Statistiche di base
| CIK | 822411 |
SEC Filings
All companies that sell securities in the United States must register with the Securities and Exchange Commission (SEC) and file reports on a regular basis.
These reports include company annual reports (10K, 10Q), news updates (8K), investor presentations (found in 8Ks), insider trades (form 4), ownership reports (13D, and 13G), and reports related to the specific securities sold, such as registration statements and prospectus. This page shows recent SEC filings related to EOM Pharmaceuticals Holdings, Inc.
SEC Filings (Chronological Order)
Questa pagina fornisce un elenco completo e cronologico dei depositi SEC, esclusi i documenti di proprietà che forniamo altrove.
| August 2, 2023 |
EOM PHARMACEUTICAL HOLDINGS, INC. 136 Summit Avenue Montvale, NJ 07645 August 2, 2023 EOM PHARMACEUTICAL HOLDINGS, INC. 136 Summit Avenue Montvale, NJ 07645 August 2, 2023 VIA EDGAR United States Securities and Exchange Commission Division of Corporation Finance 100 F Street, N.E. Washington, D.C. 20549 Re: EOM Pharmaceutical Holdings, Inc. (formerly known as Immunocellular Therapeutics, Ltd.) Request for Withdrawal of Registration Statement on Form S-1 Filed on June 24, 2022 File |
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| December 20, 2022 |
Exhibit 107 Calculation of Filing Fee Tables Form S-1 (Form Type) EOM Pharmaceutical Holdings, Inc. |
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| December 20, 2022 |
Exhibit 10.14 IMMUNOCELLULAR THERAPEUTICS, LTD. 2022 EQUITY INCENTIVE PLAN ADOPTED BY THE BOARD OF DIRECTORS: OCTOBER 27, 2022 APPROVED BY THE STOCKHOLDERS: November 15, 2022 1. GENERAL. (a) Eligible Award Recipients. Employees, Directors and Consultants are eligible to receive Awards under the Plan. (b) Available Awards. The Plan provides for the grant of the following types of Awards: (i) Incent |
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| December 20, 2022 |
As filed with the Securities and Exchange Commission on December 19, 2022 As filed with the Securities and Exchange Commission on December 19, 2022 Registration No. |
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| December 20, 2022 |
Certificate of Amendment to Amended and Restated Certificate of Incorporation*** Exhibit 3.10 |
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| August 10, 2022 |
As filed with the Securities and Exchange Commission on August 10, 2022 As filed with the Securities and Exchange Commission on August 10, 2022 Registration No. |
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| August 10, 2022 |
Master Services Agreement dated July 19, 2021, between the Company and Azidus Brasil** Exhibit 10.4 Valinhos, July 14th., 2021. To: Irach Taraporewala, Ph.D Chief Executive Officer & Director Commercial Proposal: AZD.BR.EOM063-2021 ? R03 Reference: Commercial proposal for the regulatory, scientific and management services of A Proof ? of ? Concept Study Evaluating Safety, Tolerability, and Preliminary Efficacy of EOM-613 in COVID-19 Infected Patients with Severe Symptoms. Dear Irach |
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| August 10, 2022 |
Exhibit 107 Calculation of Filing Fee Tables Form S-1 (Form Type) ImmunoCellular Therapeutics, Ltd. |
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| August 10, 2022 |
Form of Independent Director Agreement** Exhibit 10.12 IMMUNOCELLULAR THERAPEUTICS, LTD. INDEPENDENT DIRECTOR AGREEMENT Dated as of April 29, 2022 This Independent Director Agreement (this ?Agreement?), dated and made effective as of the date first set forth above (the ?Effective Date?), is entered into by and between ImmunoCellular Therapeutics, Ltd., a Delaware Corporation (?Company?), and , an individual resident of the State of (?Dir |
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| June 24, 2022 |
Agreement dated April 18, 2022, between the Company and Charles River Laboratories Montreal LLC**+ Exhibit 10.7 Certain identified information has been excluded from the exhibit because it is both not material and is the type that the registrant treats as private or confidential. Information that was omitted has been noted in this document with a placeholder identified by the mark ?[****]? STATEMENT OF WORK 26 January 2022 EOM Pharmaceuticals, LLC 136 Summit Ave, Suite 100 Montvale, NJ 07645 (h |
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| June 24, 2022 |
Exhibit 107 Calculation of Filing Fee Tables Form S-1 (Form Type) ImmunoCellular Therapeutics, Ltd. |
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| June 24, 2022 |
Convertible Promissory Note, dated November 24, 2021, issued to Moses Goldberger** Exhibit 10.10 |
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| June 24, 2022 |
Agreement dated July 5, 2021, between the Company and Arup Laboratories** Exhibit 10.3 |
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| June 24, 2022 |
As filed with the Securities and Exchange Commission on June 24, 2022 As filed with the Securities and Exchange Commission on June 24, 2022 Registration No. |
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| June 24, 2022 |
Subsidiaries of the Registrant Exhibit 21.1 Subsidiaries of the Registrant EOM Pharmaceuticals, Inc. |
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| June 24, 2022 |
Exhibit 2.2 |
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| June 24, 2022 |
Amendment to the Amended and Restated Bylaws** Exhibit 3.13 AMENDMENT TO THE AMENDED AND RESTATED BYLAWS OF IMMUNOCELLULAR THERAPEUTICS, LTD. Article XI, Section 3 of the Amended and Restated Bylaws is amended to read in its entirety as follows: ?Section 3. Forum Selection. The Court of Chancery of the State of Delaware shall be the sole and exclusive forum for (i) any derivative action or proceeding brought on behalf of the Corporation, (ii) |
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| June 24, 2022 |
Communications Services Agreement dated December 1, 2020, between the Company and GMJ Global LLC** Exhibit 10.2 |
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| June 24, 2022 |
Warrant to purchase Common Stock, dated November 24, 2021, issued to Moses Goldberger** Exhibit 10.11 |
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| June 24, 2022 |
Exhibit 10.1 |
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| June 24, 2022 |
Exhibit 10.5 Certain identified information has been excluded from the exhibit because it is both not material and is the type that the registrant treats as private or confidential. Information that was omitted has been noted in this document with a placeholder identified by the mark ?[****]? Quote 20-1339-02 Squalamine Lactate Route Selection, Development and Demonstration Certain identified info |
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| June 24, 2022 |
Certificate of Amendment to Amended and Restated Certificate of Incorporation** Exhibit 3.9 |
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| June 24, 2022 |
Employment Agreement dated April 2, 2020, between EOM Pharmaceuticals, Inc. and Irach Taraporewala** Exhibit 10.6 |
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| February 10, 2022 |
Exhibit 10.2 |
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| February 10, 2022 |
* Exhibit 2.2 |
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| February 10, 2022 |
Exhibit 10.3 |
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| February 10, 2022 |
Exhibit 3.9 |
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| February 10, 2022 |
Exhibit 10.1 |
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| February 10, 2022 |
As confidentially submitted to the U.S. Securities and Exchange Commission on February 10, 2022 pursuant to Rule 83. This draft registration statement has not been publicly filed with the Securities and Exchange Commission and all information herein remains strictly confidential. Registration No. 333 - UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM S-1 REGISTRATION ST |
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| February 10, 2022 |
Exhibit 10.6 |
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| November 6, 2018 |
IMUC / ImmunoCellular Therapeutics, Ltd. 15-12B 15-12B UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 15 CERTIFICATION AND NOTICE OF TERMINATION OF REGISTRATION UNDER SECTION 12(g) OF THE SECURITIES EXCHANGE ACT OF 1934 OR SUSPENSION OF DUTY TO FILE REPORTS UNDER SECTIONS 13 AND 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934. Commission File Number 001-35560 ImmunoCellular Therapeutics, Ltd. (Exact name of registrant |
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| November 6, 2018 |
IMUC / ImmunoCellular Therapeutics, Ltd. POS AM POS AM As filed with the Securities and Exchange Commission on November 6, 2018 Registration No. |
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| November 6, 2018 |
IMUC / ImmunoCellular Therapeutics, Ltd. S-8 POS S-8 POS 1 d647796ds8pos.htm S-8 POS As filed with the Securities and Exchange Commission on November 6, 2018 Registration No. 333-214608 Registration No. 333-192177 Registration No. 333-183715 Registration No. 333-171652 Registration No. 333-155199 Registration No. 333-151968 Registration No. 333-147278 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Post-Effective Amendmen |
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| November 6, 2018 |
