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UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
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
Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934
Date of Report (Date of earliest event reported): November 30, 2011
ALSERES PHARMACEUTICALS, INC.
(Exact Name of Registrant as Specified in Charter)
| Delaware | 0-6533 | 87-0277826 | ||
| (State or Other Juris- | (Commission | (IRS Employer | ||
| diction of Incorporation | File Number) | Identification No.) |
| 239 South Street, Hopkinton, Massachusetts | 01748 | |
| (Address of Principal Executive Offices) | (Zip Code) |
Registrant’s telephone number, including area code: (508) 497-2360
(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
Instruction A.2. below):
| o | Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425) |
| o | Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12) |
| o | Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b)) |
| o | Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c)) |
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| Item 1.01. | Entry into Material Definitive Agreements. |
On November 30, 2011 the Company purchased from Robert L. Gipson (the “Holder”) an unsecured
promissory note, pursuant to which the Company’s wholly owned subsidiary, Neurobiologics, Inc.
borrowed an aggregate principal amount of $1,000,000 (the Note”). At the time of the purchase,
interest had accrued on the Note totaling $195,807. The purchase price for the Note and all accrued
interest was $1,000.
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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.
| Alseres Pharmaceuticals, Inc. |
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| Date: December 5, 2011 | By: | /s/ Kenneth L. Rice, Jr. | ||
| Kenneth L. Rice, Jr. | ||||
| Executive Vice President, Finance and Administration and Chief Financial Officer | ||||
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