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<P id=PARA1 style="TEXT-ALIGN: center; MARGIN: 0pt; LINE-HEIGHT: 1.25"><FONT style="FONT-SIZE: 10pt; FONT-FAMILY: Times New Roman, Times, serif"><B>UNITED STATES</B></FONT></P>
<P id=PARA2 style="TEXT-ALIGN: center; MARGIN: 0pt; LINE-HEIGHT: 1.25; TEXT-INDENT: 0pt"><FONT style="FONT-SIZE: 10pt; FONT-FAMILY: Times New Roman, Times, serif"><B>SECURITIES AND EXCHANGE COMMISSION&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;</B></FONT></P>
<P id=PARA3 style="TEXT-ALIGN: center; MARGIN: 0pt; LINE-HEIGHT: 1.25"><FONT style="FONT-SIZE: 10pt; FONT-FAMILY: Times New Roman, Times, serif"><B>Washington, D.C. 20549</B></FONT></P>
<P id=PARA4 style="TEXT-ALIGN: center; MARGIN: 0pt; LINE-HEIGHT: 1.25"><FONT style="FONT-SIZE: 10pt; FONT-FAMILY: Times New Roman, Times, serif"><B>&nbsp;</B></FONT></P>
<P id=PARA5 style="TEXT-ALIGN: center; MARGIN: 0pt; LINE-HEIGHT: 1.25"><FONT style="FONT-SIZE: 10pt; FONT-FAMILY: Times New Roman, Times, serif"><B>FORM 8-K</B></FONT></P>
<P id=PARA6 style="TEXT-ALIGN: center; MARGIN: 0pt; LINE-HEIGHT: 1.25"><FONT style="FONT-SIZE: 10pt; FONT-FAMILY: Times New Roman, Times, serif"><B>&nbsp;</B></FONT></P>
<P id=PARA7 style="TEXT-ALIGN: center; MARGIN: 0pt; LINE-HEIGHT: 1.25"><FONT style="FONT-SIZE: 10pt; FONT-FAMILY: Times New Roman, Times, serif"><B>CURRENT REPORT </B></FONT></P>
<P id=PARA8 style="TEXT-ALIGN: center; MARGIN: 0pt; LINE-HEIGHT: 1.25"><FONT style="FONT-SIZE: 10pt; FONT-FAMILY: Times New Roman, Times, serif"><B>Pursuant to Section 13 or 15(d) of the </B></FONT></P>
<P id=PARA9 style="TEXT-ALIGN: center; MARGIN: 0pt; LINE-HEIGHT: 1.25"><FONT style="FONT-SIZE: 10pt; FONT-FAMILY: Times New Roman, Times, serif"><B>Securities Exchange Act of 1934</B></FONT></P>
<P id=PARA10 style="TEXT-ALIGN: center; MARGIN: 0pt; LINE-HEIGHT: 1.25"><FONT style="FONT-SIZE: 10pt; FONT-FAMILY: Times New Roman, Times, serif"><B>&nbsp;</B></FONT></P>
<P id=PARA11 style="TEXT-ALIGN: center; MARGIN: 0pt; LINE-HEIGHT: 1.25"><FONT style="FONT-SIZE: 10pt; FONT-FAMILY: Times New Roman, Times, serif">Date of Report (Date of earliest event reported):</FONT></P>
<P id=PARA12 style="TEXT-ALIGN: center; MARGIN: 0pt; LINE-HEIGHT: 1.25; TEXT-INDENT: 0pt"><FONT style="FONT-SIZE: 10pt; FONT-FAMILY: Times New Roman, Times, serif"><B>June 23, 2015&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;</B></FONT></P>
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<P id=PARA15 style="TEXT-ALIGN: center; MARGIN: 0pt; LINE-HEIGHT: 1.25"><FONT style="FONT-SIZE: 10pt; FONT-FAMILY: Times New Roman, Times, serif"><B>Omni Bio Pharmaceutical, Inc.</B></FONT></P>
<P id=PARA16 style="TEXT-ALIGN: center; MARGIN: 0pt; LINE-HEIGHT: 1.25"><FONT style="FONT-SIZE: 10pt; FONT-FAMILY: Times New Roman, Times, serif">(Exact name of registrant as specified in its charter)</FONT></P>
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<P id=PARA18 style="TEXT-ALIGN: center; MARGIN: 0pt; LINE-HEIGHT: 1.25"><FONT style="FONT-SIZE: 10pt; FONT-FAMILY: Times New Roman, Times, serif"><B>Colorado</B></FONT></P></TD>
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<P id=PARA19 style="TEXT-ALIGN: center; MARGIN: 0pt; LINE-HEIGHT: 1.25"><FONT style="FONT-SIZE: 10pt; FONT-FAMILY: Times New Roman, Times, serif"><B>000-52530</B></FONT></P></TD>