IMUC / ImmunoCellular Therapeutics, Ltd. S-8 POS S-8 POS 1 d647796ds8pos.htm S-8 POS As filed with the Securities and Exchange Commission on November 6, 2018 Registration No. 333-214608 Registration No. 333-192177 Registration No. 333-183715 Registration No. 333-171652 Registration No. 333-155199 Registration No. 333-151968 Registration No. 333-147278 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Post-Effective Amendmen |
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| November 6, 2018 |
IMUC / ImmunoCellular Therapeutics, Ltd. S-8 POS S-8 POS 1 d647796ds8pos.htm S-8 POS As filed with the Securities and Exchange Commission on November 6, 2018 Registration No. 333-214608 Registration No. 333-192177 Registration No. 333-183715 Registration No. 333-171652 Registration No. 333-155199 Registration No. 333-151968 Registration No. 333-147278 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Post-Effective Amendmen |
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| November 6, 2018 |
IMUC / ImmunoCellular Therapeutics, Ltd. S-8 POS S-8 POS As filed with the Securities and Exchange Commission on November 6, 2018 Registration No. |
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| November 6, 2018 |
IMUC / ImmunoCellular Therapeutics, Ltd. S-8 POS S-8 POS 1 d647796ds8pos.htm S-8 POS As filed with the Securities and Exchange Commission on November 6, 2018 Registration No. 333-214608 Registration No. 333-192177 Registration No. 333-183715 Registration No. 333-171652 Registration No. 333-155199 Registration No. 333-151968 Registration No. 333-147278 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Post-Effective Amendmen |
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| November 6, 2018 |
IMUC / ImmunoCellular Therapeutics, Ltd. S-8 POS S-8 POS As filed with the Securities and Exchange Commission on November 6, 2018 Registration No. |
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| November 6, 2018 |
IMUC / ImmunoCellular Therapeutics, Ltd. S-8 POS S-8 POS 1 d647796ds8pos.htm S-8 POS As filed with the Securities and Exchange Commission on November 6, 2018 Registration No. 333-214608 Registration No. 333-192177 Registration No. 333-183715 Registration No. 333-171652 Registration No. 333-155199 Registration No. 333-151968 Registration No. 333-147278 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Post-Effective Amendmen |
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| October 18, 2018 |
NOTIFICATION OF THE REMOVAL FROM LISTING AND REGISTRATION OF THE STATED SECURITIES NYSE American LLC (the 'Exchange' or 'NYSE American') hereby notifies the Securities and Exchange Commission ('SEC') of its intention to remove the entire class of Common Stock (the ‘Common Stock’), and Warrants to purchase Common Stock $0. |
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| October 18, 2018 |
NOTIFICATION OF THE REMOVAL FROM LISTING AND REGISTRATION OF THE STATED SECURITIES NYSE American LLC (the 'Exchange' or 'NYSE American') hereby notifies the Securities and Exchange Commission ('SEC') of its intention to remove the entire class of Common Stock (the ‘Common Stock’), and Warrants to purchase Common Stock $0. |
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| October 17, 2018 |
8-K 1 d638535d8k.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 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 16, 2018 IMMUNOCELLULAR THERAPEUTICS, LTD. (Exact name of registrant as specified in its charter) Delaware 001-35560 93-1301885 (State or other jurisdic |
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| October 17, 2018 |
EX-99.1 2 d638535dex991.htm EX-99.1 Exhibit 99.1 ImmunoCellular Announces Receipt of Notice of Noncompliance with The NYSE American Continued Listing Standards. Los Angeles, CA – October 17, 2018 – ImmunoCellular Therapeutics, Ltd. (“ImmunoCellular”) (NYSE American: IMUC) today announced that on October 16, 2018, the Company received notice from the NYSE American LLC (“NYSE American” or the “Excha |
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| October 15, 2018 |
8-K 1 d638594d8k.htm FORM 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 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 10, 2018 IMMUNOCELLULAR THERAPEUTICS, LTD. (Exact name of registrant as specified in its charter) Delaware 001-35560 93-1301885 (State or other jur |
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| October 15, 2018 |
EX-99.1 2 d638594dex991.htm EXHIBIT 99.1 Exhibit 99.1 ImmunoCellular Therapeutics Announces Delisting and Deregistration of Common Stock and Listed Common Stock Warrants Management Team to Transition to Consulting Roles in Effort to Streamline Operations and Manage Expenses Los Angeles, CA – October 15, 2018 – ImmunoCellular Therapeutics, Ltd. (“ImmunoCellular”) (NYSE American: IMUC) today notifie |
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| August 16, 2018 |
Financial Statements and Exhibits, Results of Operations and Financial Condition 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 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): August 13, 2018 IMMUNOCELLULAR THERAPEUTICS, LTD. |
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| August 16, 2018 |
EX-99.1 Exhibit 99.1 ImmunoCellular Therapeutics Provides Corporate Update and Reports Second Quarter 2018 Financial Results -Ongoing Exploration of Strategic Opportunities- -Continued Progress in Stem-to-T-Cell Program- Los Angeles, CA – August 13, 2018 – ImmunoCellular Therapeutics, Ltd. (“ImmunoCellular”) (NYSE American: IMUC), a biotechnology company developing immunotherapies for the treatmen |
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| August 13, 2018 |
Form of Change of Control Bonus Letter Agreement Exhibit 10.1 January [], 2018 Re: Change of Control Bonus Letter Agreement Dear [Name]: On behalf of Immunocellular Therapeutics, Inc. (the “Company”), I am pleased to inform you that the Board of Directors of the Company (the “Board”) has authorized the Company to provide to you with a bonus payable on a Change of Control of the Company, as described in this letter agreement (this “Letter Agreeme |
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| August 13, 2018 |
IMUC / ImmunoCellular Therapeutics, Ltd. 10-Q (Quarterly Report) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ý QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2018 or ¨ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission file number 001-35560 ImmunoCellular Therapeutics, Ltd. (Exact name |
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| May 15, 2018 |
EX-99.1 2 d585632dex991.htm EXHIBIT 99.1 Exhibit 99.1 ImmunoCellular Therapeutics Announces First Quarter 2018 Financial Results -Continued Progress in Stem-to-T-Cell Program- -Ongoing Exploration of Strategic Opportunities- Los Angeles, CA – May 14, 2018 – ImmunoCellular Therapeutics, Ltd. (“ImmunoCellular”) (NYSE American: IMUC) today announced financial results for the first quarter ended March |
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| May 15, 2018 |
Financial Statements and Exhibits, Results of Operations and Financial Condition 8-K 1 d585632d8k.htm FORM 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 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): May 14, 2018 IMMUNOCELLULAR THERAPEUTICS, LTD. (Exact name of registrant as specified in its charter) Delaware 001-35560 93-1301885 (State or other jurisdi |
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| May 14, 2018 |
IMUC / ImmunoCellular Therapeutics, Ltd. 10-Q (Quarterly Report) 10-Q 1 imuc-33118x10q.htm 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ý QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2018 or ¨ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission file number 001-35560 ImmunoCellula |
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| March 14, 2018 |
Non-Employee Director Compensation Plan EXHIBIT 10.59 IMMUNOCELLULAR THERAPEUTICS, LTD. NON-EMPLOYEE DIRECTOR COMPENSATION POLICY AMENDED BY THE BOARD OF DIRECTORS: AUGUST 29, 2017 Each member of the Board of Directors (the “Board”) who is not also serving as an employee of ImmunoCellular Therapeutics, Ltd. (the “Company”) or any of its subsidiaries (each such member, an “Eligible Director”) will receive the compensation described in th |
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| March 14, 2018 |
IMUC / ImmunoCellular Therapeutics, Ltd. 10-K (Annual Report) UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K ý ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2017 or ¨ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 001-35560 IMMUNOCELLULAR THERAPEUTI |
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| March 13, 2018 |
EX-99.1 2 d518224dex991.htm EX-99.1 Exhibit 99.1 ImmunoCellular Therapeutics Announces Fourth Quarter and Full Year 2017 Financial Results -Continued Progress in Stem-to-T-Cell Program- -Strengthened Financial Condition- -Conference Call Today at 5:00 pm ET- Los Angeles, CA – March 13, 2018 – ImmunoCellular Therapeutics, Ltd. (“ImmunoCellular”) (NYSE American: IMUC) today announced financial resul |
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| March 13, 2018 |
Financial Statements and Exhibits, Results of Operations and Financial Condition 8-K 1 d518224d8k.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 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): March 13, 2018 IMMUNOCELLULAR THERAPEUTICS, LTD. (Exact name of registrant as specified in its charter) Delaware 001-35560 93-1301885 (State or other jurisdicti |
