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<title>mgen-20201008</title></head><body><div style="display:none"><ix:header><ix:hidden><ix:nonNumeric contextRef="idf15a19c46d64e3185937bfd9dab08f9_D20201008-20201008" name="dei:AmendmentFlag" id="id3VybDovL2RvY3MudjEvZG9jOmZmMjI1YTQzZDgxYzRhZGZhYzI5NDBkMGNlMDg1MjBmL3NlYzpmZjIyNWE0M2Q4MWM0YWRmYWMyOTQwZDBjZTA4NTIwZl80L2ZyYWc6NzVkM2EyYWEyYWQ0NDYyYmE3MGQwM2Q2YjY0Mzc0MWIvdGFibGU6MzA4ZDNkOTMzZmRmNDViMGExNjdlZTQwODVjYWFiYzEvdGFibGVyYW5nZTozMDhkM2Q5MzNmZGY0NWIwYTE2N2VlNDA4NWNhYWJjMV8wLTEtMS0xLTA_05e41cf0-f3af-4369-9920-766b452fbf5f">false</ix:nonNumeric><ix:nonNumeric contextRef="idf15a19c46d64e3185937bfd9dab08f9_D20201008-20201008" name="dei:EntityCentralIndexKey" 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style="min-height:42.75pt;width:100%;"><div><span><br/></span></div></div><div style="text-align:center;-sec-extract:summary;"><span style="background-color:rgb(255,255,255, 0.0);color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:700;line-height:120%;">UNITED STATES </span></div><div style="text-align:center;"><span style="background-color:rgb(255,255,255, 0.0);color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:700;line-height:120%;">SECURITIES AND EXCHANGE COMMISSION</span></div><div style="text-align:center;"><span style="background-color:rgb(255,255,255, 0.0);color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:700;line-height:120%;">Washington, D.C. 20549</span></div><div style="text-align:center;margin-top:10pt;margin-bottom:6pt;"><span style="background-color:rgb(255,255,255, 0.0);color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:700;line-height:120%;">FORM <ix:nonNumeric contextRef="idf15a19c46d64e3185937bfd9dab08f9_D20201008-20201008" name="dei:DocumentType" id="id3VybDovL2RvY3MudjEvZG9jOmZmMjI1YTQzZDgxYzRhZGZhYzI5NDBkMGNlMDg1MjBmL3NlYzpmZjIyNWE0M2Q4MWM0YWRmYWMyOTQwZDBjZTA4NTIwZl8xL2ZyYWc6MGVhZTViZDk1Y2JlNDE4ZGJhNGJiZDkyMWU1YTdiNzgvdGV4dHJlZ2lvbjowZWFlNWJkOTVjYmU0MThkYmE0YmJkOTIxZTVhN2I3OF8yMjU4_2aeedd98-077d-457b-9e7f-3f694bcd6b49">8-K</ix:nonNumeric></span></div><div style="text-align:center;"><span style="background-color:rgb(255,255,255, 0.0);color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:700;line-height:120%;">CURRENT REPORT </span></div><div style="text-align:center;"><span style="background-color:rgb(255,255,255, 0.0);color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:700;line-height:120%;">Pursuant to Section 13 or 15(d)</span></div><div style="text-align:center;"><span style="background-color:rgb(255,255,255, 0.0);color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:700;line-height:120%;">of the Securities Exchange Act of 1934</span></div><div style="text-align:center;margin-top:10pt;"><span style="background-color:rgb(255,255,255, 0.0);color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:700;line-height:120%;">Date of Report (Date of earliest event reported): October&#160;14,&#160;2020 (<ix:nonNumeric contextRef="idf15a19c46d64e3185937bfd9dab08f9_D20201008-20201008" format="ixt:datemonthdayyearen" name="dei:DocumentPeriodEndDate" id="id3VybDovL2RvY3MudjEvZG9jOmZmMjI1YTQzZDgxYzRhZGZhYzI5NDBkMGNlMDg1MjBmL3NlYzpmZjIyNWE0M2Q4MWM0YWRmYWMyOTQwZDBjZTA4NTIwZl8xL2ZyYWc6MGVhZTViZDk1Y2JlNDE4ZGJhNGJiZDkyMWU1YTdiNzgvdGV4dHJlZ2lvbjowZWFlNWJkOTVjYmU0MThkYmE0YmJkOTIxZTVhN2I3OF8yMjY_8972f608-234d-41f7-8470-12028e7fafea">October 8, 2020</ix:nonNumeric>)</span></div><div style="text-align:center;"><span><br/></span></div><div style="text-align:center;"><img src="mgen-20201008_g1.jpg" 