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<P id=PARA20 style="TEXT-ALIGN: center; MARGIN: 0pt; LINE-HEIGHT: 1.25"><FONT style="FONT-SIZE: 10pt; FONT-FAMILY: Times New Roman, Times, serif"><B>&nbsp;20-8097969</B></FONT></P></TD></TR>
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<P id=PARA21 style="TEXT-ALIGN: center; MARGIN: 0pt; LINE-HEIGHT: 1.25"><FONT style="FONT-SIZE: 10pt; FONT-FAMILY: Times New Roman, Times, serif">(State or other jurisdiction of </FONT></P>
<P id=PARA22 style="TEXT-ALIGN: center; MARGIN: 0pt; LINE-HEIGHT: 1.25"><FONT style="FONT-SIZE: 10pt; FONT-FAMILY: Times New Roman, Times, serif">incorporation or organization)</FONT></P></TD>
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<P id=PARA23 style="TEXT-ALIGN: center; MARGIN: 0pt; LINE-HEIGHT: 1.25"><FONT style="FONT-SIZE: 10pt; FONT-FAMILY: Times New Roman, Times, serif">(Commission File Number)</FONT></P></TD>
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<P id=PARA24 style="TEXT-ALIGN: center; MARGIN: 0pt; LINE-HEIGHT: 1.25"><FONT style="FONT-SIZE: 10pt; FONT-FAMILY: Times New Roman, Times, serif">(I.R.S. Employer </FONT></P>
<P id=PARA25 style="TEXT-ALIGN: center; MARGIN: 0pt; LINE-HEIGHT: 1.25"><FONT style="FONT-SIZE: 10pt; FONT-FAMILY: Times New Roman, Times, serif">Identification No.)</FONT></P></TD></TR></TABLE>
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<P id=PARA29 style="TEXT-ALIGN: center; MARGIN: 0pt; LINE-HEIGHT: 1.25"><FONT style="FONT-SIZE: 10pt; FONT-FAMILY: Times New Roman, Times, serif"><B>181 W. Boardwalk Drive, Suite 202, Fort Collins&nbsp;CO</B></FONT></P></TD>
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<P id=PARA30 style="TEXT-ALIGN: center; MARGIN: 0pt; LINE-HEIGHT: 1.25"><FONT style="FONT-SIZE: 10pt; FONT-FAMILY: Times New Roman, Times, serif"><B>80525</B></FONT></P></TD></TR>
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<P id=PARA31 style="TEXT-ALIGN: center; MARGIN: 0pt; LINE-HEIGHT: 1.25"><FONT style="FONT-SIZE: 10pt; FONT-FAMILY: Times New Roman, Times, serif">(Address of principal executive offices)</FONT></P></TD>
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<P id=PARA34 style="TEXT-ALIGN: center; MARGIN: 0pt; LINE-HEIGHT: 1.25"><FONT style="FONT-SIZE: 10pt; FONT-FAMILY: Times New Roman, Times, serif"><B>(970) 237-5142</B></FONT></P></TD></TR>
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<P id=PARA35 style="TEXT-ALIGN: center; MARGIN: 0pt; LINE-HEIGHT: 1.25"><FONT style="FONT-SIZE: 10pt; FONT-FAMILY: Times New Roman, Times, serif">(Registrant&#8217;s telephone number, including area code)</FONT></P></TD></TR>
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<P id=PARA36 style="TEXT-ALIGN: left; MARGIN: 0pt; LINE-HEIGHT: 1.25"><FONT style="FONT-SIZE: 10pt; FONT-FAMILY: Times New Roman, Times, serif">&nbsp;&nbsp;</FONT></P></TD></TR>
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<P id=PARA43 style="TEXT-ALIGN: left; MARGIN: 0pt; LINE-HEIGHT: 1.25"><FONT style="FONT-SIZE: 10pt; FONT-FAMILY: Times New Roman, Times, serif">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:</FONT></P>