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| February 13, 2018 |
EX-99.1 2 d454810dex991.htm EX-99.1 Exhibit 99.1 ImmunoCellular Therapeutics Announces Update on Financial Condition Strengthened Financial Condition Supports Continued Advancement of Stem-to-T-Cell Program LOS ANGELES, February 13, 2018 — ImmunoCellular Therapeutics, Ltd. (“ImmunoCellular”) (NYSE American: IMUC), a biotechnology company developing immunotherapies for the treatment of cancer based |
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| February 13, 2018 |
Financial Statements and Exhibits, Results of Operations and Financial Condition 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 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): February 13, 2018 IMMUNOCELLULAR THERAPEUTICS, LTD. |
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| February 13, 2018 |
SC 13G/A 1 sc13g0218a1intracoimmuno.htm AMENDMENT NO. 1 TO FORM SC 13G UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1)* ImmunoCellular Therapeutics Ltd. (Name of Issuer) Common Stock, $0.0001 par value per share (Title of Class of Securities) 45236204 (CUSIP Number) December 31, 2017 (Date of Event Whi |
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| February 2, 2018 |
8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 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): January 29, 2018 IMMUNOCELLULAR THERAPEUTICS, LTD. |
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| January 16, 2018 |
IMUC / ImmunoCellular Therapeutics, Ltd. / Empery Asset Management, LP Passive Investment SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1)* ImmunoCellular Therapeutics, Ltd. (Name of Issuer) Common Stock, $0.0001 par value (Title of Class of Securities) 452536204 (CUSIP Number) December 31, 2017 (Date of event which requires filing of this statement) Check the appropriate box to designate the rule pursuan |
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| November 21, 2017 |
Financial Statements and Exhibits, Results of Operations and Financial Condition Form 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 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 21, 2017 IMMUNOCELLULAR THERAPEUTICS, LTD. |
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| November 21, 2017 |
EX-99.1 2 d497428dex991.htm EXHIBIT 99.1 Exhibit 99.1 ImmunoCellular Therapeutics Announces Third Quarter 2017 Financial Results -Continued Focus on Stem-to-T-Cell Program- -Strengthened Financial Condition- -Conference Call Today at 5:00 pm ET- Los Angeles, CA – November 21, 2017 – ImmunoCellular Therapeutics, Ltd. (“ImmunoCellular”) (NYSE American: IMUC) today announced financial results for the |
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| November 21, 2017 |
IMUC / ImmunoCellular Therapeutics, Ltd. 10-Q (Quarterly Report) 10-Q 1 imuc-93017x10q.htm 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ý QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2017 or ¨ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission file number 001-35560 ImmunoCel |
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| November 15, 2017 |
IMUC / ImmunoCellular Therapeutics, Ltd. NT-10-Q NT-10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 12b-25 Commission File Number: 001-35560 CUSIP Number: 45236204 NOTIFICATION OF LATE FILING (Check One): ☐ Form 10-K ☐ Form 20-F ☐ Form 11-K ☒ Form 10-Q ☐ Form 10-D ☐ Form N-SAR ☐ Form N-CSR For Period Ended: September 30, 2017 ☐ Transition Report on Form 10-K ☐ Transition Report on Form 20-F ☐ Transition Report on Form 11-K ☐ Transition Report on Form 10-Q ☐ Transition Report on Form N-SAR ☐ For the Transition Period Ended: Read Instruction (on back page) Before Preparing Form. |
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| October 11, 2017 |
EX-99.1 NYSE American: IMUC.BC October 2017 Corporate Presentation Exhibit 99.1 Forward-Looking Statements This presentation contains forward-looking statements. All statements other than statements of historical facts contained in this presentation, including statements regarding our plans, timelines, prospects, objectives, expectations and intentions with respect to the potential for success of |
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| October 11, 2017 |
Regulation FD Disclosure, Financial Statements and Exhibits 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 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 11, 2017 IMMUNOCELLULAR THERAPEUTICS, LTD. |
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| August 28, 2017 |
Financial Statements and Exhibits, Other Events 8-K 1 d425232d8k.htm FORM 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 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): August 23, 2017 IMMUNOCELLULAR THERAPEUTICS, LTD. (Exact name of registrant as specified in its charter) Delaware 001-35560 93-1301885 (State or other juri |
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| August 28, 2017 |
EX-99.1 Exhibit 99.1 ImmunoCellular Therapeutics Provides Business Update on Research and Development Programs and Future Strategy - Near-Term Milestones Anticipated in Stem-to-T-Cell Research Program - - Restructuring Underway Designed to Achieve Cost Savings and Extend Operating Runway - - Conference Call and Webcast Today at 5:00 pm ET - Los Angeles, CA ? August 23, 2017 ? ImmunoCellular Therap |
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| August 17, 2017 |
8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 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): August 15, 2017 IMMUNOCELLULAR THERAPEUTICS, LTD. |
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| August 17, 2017 |
EX-99.1 Exhibit 99.1 ImmunoCellular Therapeutics Announces Second Quarter 2017 Financial Results -Company to Host Business Update Conference Call and Webcast on August 23, 2017- Los Angeles, CA August 14, 2017 ImmunoCellular Therapeutics, Ltd. (ImmunoCellular) (NYSE MKT: IMUC) today announced financial results for the second quarter 2017. For the quarter ended June 30, 2017, ImmunoCellular i |
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| August 17, 2017 |
Financial Statements and Exhibits, Results of Operations and Financial Condition Form 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 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): August 14, 2017 IMMUNOCELLULAR THERAPEUTICS, LTD. |
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| August 14, 2017 |
IMUC / ImmunoCellular Therapeutics, Ltd. 10-Q (Quarterly Report) 10-Q 1 imuc-63017x10q.htm 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ý QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2017 or ¨ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission file number 001-35560 ImmunoCellular |
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| August 14, 2017 |
Form of Series 1 Preferred Stock Warrant SERIES 1 PREFERRED STOCK WARRANT IMMUNOCELLULAR THERAPEUTICS, LTD. Warrant Shares: Initial Exercise Date: July 21, 2017 THIS SERIES 1 WARRANT (the “Warrant”) certifies that, for value received, or its assigns (the “Holder”) is entitled, upon the terms and subject to the limitations on exercise and the conditions hereinafter set forth, at any time on or after the date hereof (the “Initial Exercise |
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| August 14, 2017 |
Form of Series 3 Preferred Stock Warrant SERIES 3 PREFERRED STOCK WARRANT IMMUNOCELLULAR THERAPEUTICS, LTD. Warrant Shares: Initial Exercise Date: July 21, 2017 THIS SERIES 3 WARRANT (the “Warrant”) certifies that, for value received, or its assigns (the “Holder”) is entitled, upon the terms and subject to the limitations on exercise and the conditions hereinafter set forth, at any time on or after the date hereof (the “Initial Exercise |
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| August 14, 2017 |
Form of Series 2 Preferred Stock Warrant EX-4.2 3 exhibit42.htm EXHIBIT 4.2 SERIES 2 PREFERRED STOCK WARRANT IMMUNOCELLULAR THERAPEUTICS, LTD. Warrant Shares: Initial Exercise Date: July 21, 2017 THIS SERIES 2 WARRANT (the “Warrant”) certifies that, for value received, or its assigns (the “Holder”) is entitled, upon the terms and subject to the limitations on exercise and the conditions hereinafter set forth, at any time on or after the |
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| July 31, 2017 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* ImmunoCellular Therapeutics Ltd. (Name of Issuer) Common Stock, $0.0001 par value per share (Title of Class of Securities) 45236204 (CUSIP Number) July 21, 2017 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate |
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| July 24, 2017 |
ImmunoCellular Therapeutics FORM 8-K (Current Report/Significant Event) Form 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 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): July 21, 2017 IMMUNOCELLULAR THERAPEUTICS, LTD. |
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| July 21, 2017 |
8-K 1 d423718d8k.htm FORM 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 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): July 20, 2017 IMMUNOCELLULAR THERAPEUTICS, LTD. (Exact name of registrant as specified in its charter) Delaware 001-35560 93-1301885 (State or other jurisd |