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id="id3VybDovL2RvY3MudjEvZG9jOmZmMjI1YTQzZDgxYzRhZGZhYzI5NDBkMGNlMDg1MjBmL3NlYzpmZjIyNWE0M2Q4MWM0YWRmYWMyOTQwZDBjZTA4NTIwZl8xL2ZyYWc6MGVhZTViZDk1Y2JlNDE4ZGJhNGJiZDkyMWU1YTdiNzgvdGV4dHJlZ2lvbjowZWFlNWJkOTVjYmU0MThkYmE0YmJkOTIxZTVhN2I3OF8yMjYx_d1a41f81-6dac-4e1f-a344-3232933cc1d5">720</ix:nonNumeric>) <ix:nonNumeric contextRef="idf15a19c46d64e3185937bfd9dab08f9_D20201008-20201008" name="dei:LocalPhoneNumber" id="id3VybDovL2RvY3MudjEvZG9jOmZmMjI1YTQzZDgxYzRhZGZhYzI5NDBkMGNlMDg1MjBmL3NlYzpmZjIyNWE0M2Q4MWM0YWRmYWMyOTQwZDBjZTA4NTIwZl8xL2ZyYWc6MGVhZTViZDk1Y2JlNDE4ZGJhNGJiZDkyMWU1YTdiNzgvdGV4dHJlZ2lvbjowZWFlNWJkOTVjYmU0MThkYmE0YmJkOTIxZTVhN2I3OF8yMjYy_8272ec31-dc10-47de-8410-e7200b42f642">643-5200</ix:nonNumeric>&#160;</span></div><div style="text-align:center;"><span style="background-color:rgb(255,255,255, 0.0);color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:700;line-height:120%;">Not Applicable</span></div><div style="text-align:center;"><span style="background-color:rgb(255,255,255, 0.0);color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:700;line-height:120%;">(Former name or former address, if changed since last report) </span></div><div style="text-align:justify;margin-top:10pt;"><span style="background-color:rgb(255,255,255, 0.0);color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:120%;">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: </span></div><div style="text-align:justify;"><span style="background-color:rgb(255,255,255, 0.0);color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:120%;">&#160;</span></div><div style="text-align:justify;margin-bottom:6pt;"><table style="border-collapse:collapse;display:inline-table;vertical-align:top;width:99.707%;"><tr><td style="width:1.0%;"></td><td style="width:2.125%;"></td><td style="width:0.1%;"></td><td style="width:1.0%;"></td><td style="width:95.675%;"></td><td style="width:0.1%;"></td></tr><tr style="height:15pt;"><td colspan="3" style="padding-top:2px;padding-bottom:2px;background-color:rgb(255,255,255, 0.0);text-align:left;vertical-align:top;padding-left:1pt;padding-right:1pt;"><span style="font-size:10pt;font-weight:400;font-family:'Times New Roman',sans-serif;color:#000000;background-color:rgb(255,255,255, 0.0);"><ix:nonNumeric contextRef="idf15a19c46d64e3185937bfd9dab08f9_D20201008-20201008" format="ixt-sec:boolballotbox" name="dei:WrittenCommunications" id="id3VybDovL2RvY3MudjEvZG9jOmZmMjI1YTQzZDgxYzRhZGZhYzI5NDBkMGNlMDg1MjBmL3NlYzpmZjIyNWE0M2Q4MWM0YWRmYWMyOTQwZDBjZTA4NTIwZl8xL2ZyYWc6MGVhZTViZDk1Y2JlNDE4ZGJhNGJiZDkyMWU1YTdiNzgvdGFibGU6YTE4ZmNiNjM1YmI4NDY0NWI2MTJlYjY4YTZiNjNmNzIvdGFibGVyYW5nZTphMThmY2I2MzViYjg0NjQ1YjYxMmViNjhhNmI2M2Y3Ml8wLTAtMS0xLTA_85b5e57a-6c69-4b0f-9c1e-7f7cddd67813">&#9744;</ix:nonNumeric></span></td><td colspan="3" style="padding-top:2px;padding-bottom:2px;background-color:rgb(255,255,255, 0.0);text-align:left;vertical-align:top;padding-left:1pt;padding-right:1pt;"><span style="font-size:10pt;font-weight:400;font-family:'Times New Roman',sans-serif;color:#000000;background-color:rgb(255,255,255, 0.0);">Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)</span></td></tr><tr style="height:15pt;"><td colspan="3" style="padding-top:2px;padding-bottom:2px;background-color:rgb(255,255,255, 0.0);text-align:left;vertical-align:top;padding-left:1pt;padding-right:1pt;"><span style="font-size:10pt;font-weight:400;font-family:'Times New Roman',sans-serif;color:#000000;background-color:rgb(255,255,255, 0.0);"><ix:nonNumeric