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<P id=PARA46 style="TEXT-ALIGN: left; MARGIN: 0pt; LINE-HEIGHT: 1.25"><FONT style="FONT-SIZE: 10pt; FONT-FAMILY: Times New Roman, Times, serif">Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)</FONT></P></TD></TR></TABLE>
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<P id=PARA50 style="TEXT-ALIGN: left; MARGIN: 0pt; LINE-HEIGHT: 1.25"><FONT style="FONT-SIZE: 10pt; FONT-FAMILY: Times New Roman, Times, serif">Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)</FONT></P></TD></TR></TABLE>
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<P id=PARA54 style="TEXT-ALIGN: left; MARGIN: 0pt; LINE-HEIGHT: 1.25"><FONT style="FONT-SIZE: 10pt; FONT-FAMILY: Times New Roman, Times, serif">Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))</FONT></P></TD></TR></TABLE>
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<P id=PARA58 style="TEXT-ALIGN: left; MARGIN: 0pt; LINE-HEIGHT: 1.25"><FONT style="FONT-SIZE: 10pt; FONT-FAMILY: Times New Roman, Times, serif">Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))</FONT></P></TD></TR></TABLE>
<P id=PARA60 style="TEXT-ALIGN: left; MARGIN: 0pt; LINE-HEIGHT: 1.25"><FONT style="FONT-SIZE: 10pt; FONT-FAMILY: Times New Roman, Times, serif">&nbsp;</FONT><FONT style="FONT-SIZE: 10pt; FONT-FAMILY: Times New Roman"></FONT></P>
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<P id=PARA63.2 style="MARGIN-BOTTOM: 0px; MARGIN-TOP: 0px"><FONT style="FONT-SIZE: 10pt; FONT-FAMILY: Times New Roman">&nbsp;</FONT><FONT style="FONT-SIZE: 10pt; FONT-FAMILY: Times New Roman, Times, serif"></FONT></P>
<P id=PARA66 style="TEXT-ALIGN: left; MARGIN: 0pt 7.5pt 0pt 0pt; LINE-HEIGHT: 1.25"><FONT style="FONT-SIZE: 10pt; FONT-FAMILY: Times New Roman, Times, serif"><B>Item 1.01&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; &nbsp;&nbsp;Entry into a Material Definitive Agreement</B></FONT></P>
<P id=PARA67 style="TEXT-ALIGN: left; MARGIN: 0pt 7.5pt 0pt 0pt; LINE-HEIGHT: 1.25"><FONT style="FONT-SIZE: 10pt; FONT-FAMILY: Times New Roman, Times, serif"><B>&nbsp;</B></FONT></P>
<P id=PARA68 style="TEXT-ALIGN: left; MARGIN: 0pt 22.5pt 0pt 45pt; LINE-HEIGHT: 1.25"><FONT style="FONT-SIZE: 10pt; FONT-FAMILY: Times New Roman, Times, serif">The description set forth under Item 2.01 below is incorporated herein by reference.</FONT></P>
<P id=PARA69 style="TEXT-ALIGN: left; MARGIN: 0pt 22.5pt 0pt 45pt; LINE-HEIGHT: 1.25"><FONT style="FONT-SIZE: 10pt; FONT-FAMILY: Times New Roman, Times, serif">&nbsp;</FONT></P>
<P id=PARA70 style="TEXT-ALIGN: left; MARGIN: 0pt 7.5pt 0pt 0pt; LINE-HEIGHT: 1.25"><FONT style="FONT-SIZE: 10pt; FONT-FAMILY: Times New Roman, Times, serif"><B>Item 2.01&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; &nbsp;&nbsp;Completion of Acquisition or Disposition of Assets</B></FONT></P>
<P id=PARA71 style="TEXT-ALIGN: left; MARGIN: 0pt 7.5pt 0pt 0pt; LINE-HEIGHT: 1.25"><FONT style="FONT-SIZE: 10pt; FONT-FAMILY: Times New Roman, Times, serif"><B>&nbsp;</B></FONT></P>