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| July 21, 2017 |
EX-3.1 2 d423718dex31.htm EX-3.1 Exhibit 3.1 IMMUNOCELLULAR THERAPEUTICS, LTD. CERTIFICATE OF DESIGNATION OF PREFERENCES, RIGHTS AND LIMITATIONS OF SERIES B 8.0% MANDATORILY CONVERTIBLE PREFERRED STOCK PURSUANT TO SECTION 151 OF THE DELAWARE GENERAL CORPORATION LAW IMMUNOCELLULAR THERAPEUTICS, LTD., a Delaware corporation (the “Corporation”), in accordance with the provisions of Section 103 of the |
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| July 20, 2017 |
Document Filed Pursuant to Rule 424(b)(4) Registration No. 333-215331 5,000 Shares of Series B 8.0% Mandatorily Convertible Preferred Stock Series 1 Warrants to Purchase up to 3,000 Shares of Series B Preferred Stock Series 2 Warrants to Purchase up to 3,000 Shares of Series B Preferred Stock Series 3 Warrants to Purchase up to 3,000 Shares of Series B Preferred Stock We are offering 5,000 shares |
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| July 19, 2017 |
SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* ImmunoCellular Therapeutics, Ltd. (Name of Issuer) Common Stock, $0.0001 par value (Title of Class of Securities) 452536204 (CUSIP Number) July 17, 2017 (Date of event which requires filing of this statement) Check the appropriate box to designate the rule pursuant to |
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| July 13, 2017 |
SERIES [1/2/3] PREFERRED STOCK WARRANT IMMUNOCELLULAR THERAPEUTICS, LTD. SERIES [1/2/3] PREFERRED STOCK WARRANT IMMUNOCELLULAR THERAPEUTICS, LTD. Warrant Shares: Initial Exercise Date: [], 2017 THIS SERIES [1/2/3] WARRANT (the ?Warrant?) certifies that, for value received, or its assigns (the ?Holder?) is entitled, upon the terms and subject to the limitations on exercise and the conditions hereinafter set forth, at any time on or after the date hereof (the ?Initial Ex |
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| July 13, 2017 |
ImmunoCellular Therapeutics ESP Document Maxim Group LLC 405 Lexington Avenue New York, New York 10174 July 13, 2017 VIA EDGAR United States Securities and Exchange Commission Division of Corporation Finance 100 F Street, N. |
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| July 13, 2017 |
As filed with the Securities and Exchange Commission on July 13, 2017 As filed with the Securities and Exchange Commission on July 13, 2017 Registration No. |
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| July 13, 2017 |
IMMUNOCELLULAR THERAPEUTICS, LTD. UNDERWRITING AGREEMENT IMMUNOCELLULAR THERAPEUTICS, LTD. UNDERWRITING AGREEMENT July [ ], 2017 Maxim Group LLC 405 Lexington Avenue New York, New York 10174 As Representative of the Underwriters named on Schedule A hereto Ladies and Gentlemen: ImmunoCellular Therapeutics, Ltd., a Delaware corporation (the “Company”), proposes, subject to the terms and conditions stated herein, to issue and sell to the underwriters named |
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| July 13, 2017 |
IMMUNOCELLULAR THERAPEUTICS, LTD. CERTIFICATE OF DESIGNATION OF PREFERENCES, RIGHTS AND LIMITATIONS OF SERIES B 8.0% MANDATORILY CONVERTIBLE PREFERRED STOCK PURSUANT TO SECTION 151 OF THE DELAWARE GENERAL CORPORATION LAW IMMUNOCELLULAR THERAPEUTICS, LTD., a Delaware corporation (the “Corporation”), in accordance with the provisions of Section 103 of the Delaware General Corporation Law (the “DGCL” |
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| July 13, 2017 |
ImmunoCellular Therapeutics ESP Document IMMUNOCELLULAR THERAPEUTICS, LTD. 23622 Calabasas Road, Suite 300 Calabasas, California 91302 July 13, 2017 VIA EDGAR United States Securities and Exchange Commission Division of Corporation Finance 100 F Street, N.E. Washington, D.C. 20549 Attn: Chris Edwards RE: ImmunoCellular Therapeutics, Ltd. Registration Statement on Form S - 1 File Number: 333-215331 Acceleration Request Requested |
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| July 11, 2017 |
ImmunoCellular Therapeutics ESP Document IMMUNOCELLULAR THERAPEUTICS, LTD. 23622 Calabasas Road, Suite 300 Calabasas, California 91302 July 11, 2017 VIA EDGAR U.S. Securities and Exchange Commission VIA EDGAR Division of Corporation Finance 100 F Street, N.E. Mail Stop 6010 Washington, D.C. 20549-3628 Attn: Chris Edwards Re: ImmunoCellular Therapeutics, Ltd. Registration Statement on Form S-1 File No. 333-215331 Withdrawal of Ac |
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| July 10, 2017 |
SERIES [1/2/3] PREFERRED STOCK WARRANT IMMUNOCELLULAR THERAPEUTICS, LTD. SERIES [1/2/3] PREFERRED STOCK WARRANT IMMUNOCELLULAR THERAPEUTICS, LTD. Warrant Shares: Initial Exercise Date: [], 2017 THIS SERIES [1/2/3] WARRANT (the ?Warrant?) certifies that, for value received, or its assigns (the ?Holder?) is entitled, upon the terms and subject to the limitations on exercise and the conditions hereinafter set forth, at any time on or after the date hereof (the ?Initial Ex |
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| July 10, 2017 |
IMMUNOCELLULAR THERAPEUTICS, LTD. UNDERWRITING AGREEMENT IMMUNOCELLULAR THERAPEUTICS, LTD. UNDERWRITING AGREEMENT July [ ], 2017 Maxim Group LLC 405 Lexington Avenue New York, New York 10174 As Representative of the Underwriters named on Schedule A hereto Ladies and Gentlemen: ImmunoCellular Therapeutics, Ltd., a Delaware corporation (the “Company”), proposes, subject to the terms and conditions stated herein, to issue and sell to the underwriters named |
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| July 10, 2017 |
ImmunoCellular Therapeutics ESP CORRESP 1 filename1.htm Maxim Group LLC 405 Lexington Avenue New York, New York 10174 July 10, 2017 VIA EDGAR United States Securities and Exchange Commission Division of Corporation Finance 100 F Street, N.E. Washington, D.C. 20549 Attention: Chris Edwards Re: ImmunoCellular Therapeutics, Ltd. Registration Statement on Form S-1 File No. 333-215331 Ladies and Gentlemen: In connection with the abov |
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| July 10, 2017 |
IMMUNOCELLULAR THERAPEUTICS, LTD. CERTIFICATE OF DESIGNATION OF PREFERENCES, RIGHTS AND LIMITATIONS OF SERIES B 8.0% MANDATORILY CONVERTIBLE PREFERRED STOCK PURSUANT TO SECTION 151 OF THE DELAWARE GENERAL CORPORATION LAW IMMUNOCELLULAR THERAPEUTICS, LTD., a Delaware corporation (the “Corporation”), in accordance with the provisions of Section 103 of the Delaware General Corporation Law (the “DGCL” |
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| July 10, 2017 |
As filed with the Securities and Exchange Commission on July 10, 2017 As filed with the Securities and Exchange Commission on July 10, 2017 Registration No. |
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| July 10, 2017 |
ImmunoCellular Therapeutics ESP CORRESP 1 filename1.htm IMMUNOCELLULAR THERAPEUTICS, LTD. 23622 Calabasas Road, Suite 300 Calabasas, California 91302 July 10, 2017 VIA EDGAR United States Securities and Exchange Commission Division of Corporation Finance 100 F Street, N.E. Washington, D.C. 20549 Attn: Chris Edwards RE: ImmunoCellular Therapeutics, Ltd. Registration Statement on Form S-1 File Number: 333-215331 Acceleration Reque |
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| June 29, 2017 |
Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing Form 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 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, 2017 IMMUNOCELLULAR THERAPEUTICS, LTD. |
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| June 22, 2017 |
8-K 1 d416210d8k.htm FORM 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 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 16, 2017 IMMUNOCELLULAR THERAPEUTICS, LTD. (Exact name of registrant as specified in its charter) Delaware 001-35560 93-1301885 (State or other jurisd |
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| June 22, 2017 |
Exhibit 3.1 Exhibit 3.1 CERTIFICATE OF AMENDMENT OF AMENDED AND RESTATED CERTIFICATE OF INCORPORATION OF IMMUNOCELLULAR THERAPEUTICS, LTD. (Under Section 242 of the General Corporation Law of the State of Delaware) ImmunoCellular Therapeutics, Ltd., a corporation organized and existing under the laws of the State of Delaware, hereby certifies as follows: FIRST. The name of the corporation is Immun |
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| June 21, 2017 |
EX-99.1 Exhibit 99.1 Contact: ImmunoCellular Therapeutics, Ltd. Investor Relations Jane Green 415.652.4819 [email protected] ImmunoCellular Therapeutics Provides Update on Strategic Review and Decision to Suspend Further Patient Randomization for ICT-107 Phase 3 Trial Los Angeles, CA ? June 21, 2017 ? ImmunoCellular Therapeutics, Ltd. (?ImmunoCellular?) (NYSE MKT: IMUC) today provided an update on |
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| June 21, 2017 |
Financial Statements and Exhibits, Other Events 8-K 1 d377446d8k.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 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 21, 2017 IMMUNOCELLULAR THERAPEUTICS, LTD. (Exact name of registrant as specified in its charter) Delaware 001-35560 93-1301885 (State or other jurisdictio |
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| June 12, 2017 |
