Attached files
| file | filename |
|---|---|
| EX-99.1 - EXHIBIT 99.1 - ReShape Lifesciences Inc. | oblnpressreleaseq32018.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): November 2, 2018
OBALON THERAPEUTICS, INC.
(Exact name of registrant as specified in its charter)
Delaware
(State or other jurisdiction of incorporation)
001- 37897 | 20-1828101 | |
(Commission File Number) | (IRS Employer Identification No.) | |
5421 Avenida Encinas, Suite F Carlsbad, California | 92008 | |
(Address of principal executive offices) | (Zip Code) | |
(760) 795-6558
(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)) |
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 2.02. | Results of Operations and Financial Condition. |
On November 2, 2018 Obalon Therapeutics, Inc. (the “Company”) reported its financial results for the three and nine months ended September 30, 2018. A copy of the press release issued by the Company is furnished as Exhibit 99.1 to this report.
The information furnished with Item 2.02 of this report, including Exhibit 99.1, is being furnished and shall not be deemed “filed” for purposes of Section 18 of the Securities Exchange Act of 1934, as amended (the “Exchange Act”), or otherwise subject to the liabilities of that section, nor shall it be deemed incorporated by reference into any other filing under the Exchange Act or under the Securities Act of 1933, as amended, regardless of any general incorporation language in such filing.
Item 5.02. | Appointment of Certain Officers. |
On November 1, 2018, as part of a planned succession the Board of Directors (the “Board”) of the Company approved the appointment of Kelly Huang, Ph.D., age 49, as the Company’s Chief Executive Officer, effective as of January 2, 2019. In addition to his appointment as the Company’s Chief Executive Officer, Dr. Huang will retain the title of President and will be appointed to serve as a Class III director on the Board, also effective as of January 2, 2019. Coincident with the promotion of Dr. Huang to Chief Executive Officer, Andrew Rasdal will transition to Chairman of the Board and plans to remain actively involved as a resource to Dr. Huang and to focus on several key strategic projects to help build the intragastric balloon market and create sustainable value for Obalon.
Information regarding Dr. Huang’s background, business experience and any related party transactions appears in the Company’s Definitive Proxy Statement on Schedule 14A, filed with the Securities and Exchange Commission on April 30, 2018 under the headings “Executive Officers” and “Certain Relationships and Related Party Transactions,” which information is incorporated herein by reference. There are no family relationships between Dr. Huang and any of the Company’s directors or executive officers.
Item 9.01. | Financial Statements and Exhibits. |
(d) | Exhibits. |
Exhibit Number | Description | |
99.1 | ||
SIGNATURE
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.
OBALON THERAPEUTICS, INC. | |||
Date: November 2, 2018 | By: | /s/ William Plovanic | |
William Plovanic | |||
Chief Financial Officer | |||