<P id=PARA72 style="TEXT-ALIGN: left; MARGIN: 0pt 15pt 0pt 43.5pt; LINE-HEIGHT: 1.25"><FONT style="FONT-SIZE: 10pt; FONT-FAMILY: Times New Roman, Times, serif">On June 23, 2015, Omni Bio Pharmaceutical, Inc. (the &#8220;Company&#8221;) entered into an Assignment and Covenant Not to Sue; Assignment, Bill of Sale and Conveyance; and Patent Assignment (together, the &#8220;Assignment Agreements&#8221;) providing for the assignment of all of the Company&#8217;s remaining transferrable assets to the designee (Advent Bio Holdings, LLC) of its sole secured creditor, Bohemian Investments, LLC (&#8220;Bohemian&#8221;). These assets consist principally of patents co-owned by the Company,</FONT><FONT style="FONT-SIZE: 10pt; FONT-FAMILY: Times New Roman, Times, serif"> </FONT><FONT style="FONT-SIZE: 10pt; FONT-FAMILY: Times New Roman, Times, serif">cell lines in frozen storage and related data reports, and the Company&#8217;s shares of stock in BioMimetix Pharmaceutical, Inc. Bohemian held a security interest in such assets pursuant to the Company&#8217;s Loan and Warrant Purchase Agreement dated April 24, 2014, as amended (the &#8220;Loan Agreement&#8221;). Pursuant to the Assignment Agreements, upon receipt of consent from the Regents of the University of Colorado (&#8220;RUC&#8221;) to the transfer of the Company&#8217;s patent licenses with RUC to Bohemian&#8217;s designee, the approximately $2.5 million in outstanding principal and interest owed by the Company to Bohemian under the Loan Agreement will be cancelled.</FONT></P>
<P id=PARA73 style="TEXT-ALIGN: left; MARGIN: 0pt 15pt 0pt 43.5pt; LINE-HEIGHT: 1.25"><FONT style="FONT-SIZE: 10pt; FONT-FAMILY: Times New Roman, Times, serif">&nbsp;</FONT></P>
<P id=PARA74 style="TEXT-ALIGN: left; MARGIN: 0pt 15pt 0pt 43.5pt; LINE-HEIGHT: 1.25"><FONT style="FONT-SIZE: 10pt; FONT-FAMILY: Times New Roman, Times, serif">The foregoing description of the Assignment Agreements is qualified in its entirety by reference to exhibits 10.1, 10.2 and 10.3 to this Current Report on Form 8-K.</FONT></P>
<P id=PARA75 style="TEXT-ALIGN: left; MARGIN: 0pt 7.5pt 0pt 72pt; LINE-HEIGHT: 1.25; TEXT-INDENT: -72pt"><FONT style="FONT-SIZE: 10pt; FONT-FAMILY: Times New Roman, Times, serif"><B>&nbsp;</B></FONT></P>
<P id=PARA76 style="TEXT-ALIGN: left; MARGIN: 0pt 7.5pt 0pt 72pt; LINE-HEIGHT: 1.25; TEXT-INDENT: -72pt"><FONT style="FONT-SIZE: 10pt; FONT-FAMILY: Times New Roman, Times, serif"><B>&nbsp;</B></FONT></P>
<P id=PARA77 style="TEXT-ALIGN: left; MARGIN: 0pt 7.5pt 0pt 72pt; LINE-HEIGHT: 1.25; TEXT-INDENT: -72pt"><FONT style="FONT-SIZE: 10pt; FONT-FAMILY: Times New Roman, Times, serif"><B>Item 5.02&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; &nbsp;</B><B>Departure of Directors or Certain Officers; Election of Di</B><B>rectors; Appointment of Certain </B><B>Officers; Compensatory Arrangements of Certain Officers</B></FONT></P>
<P id=PARA78 style="TEXT-ALIGN: left; MARGIN: 0pt 7.5pt 0pt 0pt; LINE-HEIGHT: 1.25"><FONT style="FONT-SIZE: 10pt; FONT-FAMILY: Times New Roman, Times, serif"><B>&nbsp;</B></FONT></P>
<P id=PARA79 style="TEXT-ALIGN: left; MARGIN: 0pt 7.5pt 0pt 45pt; LINE-HEIGHT: 1.25; TEXT-INDENT: -18pt"><FONT style="FONT-SIZE: 10pt; FONT-FAMILY: Times New Roman, Times, serif">(a)(d) On June 23, 2015, John Riccardi was appointed to fill a vacant seat on the Company&#8217;s Board of Directors. All other members of the Company&#8217;s Board of Directors &#8211; Michael Kamarck, Albert Kramer, Sandra Wrobel, Michael Wort and Bruce Schneider &#8211; resigned effective June 24, 2015. Mr. Riccardi will serve on behalf of the Company to wind up any remaining administrative matters. Mr. Riccardi expects that an Indemnification Agreement dated as of June 24, 2015 between Mr. Riccardi and BOCO Investments, LLC, (&#8220;BOCO) will be executed wherein BOCO will indemnify Mr. Riccardi for potential liabilities associated with his actions as a director of the Company taken in good faith and reasonably believed to be in the best interests of the Company.</FONT></P>