ImmunoCellular Therapeutics S-1/A Document As filed with the Securities and Exchange Commission on June 12, 2017 Registration No. |
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| May 16, 2017 |
ImmunoCellular Therapeutics FORM 8-K (Current Report/Significant Event) Form 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 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): May 15, 2017 IMMUNOCELLULAR THERAPEUTICS, LTD. |
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| May 16, 2017 |
EX-99.1 Exhibit 99.1 Contact: ImmunoCellular Therapeutics, Ltd. Investor Relations Jane Green 415.652.4819 [email protected] ImmunoCellular Therapeutics Announces First Quarter 2017 Financial Results -Company Considering Potential Strategic Alternatives for ICT-107- Los Angeles, CA ? May 15, 2017 ? ImmunoCellular Therapeutics, Ltd. (?ImmunoCellular?) (NYSE MKT: IMUC) today announced financial resul |
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| May 15, 2017 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ý QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2017 or ¨ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission file number 001-35560 ImmunoCellular Therapeutics, Ltd. (Exact nam |
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| May 5, 2017 |
Form 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 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): May 1, 2017 IMMUNOCELLULAR THERAPEUTICS, LTD. |
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| April 28, 2017 |
ImmunoCellular Therapeutics DEFA14A DEFA14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐ Definitive Pro |
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| April 28, 2017 |
ImmunoCellular Therapeutics DEF 14A DEF 14A Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| April 24, 2017 |
ImmunoCellular Therapeutics PRER14A PRER14A Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| April 20, 2017 |
8-K 1 d553678d8k.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 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): April 14, 2017 IMMUNOCELLULAR THERAPEUTICS, LTD. (Exact name of registrant as specified in its charter) Delaware 001-35560 93-1301885 (State or other jurisdicti |
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| April 17, 2017 |
ImmunoCellular Therapeutics PRE 14A PRE 14A Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| April 4, 2017 |
As filed with the Securities and Exchange Commission on April 3, 2017 As filed with the Securities and Exchange Commission on April 3, 2017 Registration No. |
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| April 3, 2017 |
ImmunoCellular Therapeutics ESP Document ImmunoCellular Therapeutics, Ltd. 236222 Calabasas Road, Suite 300 Calabasas, CA 91302 April 3, 2017 VIA EDGAR Suzanne Hayes Erin Jaskot Division of Corporation Finance U.S. Securities and Exchange Commission 100 F Street, N.E. Washington, D.C. 20549 Re: ImmunoCellular Therapeutics, Ltd. Registration Statement on Form S-1 Filed December 28, 2016 File No. 333-215331 Dear Ms. Jaskot: Immuno |
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| March 9, 2017 |
EX-99.1 Exhibit 99.1 Contact: ImmunoCellular Therapeutics, Ltd. Investor Relations Jane Green 415.348.0010 direct 415.652.4819 mobile [email protected] ImmunoCellular Therapeutics Announces Fourth Quarter and Full Year 2016 Financial Results and Provides Corporate Update Los Angeles, CA ? March 9, 2017 ? ImmunoCellular Therapeutics, Ltd. (?ImmunoCellular?) (NYSE MKT: IMUC) today announced financial |
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| March 9, 2017 |
Financial Statements and Exhibits, Results of Operations and Financial Condition 8-K 1 d259145d8k.htm FORM 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 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): March 9, 2017 IMMUNOCELLULAR THERAPEUTICS, LTD. (Exact name of registrant as specified in its charter) Delaware 001-35560 93-1301885 (State or other jurisd |
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| March 9, 2017 |
Exhibit 10.63 IMMUNOCELLULAR THERAPEUTICS,LTD. 23622 Calabasas Road, Suite 300 Calabasas, CA 91302 December 13, 2016 Andrew Gengos ImmunoCellular Therapeutics, Ltd. 23622 Calabasas Road Suite 300 Calabasas, CA 91302 Dear Andrew: This letter sets forth the substance of the separation agreement (the ?Agreement?) between you and ImmunoCellular Therapeutics, Ltd. (the ?Company?). 1.Separation. Your em |
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| March 9, 2017 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K ý ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2016 or ¨ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 001-35560 IMMUNOCELLULAR THERAPEUTI |
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| December 28, 2016 |
ImmunoCellular Therapeutics S-1 Document As filed with the Securities and Exchange Commission on December 28, 2016 Registration No. |
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| December 14, 2016 |
ImmunoCellular Therapeutics Announces Management Changes EX-99.1 Exhibit 99.1 Contact: ImmunoCellular Therapeutics, Ltd. Investor Relations Jane Green 415.348.0010 direct 415.652.4819 mobile [email protected] ImmunoCellular Therapeutics Announces Management Changes Los Angeles, CA December 14, 2016 ImmunoCellular Therapeutics, Ltd. (ImmunoCellular) (NYSE MKT:IMUC) announced today that the Board of Directors has appointed Anthony Gringeri, PhD, as C |
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| December 14, 2016 |
ImmunoCellular Therapeutics 8-K (Current Report/Significant Event) 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 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): December 13, 2016 IMMUNOCELLULAR THERAPEUTICS, LTD. |
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| November 18, 2016 |
ImmunoCellular Therapeutics FORM 8-K (Current Report/Significant Event) Form 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 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 14, 2016 IMMUNOCELLULAR THERAPEUTICS, LTD. |
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| November 18, 2016 |
ImmunoCellular Therapeutics Announces One-for-Forty Reverse Stock Split EX-99.1 3 d296216dex991.htm EX-99.1 Exhibit 99.1 Contact: ImmunoCellular Therapeutics, Ltd. Investor Relations Jane Green 415.348.0010 direct 415.652.4819 mobile [email protected] ImmunoCellular Therapeutics Announces One-for-Forty Reverse Stock Split Los Angeles, CA – November 16, 2016 – ImmunoCellular Therapeutics, Ltd. (“ImmunoCellular” or the “Company”) (NYSE MKT: IMUC) announced that at the Sp |
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| November 18, 2016 |
EX-3.1 2 d296216dex31.htm EX-3.1 Exhibit 3.1 CERTIFICATE OF AMENDMENT OF AMENDED AND RESTATED CERTIFICATE OF INCORPORATION OF IMMUNOCELLULAR THERAPEUTICS, LTD. (Under Section 242 of the General Corporation Law of the State of Delaware) ImmunoCellular Therapeutics, Ltd., a corporation organized and existing under the laws of the State of Delaware, hereby certifies as follows: FIRST. The name of the |
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| November 14, 2016 |
ImmunoCellular Therapeutics FORM S-8 S-8 1 d264318ds8.htm FORM S-8 As filed with the Securities and Exchange Commission on November 14, 2016 Registration No. 333- UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM S-8 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 IMMUNOCELLULAR THERAPEUTICS, LTD. (Exact name of registrant as specified in its charter) Delaware 93-1301885 (State or other jurisdiction o |
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| November 10, 2016 |
EX-99.1 Exhibit 99.1 Contact: ImmunoCellular Therapeutics, Ltd. Investor Relations Jane Green 415.348.0010 direct 415.652.4819 mobile [email protected] ImmunoCellular Therapeutics Announces Third Quarter 2016 Financial Results and Provides Research and Development Update Los Angeles, CA November 10, 2016 ImmunoCellular Therapeutics, Ltd. (ImmunoCellular) (NYSE MKT: IMUC) today announced finan |
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| November 10, 2016 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 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 10, 2016 IMMUNOCELLULAR THERAPEUTICS, LTD. |
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| November 10, 2016 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q 10-Q 1 imuc-93016x10q.htm 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ý QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2016 or ¨ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission file number 001-35560 ImmunoCel |
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| November 10, 2016 |
Exhibit 4.1 WARRANT AGREEMENT THIS WARRANT AGREEMENT (this “Agreement”), dated as of August 12, 2016, is by and between IMMUNOCELLULAR THERAPEUTICS, LTD., a Delaware corporation (the “Company”), and COMPUTERSHARE INC., a Delaware corporation, and its wholly-owned subsidiary, COMPUTERSHARE TRUST COMPANY, N.A., a federally chartered trust company, collectively as the Warrant Agent (the “Warrant Agen |
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| November 10, 2016 |
AMENDMENT TO EMPLOYMENT AGREEMENT EX-10.1 3 imuc-93016xexhibit1011.htm EXHIBIT 10.1 Exhibit 10.1 AMENDMENT TO EMPLOYMENT AGREEMENT THIS AMENDMENT TO EMPLOYMENT AGREEMENT (“Amendment”), between ImmunoCellular Therapeutics, Ltd. (the “Company”) and David Fractor (“Executive”), is entered into on August 29, 2016. RECITALS: WHEREAS, the parties entered into an Employment Agreement on September 17, 2015 (the “Employment Agreement”); an |