contextRef="idf15a19c46d64e3185937bfd9dab08f9_D20201008-20201008" format="ixt-sec:boolballotbox" name="dei:SolicitingMaterial" id="id3VybDovL2RvY3MudjEvZG9jOmZmMjI1YTQzZDgxYzRhZGZhYzI5NDBkMGNlMDg1MjBmL3NlYzpmZjIyNWE0M2Q4MWM0YWRmYWMyOTQwZDBjZTA4NTIwZl8xL2ZyYWc6MGVhZTViZDk1Y2JlNDE4ZGJhNGJiZDkyMWU1YTdiNzgvdGFibGU6YTE4ZmNiNjM1YmI4NDY0NWI2MTJlYjY4YTZiNjNmNzIvdGFibGVyYW5nZTphMThmY2I2MzViYjg0NjQ1YjYxMmViNjhhNmI2M2Y3Ml8xLTAtMS0xLTA_27a504a8-2c66-4770-be08-2fc6c88c178a">&#9744;</ix:nonNumeric></span></td><td colspan="3" style="padding-top:2px;padding-bottom:2px;background-color:rgb(255,255,255, 0.0);text-align:left;vertical-align:top;padding-left:1pt;padding-right:1pt;"><span style="font-size:10pt;font-weight:400;font-family:'Times New Roman',sans-serif;color:#000000;background-color:rgb(255,255,255, 0.0);">Soliciting material pursuant to Rule 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style="padding-top:2px;padding-bottom:2px;background-color:rgb(255,255,255, 0.0);text-align:left;vertical-align:top;padding-left:1pt;padding-right:1pt;"><span style="font-size:10pt;font-weight:400;font-family:'Times New Roman',sans-serif;color:#000000;background-color:rgb(255,255,255, 0.0);">Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))</span></td></tr><tr style="height:15pt;"><td colspan="3" style="padding-top:2px;padding-bottom:2px;background-color:rgb(255,255,255, 0.0);text-align:left;vertical-align:top;padding-left:1pt;padding-right:1pt;"><span style="font-size:10pt;font-weight:400;font-family:'Times New Roman',sans-serif;color:#000000;background-color:rgb(255,255,255, 0.0);"><ix:nonNumeric contextRef="idf15a19c46d64e3185937bfd9dab08f9_D20201008-20201008" format="ixt-sec:boolballotbox" name="dei:PreCommencementIssuerTenderOffer" id="id3VybDovL2RvY3MudjEvZG9jOmZmMjI1YTQzZDgxYzRhZGZhYzI5NDBkMGNlMDg1MjBmL3NlYzpmZjIyNWE0M2Q4MWM0YWRmYWMyOTQwZDBjZTA4NTIwZl8xL2ZyYWc6MGVhZTViZDk1Y2JlNDE4ZGJhNGJiZDkyMWU1YTdiNzgvdGFibGU6YTE4ZmNiNjM1YmI4NDY0NWI2MTJlYjY4YTZiNjNmNzIvdGFibGVyYW5nZTphMThmY2I2MzViYjg0NjQ1YjYxMmViNjhhNmI2M2Y3Ml8zLTAtMS0xLTA_f77c2d22-2d56-4003-ba7c-195ffaeee1be">&#9744;</ix:nonNumeric></span></td><td colspan="3" style="padding-top:2px;padding-bottom:2px;background-color:rgb(255,255,255, 0.0);text-align:left;vertical-align:top;padding-left:1pt;padding-right:1pt;"><span style="font-size:10pt;font-weight:400;font-family:'Times New Roman',sans-serif;color:#000000;background-color:rgb(255,255,255, 0.0);">Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))</span></td></tr></table></div><div style="text-align:justify;margin-top:6pt;"><span><br/></span></div><div style="text-align:justify;margin-top:3pt;"><span style="background-color:rgb(255,255,255, 0.0);color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:120%;">Securities registered pursuant to Section&#160;12(b) of the Act:</span></div><div style="text-align:justify;"><table style="border-collapse:collapse;display:inline-table;vertical-align:top;width:100.000%;"><tr><td style="width:1.0%;"></td><td style="width:18.783%;"></td><td style="width:0.1%;"></td><td style="width:1.0%;"></td><td style="width:18.783%;"></td><td style="width:0.1%;"></td><td style="width:0.1%;"></td><td style="width:1.554%;"></td><td style="width:0.1%;"></td><td style="width:1.0%;"></td><td style="width:18.783%;"></td><td style="width:0.1%;"></td><td style="width:0.1%;"></td><td style="width:1.408%;"></td><td style="width:0.1%;"></td><td style="width:1.0%;"></td><td style="width:35.889%;"></td><td style="width:0.1%;"></td></tr><tr style="height:15pt;"><td colspan="6" style="padding-top:2px;padding-bottom:2px;background-color:rgb(255,255,255, 0.0);text-align:center;vertical-align:bottom;border-top:1pt solid #000;border-bottom:1pt solid #000;border-left:1pt solid #000;padding-left:1pt;padding-right:1pt;"><span style="font-size:10pt;font-weight:400;font-family:'Times New Roman',sans-serif;color:#000000;background-color:rgb(255,255,255, 