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<P id=PARA83 style="MARGIN-BOTTOM: 0pt; TEXT-ALIGN: left; MARGIN-TOP: 0pt; LINE-HEIGHT: 1.25; MARGIN-RIGHT: 7.5pt"><FONT style="FONT-SIZE: 10pt; FONT-FAMILY: Times New Roman, Times, serif">(b)</FONT></P></TD>
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<P id=PARA84 style="MARGIN-BOTTOM: 0pt; TEXT-ALIGN: left; MARGIN-TOP: 0pt; LINE-HEIGHT: 1.25; MARGIN-RIGHT: 7.5pt"><FONT style="FONT-SIZE: 10pt; FONT-FAMILY: Times New Roman, Times, serif">On June 16, 2015, Charles Dinarello resigned as the Company&#8217;s Chief Science Officer. On June 24, 2015, Bruce Schneider resigned from the as Chief Executive Officer and John Riccardi resigned as Chief Financial Officer.</FONT></P></TD></TR></TABLE>
<P id=PARA85 style="TEXT-ALIGN: left; MARGIN: 0pt 7.5pt 0pt 45pt; LINE-HEIGHT: 1.25"><FONT style="FONT-SIZE: 10pt; FONT-FAMILY: Times New Roman, Times, serif"><B>&nbsp;</B></FONT></P>
<P id=PARA86 style="TEXT-ALIGN: left; MARGIN: 0pt 7.5pt 0pt 45pt; LINE-HEIGHT: 1.25"><FONT style="FONT-SIZE: 10pt; FONT-FAMILY: Times New Roman, Times, serif"><B>&nbsp;</B></FONT></P>
<P id=PARA87 style="TEXT-ALIGN: left; MARGIN: 0pt 7.5pt 0pt 0pt; LINE-HEIGHT: 1.25"><FONT style="FONT-SIZE: 10pt; FONT-FAMILY: Times New Roman, Times, serif"><B>Item 9.01&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; &nbsp;Exhibits</B></FONT></P>
<P id=PARA88 style="TEXT-ALIGN: left; MARGIN: 0pt 7.5pt 0pt 0pt; LINE-HEIGHT: 1.25"><FONT style="FONT-SIZE: 10pt; FONT-FAMILY: Times New Roman, Times, serif"><B>&nbsp;</B></FONT></P>
<P id=PARA89 style="TEXT-ALIGN: left; MARGIN: 0pt 22.5pt 0pt 51pt; LINE-HEIGHT: 1.25"><FONT style="FONT-SIZE: 10pt; FONT-FAMILY: Times New Roman, Times, serif">10.1 Assignment and Covenant Not to Sue dated June 23, 2015 between the Company and Bohemian Investments, Inc.</FONT></P>
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<P id=PARA115.2 style="MARGIN-BOTTOM: 0px; TEXT-ALIGN: justify; MARGIN-TOP: 0px"><FONT style="FONT-SIZE: 10pt; FONT-FAMILY: Times New Roman">Omni Bio Pharmaceutical, Inc.</FONT></P></TD>
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<P id=PARA115.13 style="MARGIN-BOTTOM: 0px; MARGIN-TOP: 0px"><FONT style="FONT-SIZE: 10pt; FONT-FAMILY: Times New Roman">By: </FONT></P></TD>
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<P id=PARA115.14 style="MARGIN-BOTTOM: 0px; MARGIN-TOP: 0px"><FONT style="FONT-SIZE: 10pt; FONT-FAMILY: Times New Roman">/s/&nbsp;</FONT>&nbsp;John F. Riccardi </P></TD>
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<P id=PARA115.18 style="MARGIN-BOTTOM: 0px; MARGIN-TOP: 0px"><FONT style="FONT-SIZE: 10pt; FONT-FAMILY: Times New Roman">&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; John F. Riccardi </FONT></P></TD>
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ombp20150624_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 event reported):
June 23, 2015
Omni Bio Pharmaceutical, Inc.