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| November 4, 2016 |
ImmunoCellular Therapeutics FORM 8-K (Current Report/Significant Event) Form 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 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 1, 2016 IMMUNOCELLULAR THERAPEUTICS, LTD. |
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| November 4, 2016 |
Dear ImmunoCellular Therapeutics, Ltd. Stockholder: EX-99.1 Exhibit 99.1 ****IMPORTANT**** Dear ImmunoCellular Therapeutics, Ltd. Stockholder: By now, you should have received your proxy card material for the 2016 ImmunoCellular Therapeutics, Ltd. Special Meeting scheduled to be held on November 14, 2016. The tabulators records indicate you have not yet voted your shares at the time of the mailing of this reminder letter. Your vote is extremely im |
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| October 4, 2016 |
ImmunoCellular Therapeutics DEFA14A DEFA14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐ Definitive Pro |
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| October 4, 2016 |
ImmunoCellular Therapeutics DEF 14A DEF 14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant x Filed by a Party other than the Registrant ¨ Check the appropriate box: ¨ Preliminary Proxy Statement ¨ Confidential, For Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) x Definitive Pro |
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| September 23, 2016 |
ImmunoCellular Therapeutics PRE 14A PRE 14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant x Filed by a Party other than the Registrant ¨ Check the appropriate box: x Preliminary Proxy Statement ¨ Confidential, For Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ¨ Definitive Pro |
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| September 16, 2016 |
ImmunoCellular Therapeutics FORM 8-K (Current Report/Significant Event) Form 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 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): September 13, 2016 IMMUNOCELLULAR THERAPEUTICS, LTD. |
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| September 1, 2016 |
ImmunoCellular Therapeutics FORM 8-K (Current Report/Significant Event) Form 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 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): August 31, 2016 IMMUNOCELLULAR THERAPEUTICS, LTD. |
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| August 22, 2016 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 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): August 22, 2016 IMMUNOCELLULAR THERAPEUTICS, LTD. |
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| August 22, 2016 |
ImmunoCellular Therapeutics Announces Second Quarter 2016 Financial Results EX-99.1 Exhibit 99.1 Contact: ImmunoCellular Therapeutics, Ltd. Investor Relations Jane Green 415.348.0010 direct 415.652.4819 mobile [email protected] ImmunoCellular Therapeutics Announces Second Quarter 2016 Financial Results Los Angeles, CA ? August 22, 2016 ? ImmunoCellular Therapeutics, Ltd. (?ImmunoCellular?) (NYSE MKT: IMUC) today announced financial results for the second quarter of 2016. A |
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| August 22, 2016 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 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): August 22, 2016 IMMUNOCELLULAR THERAPEUTICS, LTD. |
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| August 22, 2016 |
ImmunoCellular Therapeutics Announces Second Quarter 2016 Financial Results EX-99.1 Exhibit 99.1 Contact: ImmunoCellular Therapeutics, Ltd. Investor Relations Jane Green 415.348.0010 direct 415.652.4819 mobile [email protected] ImmunoCellular Therapeutics Announces Second Quarter 2016 Financial Results Los Angeles, CA ? August 22, 2016 ? ImmunoCellular Therapeutics, Ltd. (?ImmunoCellular?) (NYSE MKT: IMUC) today announced financial results for the second quarter of 2016. A |
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| August 22, 2016 |
FIRST AMENDMENT TO LEASE EXTENDING LEASE TERM EX-10.1 2 imuc-63016xexhibit101.htm EXHIBIT 10.1 Exhibit 10.1 Document Reference Date: April 12, 2016 Tenant Code: csimmu Property, Building and Suite I.D.: cs8000 5-300 FIRST AMENDMENT TO LEASE EXTENDING LEASE TERM It is hereby agreed by the undersigned that the Lease dated the 13th day of May, 2013, by and between CALABASAS/SORRENTO SQUARE, LLC, a Delaware limited liability company, “Lessor”, an |
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| August 22, 2016 |
CERTIFICATION OF THE PRINCIPAL FINANCIAL OFFICER Exhibit 32.2 CERTIFICATION OF THE PRINCIPAL FINANCIAL OFFICER Pursuant to the requirement set forth in Rule 13a-14(b) of the Securities Exchange Act of 1934, as amended (the “Exchange Act”) and Section 1350 of Chapter 63 of Title 18 of the United States Code (18 U.S.C. § 1350), the undersigned officer of ImmunoCellular Therapeutics, Ltd. (the “Company”) hereby certifies that, to the best of his kn |
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| August 22, 2016 |
CERTIFICATION OF THE PRINCIPAL FINANCIAL OFFICER Exhibit 32.2 CERTIFICATION OF THE PRINCIPAL FINANCIAL OFFICER Pursuant to the requirement set forth in Rule 13a-14(b) of the Securities Exchange Act of 1934, as amended (the “Exchange Act”) and Section 1350 of Chapter 63 of Title 18 of the United States Code (18 U.S.C. § 1350), the undersigned officer of ImmunoCellular Therapeutics, Ltd. (the “Company”) hereby certifies that, to the best of his kn |
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| August 22, 2016 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2016 or ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission file number 001-35560 ImmunoCellular Therapeutics, Ltd. (Exact name |
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| August 22, 2016 |
FIRST AMENDMENT TO LEASE EXTENDING LEASE TERM EX-10.1 2 imuc-63016xexhibit101.htm EXHIBIT 10.1 Exhibit 10.1 Document Reference Date: April 12, 2016 Tenant Code: csimmu Property, Building and Suite I.D.: cs8000 5-300 FIRST AMENDMENT TO LEASE EXTENDING LEASE TERM It is hereby agreed by the undersigned that the Lease dated the 13th day of May, 2013, by and between CALABASAS/SORRENTO SQUARE, LLC, a Delaware limited liability company, “Lessor”, an |
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| August 22, 2016 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2016 or ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission file number 001-35560 ImmunoCellular Therapeutics, Ltd. (Exact name |
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| August 15, 2016 |
ImmunoCellular Therapeutics NT 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 12b-25 Commission File Number: 001-35560 CUSIP Number: 452536105 NOTIFICATION OF LATE FILING (Check One) : ¨ Form 10-K ¨ Form 20-F ¨ Form 11-K ý Form 10-Q ¨ Form 10-D ¨ ¨ Form N-SAR ¨ Form N-CSR For Period Ended: June 30, 2016 ¨ Transition Report on Form 10-K ¨ Transition Report on Form 20-F ¨ Transition Report on Form 11-K ¨ Transition Report on Form 10-Q ¨ Transition Report on Form N-SAR ¨ For the Transition Period Ended: Read Instruction (on back page) Before Preparing Form. |
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| August 15, 2016 |
ImmunoCellular Therapeutics NT 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 12b-25 Commission File Number: 001-35560 CUSIP Number: 452536105 NOTIFICATION OF LATE FILING (Check One) : ¨ Form 10-K ¨ Form 20-F ¨ Form 11-K ý Form 10-Q ¨ Form 10-D ¨ ¨ Form N-SAR ¨ Form N-CSR For Period Ended: June 30, 2016 ¨ Transition Report on Form 10-K ¨ Transition Report on Form 20-F ¨ Transition Report on Form 11-K ¨ Transition Report on Form 10-Q ¨ Transition Report on Form N-SAR ¨ For the Transition Period Ended: Read Instruction (on back page) Before Preparing Form. |
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| August 11, 2016 |
ImmunoCellular Therapeutics POS AM Document As filed with the Securities and Exchange Commission on August 11, 2016 Registration No. |
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| August 11, 2016 |
Document Filed Pursuant to Rule 424(b)(4) Registration No. 333-211763 Prospectus 34,550,000 Shares of Common Stock Pre-Funded Warrants to Purchase 12,450,000 Shares of Common Stock Base Warrants to Purchase 35,250,000 Shares of Common Stock We are offering shares of our common stock and base warrants to purchase shares of our common stock. Each share of our common stock is being sold together with |
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| August 8, 2016 |
ImmunoCellular Therapeutics, Ltd. Document Filed Pursuant to Rule 433 of the Securities Act of 1933 Issuer Free Writing Prospectus dated August 8, 2016 Relating to Preliminary Prospectus dated August 3, 2016 Registration No. |
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| August 8, 2016 |
ImmunoCellular Therapeutics POS AM Document As filed with the Securities and Exchange Commission on August 8, 2016 Registration No. |
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| August 4, 2016 |
ImmunoCellular Therapeutics 8-A12B Document UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-A FOR REGISTRATION OF CERTAIN CLASSES OF SECURITIES PURSUANT TO SECTION 12(b) OR (g) OF THE SECURITIES EXCHANGE ACT OF 1934 IMMUNOCELLULAR THERAPEUTICS, LTD. |