0.0);">Title of each class</span></td><td colspan="3" style="background-color:rgb(255,255,255, 0.0);text-align:left;vertical-align:bottom;border-top:1pt solid #000;border-left:1pt solid #000;padding-left:1pt;padding-right:1pt;"></td><td colspan="3" style="padding-top:2px;padding-bottom:2px;background-color:rgb(255,255,255, 0.0);text-align:center;vertical-align:bottom;border-top:1pt solid #000;padding-left:1pt;padding-right:1pt;"><span style="font-size:10pt;font-weight:400;font-family:'Times New Roman',sans-serif;color:#000000;background-color:rgb(255,255,255, 0.0);">Trading Symbol(s)</span></td><td colspan="3" style="background-color:rgb(255,255,255, 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contextRef="idf15a19c46d64e3185937bfd9dab08f9_D20201008-20201008" name="dei:Security12bTitle" id="id3VybDovL2RvY3MudjEvZG9jOmZmMjI1YTQzZDgxYzRhZGZhYzI5NDBkMGNlMDg1MjBmL3NlYzpmZjIyNWE0M2Q4MWM0YWRmYWMyOTQwZDBjZTA4NTIwZl8xL2ZyYWc6MGVhZTViZDk1Y2JlNDE4ZGJhNGJiZDkyMWU1YTdiNzgvdGFibGU6YjAwOWMyNDE5ZDk1NGRjZDk4ODUwMDlkYzMwNzYyMDgvdGFibGVyYW5nZTpiMDA5YzI0MTlkOTU0ZGNkOTg4NTAwOWRjMzA3NjIwOF8xLTAtMS0xLTA_dd3d83fa-8661-43f5-844c-d80f2fe35ddb">Common Stock, $0.01 par value</ix:nonNumeric></span></td><td colspan="3" style="background-color:rgb(255,255,255, 0.0);text-align:left;vertical-align:bottom;border-top:1pt solid #000;border-bottom:1pt solid #000;border-left:1pt solid #000;padding-left:1pt;padding-right:1pt;"></td><td colspan="3" style="padding-top:2px;padding-bottom:2px;background-color:rgb(255,255,255, 0.0);text-align:center;vertical-align:bottom;border-top:1pt solid #000;border-bottom:1pt solid #000;padding-left:1pt;padding-right:1pt;"><span style="font-size:10pt;font-weight:400;font-family:'Times New Roman',sans-serif;color:#000000;background-color:rgb(255,255,255, 0.0);"><ix:nonNumeric contextRef="idf15a19c46d64e3185937bfd9dab08f9_D20201008-20201008" name="dei:TradingSymbol" id="id3VybDovL2RvY3MudjEvZG9jOmZmMjI1YTQzZDgxYzRhZGZhYzI5NDBkMGNlMDg1MjBmL3NlYzpmZjIyNWE0M2Q4MWM0YWRmYWMyOTQwZDBjZTA4NTIwZl8xL2ZyYWc6MGVhZTViZDk1Y2JlNDE4ZGJhNGJiZDkyMWU1YTdiNzgvdGFibGU6YjAwOWMyNDE5ZDk1NGRjZDk4ODUwMDlkYzMwNzYyMDgvdGFibGVyYW5nZTpiMDA5YzI0MTlkOTU0ZGNkOTg4NTAwOWRjMzA3NjIwOF8xLTMtMS0xLTA_3467bb3f-4af1-49bc-ad5d-e8677ba99fb4">MGEN</ix:nonNumeric></span></td><td colspan="3" style="background-color:rgb(255,255,255, 0.0);text-align:left;vertical-align:bottom;border-top:1pt solid #000;border-bottom:1pt solid #000;padding-left:1pt;padding-right:1pt;"></td><td colspan="3" style="padding-top:2px;padding-bottom:2px;background-color:rgb(255,255,255, 0.0);text-align:center;vertical-align:bottom;border-top:1pt solid #000;border-bottom:1pt solid 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Roman',sans-serif;font-size:10pt;font-weight:400;line-height:120%;">Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (&#167; 230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (&#167; 240.12b-2 of this chapter). </span></div><div style="text-align:right;margin-top:10pt;"><span style="background-color:rgb(255,255,255, 0.0);color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:120%;">Emerging growth company </span><span style="background-color:rgb(255,255,255, 0.0);color:#000000;font-family:'Wingdings',sans-serif;font-size:10pt;font-weight:400;line-height:120%;"><ix:nonNumeric contextRef="idf15a19c46d64e3185937bfd9dab08f9_D20201008-20201008" format="ixt-sec:boolballotbox" name="dei:EntityEmergingGrowthCompany" id="id3VybDovL2RvY3MudjEvZG9jOmZmMjI1YTQzZDgxYzRhZGZhYzI5NDBkMGNlMDg1MjBmL3NlYzpmZjIyNWE0M2Q4MWM0YWRmYWMyOTQwZDBjZTA4NTIwZl8xL2ZyYWc6MGVhZTViZDk1Y2JlNDE4ZGJhNGJiZDkyMWU1YTdiNzgvdGV4dHJlZ2lvbjowZWFlNWJkOTVjYmU0MThkYmE0YmJkOTIxZTVhN2I3OF8yMjYz_1e08bca3-6e4f-4e67-b914-2213b9eecbfe">&#9744;</ix:nonNumeric></span></div><div