§ 240.12b-2 of this chapter).
Emerging growth company   ☒
If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a
) of the Exchange Act.   ☒
Item 3.02
Unregistered Sales of Equity Securities
.
The following list sets forth unregistered issuances of common stock of KemPharm, Inc. (the "Company") since its last report filed under Item 3.02 of Form 8-K.
1.
On December 18, 2019, the Company issued 1,112,333 shares of its common stock upon conversion of 3,337 shares of the Company's Series A convertible preferred stock.
2.
On December 26, 2019, the Company issued 1,000,000 shares of its common stock upon exchange of convertible promissory notes of the Company in the aggregate amount of $600,000.
3.
On December 30, 2019, the Company issued 1,000,000 shares of its common stock upon exchange of convertible promissory notes of the Company in the aggregate amount of $600,000.
The issuances of the securities described above were exempt from registration under Section 3(a)(9) of the Securities Act of 1933, as amended, as securities exchanged by an issuer with its existing security holders exclusively where no commission or other remuneration is paid or given directly or indirectly for soliciting such exchange.
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 thereunto duly authorized.
Kem
Pharm
, Inc
.
Date: December 31
, 2019
By:
/s/ R. LaDuane Clifton
R. LaDuane Clifton, CPA
Chief Financial
Officer, Secretary and Treasurer