(Exact name of registrant as specified in its charter)
Colorado
000-52530
20-8097969
(State or other jurisdiction of
incorporation or organization)
(Commission File Number)
(I.R.S. Employer
Identification No.)
181 W. Boardwalk Drive, Suite 202, Fort Collins CO
80525
(Address of principal executive offices)
(Zip Code)
(970) 237-5142
(Registrant's telephone number, including area code)
(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))
Item 1.01            Entry into a Material Definitive Agreement
The description set forth under Item 2.01 below is incorporated herein by reference.
Item 2.01           Completion of Acquisition or Disposition of Assets
On June 23, 2015, Omni Bio Pharmaceutical, Inc. (the "Company") entered into an Assignment and Covenant Not to Sue; Assignment, Bill of Sale and Conveyance; and Patent Assignment (together, the "Assignment Agreements") providing for the assignment of all of the Company's remaining transferrable assets to the designee (Advent Bio Holdings, LLC) of its sole secured creditor, Bohemian Investments, LLC ("Bohemian"). These assets consist principally of patents co-owned by the Company,
cell lines in frozen storage and related data reports, and the Company's shares of stock in BioMimetix Pharmaceutical, Inc. Bohemian held a security interest in such assets pursuant to the Company's Loan and Warrant Purchase Agreement dated April 24, 2014, as amended (the "Loan Agreement"). Pursuant to the Assignment Agreements, upon receipt of consent from the Regents of the University of Colorado ("RUC") to the transfer of the Company's patent licenses with RUC to Bohemian's designee, the approximately $2.5 million in outstanding principal and interest owed by the Company to Bohemian under the Loan Agreement will be cancelled.
The foregoing description of the Assignment Agreements is qualified in its entirety by reference to exhibits 10.1, 10.2 and 10.3 to this Current Report on Form 8-K.
Item 5.02
Departure of Directors or Certain Officers; Election of Di
rectors; Appointment of Certain
Officers; Compensatory Arrangements of Certain Officers
(a)(d) On June 23, 2015, John Riccardi was appointed to fill a vacant seat on the Company's Board of Directors. All other members of the Company's Board of Directors – Michael Kamarck, Albert Kramer, Sandra Wrobel, Michael Wort and Bruce Schneider – resigned effective June 24, 2015. Mr. Riccardi will serve on behalf of the Company to wind up any remaining administrative matters. Mr. Riccardi expects that an Indemnification Agreement dated as of June 24, 2015 between Mr. Riccardi and BOCO Investments, LLC, ("BOCO) will be executed wherein BOCO will indemnify Mr. Riccardi for potential liabilities associated with his actions as a director of the Company taken in good faith and reasonably believed to be in the best interests of the Company.
(b)
On June 16, 2015, Charles Dinarello resigned as the Company's Chief Science Officer. On June 24, 2015, Bruce Schneider resigned from the as Chief Executive Officer and John Riccardi resigned as Chief Financial Officer.
Item 9.01           Exhibits
10.1 Assignment and Covenant Not to Sue dated June 23, 2015 between the Company and Bohemian Investments, Inc.
10.2 Assignment, Bill of Sale and Conveyance dated June 23, 2015 between the Company and Advent Bio Holdings, LLC
10.3 Patent Assignment dated June 23, 2015 between the Company and Advent Bio Holdings, LLC
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.
Omni Bio Pharmaceutical, Inc.
Date: June 24, 2015
By:
/s/
John F. Riccardi
John F. Riccardi
Chief Financial Officer