style="text-align:justify;margin-top:10pt;"><span style="background-color:rgb(255,255,255, 0.0);color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:120%;">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. &#9744; </span></div><div style="position:relative;width:100%;height:42.75pt;"><div style="position:absolute;bottom:0;width:100%;"><div><span><br/></span></div></div></div><hr style="page-break-after:always"/><div style="min-height:42.75pt;width:100%;"><div><span><br/></span></div></div><div style="text-align:justify;margin-bottom:12pt;"><span style="background-color:rgb(255,255,255, 0.0);color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:700;line-height:120%;">Section 3 &#8211; Securities and Trading Markets</span></div><div style="margin-bottom:12pt;"><span style="background-color:rgb(255,255,255, 0.0);color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:700;line-height:120%;">Item 3.01 Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing.</span></div><div style="text-align:justify;margin-bottom:12pt;"><span style="background-color:rgb(255,255,255, 0.0);color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:120%;">On October 8,&#160;2020, Miragen Therapeutics, Inc., a Delaware corporation (the &#8220;Company&#8221;), received a letter from the Listing Qualifications Department of The Nasdaq Stock Market LLC (&#8220;Nasdaq&#8221;) notifying the Company that the listing of its common stock was not in compliance with Nasdaq Listing Rule 5550(a)(2) for continued listing on The Nasdaq Capital Market, as the closing bid price of the Company&#8217;s listed securities was less than $1.00 per share for the previous 30 consecutive business days. Under Nasdaq Listing Rule 5810(c)(3)(A), the Company has a period of 180 calendar days, or until April&#160;6,&#160;2021, to regain compliance with the rule referred to in this paragraph. To regain compliance, during this 180-day compliance period, the Company&#8217;s minimum bid price of listed securities must close at $1.00 per share or more for a minimum of 10 consecutive business days. The notice has no present impact on the listing of the Company&#8217;s securities on The Nasdaq Capital Market.</span></div><div style="text-align:justify;margin-bottom:12pt;"><span style="background-color:rgb(255,255,255, 0.0);color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:120%;">In the event that the Company does not regain compliance with the Nasdaq Listing Rules prior to the expiration of the 180-day compliance period, the Company may be eligible for additional time to regain compliance pursuant to Nasdaq Listing Rule 5810(c)(3)(A)(ii) by meeting the continued listing requirement for market value of publicly held shares and all other applicable standards for initial listing on The Nasdaq Capital Market, with the exception of the minimum bid price requirement. In addition, the Company would need to provide written notice to Nasdaq of its intention to cure the minimum bid price deficiency during the second compliance period by effecting a reverse stock split, if necessary. As part of its review process, the Nasdaq staff will make a determination of whether it believes the Company will be able to cure this deficiency. Should the Nasdaq staff conclude that the Company will not be able to cure the deficiency, or should the Company determine not to make the required representation, Nasdaq will provide notice that the Company&#8217;s shares of common stock will be subject to delisting.