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| August 4, 2016 |
Form of Pre-Funded Warrant to Purchase Common Stock, originally issued in August 2016 Exhibit 4.9 PRE-FUNDED COMMON STOCK PURCHASE WARRANT IMMUNOCELLULAR, LTD. Warrant Shares: Initial Exercise Date: , 2016 THIS PRE-FUNDED COMMON STOCK PURCHASE WARRANT (the “Warrant”) certifies that, for value received, or its assigns (the “Holder”) is entitled, upon the terms and subject to the limitations on exercise and the conditions hereinafter set forth, at any time on or after the date hereof |
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| August 4, 2016 |
As filed with the Securities and Exchange Commission on August 4, 2016 S-1/A 1 imucs1.htm S-1/A As filed with the Securities and Exchange Commission on August 4, 2016 Registration No. 333-211763 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Amendment No. 3 to FORM S-1 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 IMMUNOCELLULAR THERAPEUTICS, LTD. (Exact name of registrant as specified in its charter) Delaware 2834 93-1301885 (State |
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| August 4, 2016 |
Form of Base Warrant to Purchase Common Stock, originally issued in August 2016 EX-4.8 2 imuc-exhibit48.htm EXHIBIT 4.8 Exhibit 4.8 WARRANT AGREEMENT THIS WARRANT AGREEMENT (this “Agreement”), dated as of , 2016, is by and between IMMUNOCELLULAR THERAPEUTICS, LTD., a Delaware corporation (the “Company”), and COMPUTERSHARE INC., a Delaware corporation, and its wholly-owned subsidiary, COMPUTERSHARE TRUST COMPANY, N.A., a federally chartered trust company, collectively as the W |
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| August 3, 2016 |
IMMUNOCELLULAR THERAPEUTICS, LTD. UNDERWRITING AGREEMENT Exhibit Exhibit 1.1 IMMUNOCELLULAR THERAPEUTICS, LTD. UNDERWRITING AGREEMENT [ ], 2016 Maxim Group LLC 405 Lexington Avenue New York, New York 10174 As Representative of the Underwriters named on Schedule A hereto Ladies and Gentlemen: ImmunoCellular Therapeutics, Ltd., a Delaware corporation (the ? Company ?), proposes, subject to the terms and conditions stated herein, to issue and sell an aggre |
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| August 3, 2016 |
ImmunoCellular Therapeutics ESP Document Maxim Group LLC 405 Lexington Ave New York, NY 10174 August 3, 2016 VIA EDGAR United States Securities and Exchange Commission Division of Corporation Finance 100 F Street, N. |
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| August 3, 2016 |
As filed with the Securities and Exchange Commission on August 2, 2016 As filed with the Securities and Exchange Commission on August 2, 2016 Registration No. |
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| August 3, 2016 |
PRE-FUNDED COMMON STOCK PURCHASE WARRANT IMMUNOCELLULAR, LTD. Exhibit 4.9 PRE-FUNDED COMMON STOCK PURCHASE WARRANT IMMUNOCELLULAR, LTD. Warrant Shares: Initial Exercise Date: , 2016 THIS PRE-FUNDED COMMON STOCK PURCHASE WARRANT (the ?Warrant?) certifies that, for value received, or its assigns (the ?Holder?) is entitled, upon the terms and subject to the limitations on exercise and the conditions hereinafter set forth, at any time on or after the date hereof |
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| August 2, 2016 |
ImmunoCellular Therapeutics ESP Document IMMUNOCELLULAR THERAPEUTICS, LTD. 23622 Calabasas Road, Suite 300 Calabasas, California 91302 August 2, 2016 VIA EDGAR United States Securities and Exchange Commission Division of Corporation Finance 100 F Street, N.E. Washington, D.C. 20549 Attn: Suzanne Hayes Christina Thomas RE: ImmunoCellular Therapeutics, Ltd. Registration Statement on Form S - 1 File Number: 333-211763 Acceleration |
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| July 11, 2016 |
As filed with the Securities and Exchange Commission on July 11, 2016 As filed with the Securities and Exchange Commission on July 11, 2016 Registration No. |
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| July 11, 2016 |
Exhibit 10.60 IMMUNOCELLULAR THERAPEUTICS, LTD. STOCK OPTION GRANT NOTICE (2016 EQUITY INCENTIVE PLAN) ImmunoCellular Therapeutics, Ltd. (the ?Company?), pursuant to its 2016 Equity Incentive Plan (the ?Plan?), hereby grants to Optionholder an option to purchase the number of shares of the Company?s Common Stock set forth below. This option is subject to all of the terms and conditions as set fort |
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| July 11, 2016 |
EX-4.8 2 imuc-exhibit48.htm EXHIBIT 4.8 Exhibit 4.8 WARRANT AGREEMENT THIS WARRANT AGREEMENT (this “Agreement”), dated as of , 2016, is by and between IMMUNOCELLULAR THERAPEUTICS, LTD., a Delaware corporation (the “Company”), and COMPUTERSHARE TRUST COMPANY, N.A., a national association, as the Warrant Agent (the “Warrant Agent”). WHEREAS, the Company is engaged in a public offering (the “Offering |
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| July 11, 2016 |
Exhibit Exhibit 10.59 IMMUNOCELLULAR THERAPEUTICS, LTD. 2016 EQUITY INCENTIVE PLAN ADOPTED BY THE BOARD OF DIRECTORS: MARCH 11, 2016 APPROVED BY THE STOCKHOLDERS: JUNE 17, 2016 1. GENERAL. (a) Eligible Award Recipients. Employees, Directors and Consultants are eligible to receive Awards under the Plan. (b) Available Awards. The Plan provides for the grant of the following types of Awards: (i) Ince |
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| July 11, 2016 |
Non-Employee Director Compensation Plan Exhibit 10.61 IMMUNOCELLULAR THERAPEUTICS, LTD. NON-EMPLOYEE DIRECTOR COMPENSATION POLICY APPROVED BY THE BOARD OF DIRECTORS JUNE 17, 2016 Each member of the Board of Directors (the ?Board?) who is not also serving as an employee of ImmunoCellular Therapeutics, Ltd. (the ?Company?) or any of its subsidiaries (each such member, an ?Eligible Director?) will receive the compensation described in this |
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| June 21, 2016 |
Submission of Matters to a Vote of Security Holders 8-K 1 d191057d8k.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 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 17, 2016 IMMUNOCELLULAR THERAPEUTICS, LTD. (Exact name of registrant as specified in its charter) Delaware 001-35560 93-1301885 (State or other jurisdictio |
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| June 13, 2016 |
ImmunoCellular Therapeutics DEFA14A DEFA14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant x Filed by a Party other than the Registrant ¨ Check the appropriate box: ¨ Preliminary Proxy Statement ¨ Confidential, For Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ¨ Definitive Pro |
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| June 7, 2016 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 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 7, 2016 IMMUNOCELLULAR THERAPEUTICS, LTD. |
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| June 1, 2016 |
ImmunoCellular Therapeutics S-1 S-1 1 imucs1.htm S-1 As filed with the Securities and Exchange Commission on June 1, 2016 Registration No. 333 - UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM S-1 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 IMMUNOCELLULAR THERAPEUTICS, LTD. (Exact name of registrant as specified in its charter) Delaware 2834 93-1301885 (State or other jurisdiction of inco |
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| May 13, 2016 |
Exhibit 10.1 AMENDED AND RESTATED INDEPENDENT CONTRACTOR SERVICES AGREEMENT This Amended and Restated Independent Contractor Services Agreement (the “Agreement”) is entered into as of February 1, 2016 (the “Effective Date”) between ImmunoCellular Therapeutics, Ltd. (“Company”) and John Yu (“Contractor”) (each, a “Party”). WHEREAS, Company and Contractor entered into that certain Independent Contra |
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| May 13, 2016 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ý QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2016 or ¨ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission file number 001-35560 ImmunoCellular Therapeutics, Ltd. (Exact nam |
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| May 12, 2016 |
ImmunoCellular Therapeutics Announces First Quarter 2016 Financial Results EX-99.1 Exhibit 99.1 Contact: ImmunoCellular Therapeutics, Ltd. Investor Relations Jane Green 415.348.0010 direct 415.652.4819 mobile [email protected] ImmunoCellular Therapeutics Announces First Quarter 2016 Financial Results Los Angeles, CA ? May 12, 2016 ? ImmunoCellular Therapeutics, Ltd. (?ImmunoCellular?) (NYSE MKT: IMUC) today announced financial results for the first quarter of 2016. Andrew |
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| May 12, 2016 |
ImmunoCellular Therapeutics FORM 8-K (Current Report/Significant Event) Form 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 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): May 12, 2016 IMMUNOCELLULAR THERAPEUTICS, LTD. |
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| April 29, 2016 |
ImmunoCellular Therapeutics DEF 14A DEF 14A 1 d189389ddef14a.htm DEF 14A Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant x Filed by a Party other than the Registrant ¨ Check the appropriate box: ¨ Preliminary Proxy Statement ¨ Confidential, For Use of the Commission Only (as |