</span></div><div style="text-align:justify;margin-bottom:12pt;"><span style="background-color:rgb(255,255,255, 0.0);color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:120%;">If the Company does not regain compliance within the allotted compliance period(s), including any extensions that may be granted by Nasdaq, or if the Company&#8217;s common stock has a closing bid price of $0.10 or less for ten consecutive trading days during any such compliance period(s), Nasdaq will provide notice that the Company&#8217;s shares of common stock will be subject to delisting. At such time, the Company may appeal the delisting determination to a Hearings Panel.</span></div><div style="text-align:justify;margin-bottom:12pt;"><span style="background-color:rgb(255,255,255, 0.0);color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:120%;">The Company intends to actively monitor its minimum bid price of listed securities and, as appropriate, will consider available options to resolve the deficiencies and regain compliance with the Nasdaq Listing Rules, including effecting a reverse stock split.</span></div><div style="text-align:justify;margin-bottom:12pt;"><span style="background-color:rgb(255,255,255, 0.0);color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:120%;">There can be no assurance that the Company will be successful in maintaining the listing of its common stock on The Nasdaq Capital Market. This could impair the liquidity and market price of its common stock. In addition, the delisting of its common stock from a national exchange could have a material adverse effect on the Company&#8217;s access to capital markets, and any limitation on market liquidity or reduction in the price of its common stock as a result of that delisting could adversely affect the Company&#8217;s ability to raise capital on terms acceptable to the Company, or at all.</span></div><div style="text-align:justify;margin-bottom:12pt;"><span style="background-color:rgb(255,255,255, 0.0);color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:120%;">On May 21, 2020, the Company obtained stockholder approval of amendments to the Company&#8217;s certificate of incorporation, as amended, to effect a reverse stock split of the Company&#8217;s Common Stock, at a ratio of between 1-for-3 and 1-for-20, inclusive, such ratio to be determined at the discretion of the Company&#8217;s Board of Directors. The Company&#8217;s Board of Directors has the authority to implement such a reverse stock split at any time on or prior to May 20, 2021.</span></div><div style="text-align:justify;margin-bottom:12pt;"><span style="background-color:rgb(255,255,255, 0.0);color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:700;line-height:120%;">Section 9 - Financial Statements and Exhibits </span></div><div style="text-align:justify;margin-bottom:12pt;"><span style="background-color:rgb(255,255,255, 0.0);color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:700;line-height:120%;">Item 9.01 Financial Statements and Exhibits.</span></div><div style="text-align:justify;"><span style="background-color:rgb(255,255,255, 0.0);color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:700;line-height:120%;">(d) Exhibits</span></div><div style="text-align:justify;"><table 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style="padding-top:2px;padding-bottom:2px;background-color:rgb(255,255,255, 0.0);text-align:left;vertical-align:bottom;padding-left:1pt;padding-right:1pt;"><span style="font-size:10pt;font-weight:400;font-family:'Times New Roman',sans-serif;color:#000000;background-color:rgb(255,255,255, 0.0);">By:</span></td><td colspan="3" style="padding-top:2px;padding-bottom:2px;background-color:rgb(255,255,255, 0.0);text-align:left;vertical-align:bottom;padding-left:1pt;padding-right:1pt;"><span style="font-size:10pt;font-weight:400;font-family:'Times New Roman',sans-serif;color:#000000;background-color:rgb(255,255,255, 0.0);">&#160;</span></td><td colspan="3" style="padding-top:2px;padding-bottom:2px;background-color:rgb(255,255,255, 0.0);text-align:left;vertical-align:bottom;padding-left:1pt;padding-right:1pt;"><span style="font-size:10pt;font-weight:400;font-family:'Times New Roman',sans-serif;color:#000000;background-color:rgb(255,255,255, 0.0);">/s/ Jason A. Leverone</span></td></tr><tr style="height:13pt;"><td colspan="3" style="background-color:rgb(255,255,255, 0.0);text-align:left;vertical-align:bottom;padding-left:1pt;padding-right:1pt;"></td><td colspan="3" style="padding-top:2px;padding-bottom:2px;background-color:rgb(255,255,255, 0.0);text-align:left;vertical-align:bottom;padding-left:1pt;padding-right:1pt;"><span style="font-size:10pt;font-weight:400;font-family:'Times New Roman',sans-serif;color:#000000;background-color:rgb(255,255,255, 0.0);">&#160;</span></td><td colspan="3" style="background-color:rgb(255,255,255, 0.0);text-align:left;vertical-align:bottom;padding-left:1pt;padding-right:1pt;"></td><td colspan="3" style="padding-top:2px;padding-bottom:2px;background-color:rgb(255,255,255, 0.0);text-align:left;vertical-align:bottom;padding-left:1pt;padding-right:1pt;"><span style="font-size:10pt;font-weight:400;font-family:'Times New Roman',sans-serif;color:#000000;background-color:rgb(255,255,255, 0.0);">&#160;</span></td><td colspan="3" style="padding-top:2px;padding-bottom:2px;background-color:rgb(255,255,255, 0.0);text-align:left;vertical-align:bottom;border-top:1pt solid #000000;padding-left:1pt;padding-right:1pt;"><span style="font-size:10pt;font-weight:400;font-family:'Times New Roman',sans-serif;color:#000000;background-color:rgb(255,255,255, 0.0);">Jason A. Leverone</span></td></tr><tr style="height:13pt;"><td colspan="3" style="background-color:rgb(255,255,255, 0.0);text-align:left;vertical-align:bottom;padding-left:1pt;padding-right:1pt;"></td><td colspan="3" style="padding-top:2px;padding-bottom:2px;background-color:rgb(255,255,255, 0.0);text-align:left;vertical-align:bottom;padding-left:1pt;padding-right:1pt;"><span style="font-size:10pt;font-weight:400;font-family:'Times New Roman',sans-serif;color:#000000;background-color:rgb(255,255,255, 0.0);">&#160;</span></td><td colspan="3" style="background-color:rgb(255,255,255, 0.0);text-align:left;vertical-align:bottom;padding-left:1pt;padding-right:1pt;"></td><td colspan="3" style="padding-top:2px;padding-bottom:2px;background-color:rgb(255,255,255, 0.0);text-align:left;vertical-align:bottom;padding-left:1pt;padding-right:1pt;"><span style="font-size:10pt;font-weight:400;font-family:'Times New Roman',sans-serif;color:#000000;background-color:rgb(255,255,255, 0.0);">&#160;</span></td><td colspan="3" style="padding-top:2px;padding-bottom:2px;background-color:rgb(255,255,255, 0.0);text-align:left;vertical-align:bottom;padding-left:1pt;padding-right:1pt;"><span style="font-size:10pt;font-weight:400;font-family:'Times New Roman',sans-serif;color:#000000;background-color:rgb(255,255,255, 0.0);">Chief Financial Officer</span></td></tr></table></div><div><span><br/></span></div><div style="position:relative;width:100%;height:42.75pt;"><div style="position:absolute;bottom:0;width:100%;"><div><span><br/></span></div></div></div></body></html>
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mgen-20201008
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): October 14, 2020 (
October 8, 2020
)
MIRAGEN THERAPEUTICS, INC.
(Exact name of registrant as specified in its charter)
Delaware
001-36483
47-1187261
(State or other jurisdiction
of incorporation)
(Commission
File Number)
(IRS Employer
Identification No.)
6200 Lookout Rd.
Boulder
CO
80301
(Address of principal executive offices)
(Zip Code)
Registrant's telephone number, including area code: (
720
)
643-5200
Not Applicable
(Former name or former address, if changed since last report)
Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing 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))
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, $0.01 par value
MGEN
The Nasdaq Stock Market LLC
Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (§ 230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (§ 240.12b-2 of this chapter).
Emerging growth company
☐
If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. ☐
Section 3 – Securities and Trading Markets
Item 3.01 Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing.
On October 8, 2020, Miragen Therapeutics, Inc., a Delaware corporation (the "Company"), received a letter from the Listing Qualifications Department of The Nasdaq Stock Market LLC ("Nasdaq") notifying the Company that the listing of its common stock was not in compliance with Nasdaq Listing Rule 5550(a)(2) for continued listing on The Nasdaq Capital Market, as the closing bid price of the Company's listed securities was less than $1.00 per share for the previous 30 consecutive business days. Under Nasdaq Listing Rule 5810(c)(3)(A), the Company has a period of 180 calendar days, or until April 6, 2021, to regain compliance with the rule referred to in this paragraph. To regain compliance, during this 180-day compliance period, the Company's minimum bid price of listed securities must close at $1.00 per share or more for a minimum of 10 consecutive business days. The notice has no present impact on the listing of the Company's securities on The Nasdaq Capital Market.
In the event that the Company does not regain compliance with the Nasdaq Listing Rules prior to the expiration of the 180-day compliance period, the Company may be eligible for additional time to regain compliance pursuant to Nasdaq Listing Rule 5810(c)(3)(A)(ii) by meeting the continued listing requirement for market value of publicly held shares and all other applicable standards for initial listing on The Nasdaq Capital Market, with the exception of the minimum bid price requirement. In addition, the Company would need to provide written notice to Nasdaq of its intention to cure the minimum bid price deficiency during the second compliance period by effecting a reverse stock split, if necessary. As part of its review process, the Nasdaq staff will make a determination of whether it believes the Company will be able to cure this deficiency. Should the Nasdaq staff conclude that the Company will not be able to cure the deficiency, or should the Company determine not to make the required representation, Nasdaq will provide notice that the Company's shares of common stock will be subject to delisting.
If the Company does not regain compliance within the allotted compliance period(s), including any extensions that may be granted by Nasdaq, or if the Company's common stock has a closing bid price of $0.10 or less for ten consecutive trading days during any such compliance period(s), Nasdaq will provide notice that the Company's shares of common stock will be subject to delisting. At such time, the Company may appeal the delisting determination to a Hearings Panel.
The Company intends to actively monitor its minimum bid price of listed securities and, as appropriate, will consider available options to resolve the deficiencies and regain compliance with the Nasdaq Listing Rules, including effecting a reverse stock split.
There can be no assurance that the Company will be successful in maintaining the listing of its common stock on The Nasdaq Capital Market. This could impair the liquidity and market price of its common stock. In addition, the delisting of its common stock from a national exchange could have a material adverse effect on the Company's access to capital markets, and any limitation on market liquidity or reduction in the price of its common stock as a result of that delisting could adversely affect the Company's ability to raise capital on terms acceptable to the Company, or at all.
On May 21, 2020, the Company obtained stockholder approval of amendments to the Company's certificate of incorporation, as amended, to effect a reverse stock split of the Company's Common Stock, at a ratio of between 1-for-3 and 1-for-20, inclusive, such ratio to be determined at the discretion of the Company's Board of Directors. The Company's Board of Directors has the authority to implement such a reverse stock split at any time on or prior to May 20, 2021.
Section 9 - Financial Statements and Exhibits
Item 9.01 Financial Statements and Exhibits.
(d) Exhibits
Exhibit Number
Exhibit Description
104
Cover Page Interactive Data File (embedded within the Inline XBRL document).
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.
Miragen Therapeutics, Inc.
Date: October 14, 2020
By:
/s/ Jason A. Leverone
Jason A. Leverone
Chief Financial Officer