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| March 30, 2016 |
EX-99.1 Exhibit 99.1 Contact: ImmunoCellular Therapeutics, Ltd. Investor Relations Jane Green 415.348.0010 direct 415.652.4819 mobile [email protected] ImmunoCellular Therapeutics Announces 2015 Financial Results ICT-107 Phase 3 Registration Trial Underway; Collaborations to Enhance Dendritic Cell and Stem Cell Platform Progressing Los Angeles, CA March 30, 2016 ImmunoCellular Therapeutics, Ltd |
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| March 30, 2016 |
ImmunoCellular Therapeutics FORM 8-K (Current Report/Significant Event) Form 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 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): March 30, 2016 IMMUNOCELLULAR THERAPEUTICS, LTD. |
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| March 30, 2016 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K ý ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2015 or ¨ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 001-35560 IMMUNOCELLULAR THERAPEUTI |
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| March 30, 2016 |
Exhibit 10.57 INDEPENDENT CONTRACTOR SERVICES AGREEMENT This Independent Contractor Services Agreement (the ?Agreement?) is entered into as of October 1, 2015 (the ?Effective Date?) between ImmunoCellular Therapeutics, Ltd. (?Company?) and John Yu (?Contractor?) (each, a ?Party?). 1. DEFINITIONS. As used in this Agreement: 1.1 ?Confidential Information? means any and all information related to the |
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| March 2, 2016 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 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): February 25, 2016 IMMUNOCELLULAR THERAPEUTICS, LTD. |
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| February 12, 2016 |
SC 13G/A 1 a16-372618sc13ga.htm SC 13G/A SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G (Rule 13d-102) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO § 240.13d-1(b), (c) AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO § 240.13d-2. (Amendment No. 1)* ImmunoCellular Therapeutics, Ltd. (Name of Issuer) Common Stock, $.0001 par value per share (Title of Class of Se |
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| January 20, 2016 |
424B5 Filed Pursuant to Rule 424 (b)(5) Registration No. 333-208788 Prospectus Common Stock We have entered into a sales agreement with Cantor Fitzgerald & Co. relating to shares of our common stock offered by this prospectus. In accordance with the terms of the sales agreement, we may offer and sell shares of our common stock, $0.0001 par value per share, having an aggregate offering price of up |
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| January 20, 2016 |
424B5 Table of Contents Filed Pursuant to Rule 424(b)(5) Registration No. 333-208788 Prospectus 4,446,775 Shares Common Stock This prospectus relates to the offer and sale by us of 4,446,775 shares of our common stock, par value $0.0001 per share, that are issuable upon the exercise of warrants at an exercise price of $2.65 per share. The warrants were originally issued by us on October 23, 2012, |
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| January 15, 2016 |
ImmunoCellular Therapeutics ESP CORRESP IMMUNOCELLULAR THERAPEUTICS, LTD. 23622 Calabasas Road, Suite 300 Calabasas, California 91302 January 15, 2016 VIA EDGAR United States Securities and Exchange Commission Division of Corporation Finance 100 F Street, N.E. Washington, DC 20549 Re: ImmunoCellular Therapeutics, Ltd. Registration Statement on Form S-3 (File No. 333-208788) Ladies and Gentlemen: The undersigned registrant hereby |
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| December 30, 2015 |
EX-12.1 Exhibit 12.1 ImmunoCellular Therapeutics, Ltd. Ratio of Earnings to Fixed Charges Year Ended 9 mos ended 2010 2011 2012 2013 2014 9.30.15 Earnings (8,242,642 ) (5,719,903 ) (14,495,139 ) (8,800,563 ) (9,377,533 ) (7,980,831 ) Fixed charges - - - - - Pref stock dividends (A) 2,092,500 - - - - (6,150,142 ) (5,719,903 ) (14,495,139 ) (8,800,563 ) (9,377,533 ) (7,980,831 ) (A) - Deemed dividen |
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| December 30, 2015 |
EX-4.12 5 d42330dex412.htm EX-4.12 Exhibit 4.12 IMMUNOCELLULAR THERAPEUTICS, LTD. AND , AS WARRANT AGENT DEBT SECURITIES WARRANT AGREEMENT DATED AS OF IMMUNOCELLULAR THERAPEUTICS, LTD. DEBT SECURITIES WARRANT AGREEMENT THIS DEBT SECURITIES WARRANT AGREEMENT (this “Agreement”), dated as of [•], between IMMUNOCELLULAR THERAPEUTICS, LTD., a Delaware corporation (the “Company”) and [•], a [corporation |
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| December 30, 2015 |
EX-4.8 2 d42330dex48.htm EX-4.8 Exhibit 4.8 IMMUNOCELLULAR THERAPEUTICS, LTD. Issuer AND [TRUSTEE], Trustee INDENTURE Dated as of [●], 20 Debt Securities Table of Contents Page ARTICLE 1 DEFINITIONS 1 Section 1.01 Definitions of Terms 1 ARTICLE 2 ISSUE, DESCRIPTION, TERMS, EXECUTION, REGISTRATION AND EXCHANGE OF SECURITIES 4 Section 2.01 Designation and Terms of Securities 4 Section 2.02 Form of S |
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| December 30, 2015 |
EX-4.10 3 d42330dex410.htm EX-4.10 Exhibit 4.10 IMMUNOCELLULAR THERAPEUTICS, LTD. AND , AS WARRANT AGENT COMMON STOCK WARRANT AGREEMENT DATED AS OF IMMUNOCELLULAR THERAPEUTICS, LTD. COMMON STOCK WARRANT AGREEMENT THIS COMMON STOCK WARRANT AGREEMENT (this “Agreement”), dated as of [•], between IMMUNOCELLULAR THERAPEUTICS, LTD., a Delaware corporation (the “Company”) and [•], a [corporation] [nation |
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| December 30, 2015 |
EX-4.11 4 d42330dex411.htm EX-4.11 Exhibit 4.11 IMMUNOCELLULAR THERAPEUTICS, LTD. AND , AS WARRANT AGENT PREFERRED STOCK WARRANT AGREEMENT DATED AS OF IMMUNOCELLULAR THERAPEUTICS, LTD. PREFERRED STOCK WARRANT AGREEMENT THIS PREFERRED STOCK WARRANT AGREEMENT (this “Agreement”), dated as of [•], between IMMUNOCELLULAR THERAPEUTICS, LTD., a Delaware corporation (the “Company”) and [•], a [corporation |
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| December 30, 2015 |
As filed with the Securities and Exchange Commission on December 30, 2015 S-3 1 d42330ds3.htm S-3 Table of Contents As filed with the Securities and Exchange Commission on December 30, 2015 Registration No. 333- UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM S-3 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 IMMUNOCELLULAR THERAPEUTICS, LTD. (Exact name of Registrant as specified in its charter) Delaware 93-1301885 (State or other |
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| November 25, 2015 |
ImmunoCellular Therapeutics FORM 8-K (Current Report/Significant Event) Form 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 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 24, 2015 IMMUNOCELLULAR THERAPEUTICS, LTD. |
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| November 25, 2015 |
IMUC ICT-107 Program Conference Call Script November 24, 2015 EX-99.1 Exhibit 99.1 IMUC ICT-107 Program Conference Call Script November 24, 2015 Welcome/Introduction/Disclaimer Good afternoon. Welcome to ImmunoCellular Therapeutics? conference call to discuss the company?s ICT-107 program. Today?s call is being recorded and is also available via webcast. Hosting today?s call is Chief Executive Officer, Andrew Gengos. Following this introduction, Mr. Gengos w |
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| November 23, 2015 |
ImmunoCellular Therapeutics 8-K (Current Report/Significant Event) 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 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 20, 2015 IMMUNOCELLULAR THERAPEUTICS, LTD. |
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| November 23, 2015 |
EX-99.1 Exhibit 99.1 Contact: ImmunoCellular Therapeutics, Ltd. Investor Relations Jane Green 415.348.0010 direct 415.652.4819 mobile [email protected] ImmunoCellular Therapeutics Presents Updated ICT-107 Phase 2 Survival and Immune Response Data at the Society for Neuro-Oncology Annual Meeting 2015 Data support phase 3 registration trial incorporating key design modifications to potentially optimi |
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| November 19, 2015 |
ImmunoCellular Therapeutics FORM 8-K (Current Report/Significant Event) Form 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 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 16, 2015 IMMUNOCELLULAR THERAPEUTICS, LTD. |
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| November 19, 2015 |
EX-3.1 Exhibit 3.1 CERTIFICATE OF AMENDMENT OF AMENDED AND RESTATED CERTIFICATE OF INCORPORATION OF IMMUNOCELLULAR THERAPEUTICS, LTD. (Under Section 242 of the General Corporation Law of the State of Delaware) ImmunoCellular Therapeutics, Ltd., a corporation organized and existing under the laws of the State of Delaware, hereby certifies as follows: FIRST. The name of the corporation is ImmunoCell |
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| November 10, 2015 |
EX-99.1 Exhibit 99.1 Contact: ImmunoCellular Therapeutics, Ltd. Investor Relations Jane Green 415.348.0010 direct 415.652.4819 mobile [email protected] ImmunoCellular Therapeutics Announces Third Quarter 2015 Financial Results ICT-107 Phase 3 Registration Trial Expected to be Initiated in November Los Angeles, CA ? November 10, 2015 ? ImmunoCellular Therapeutics, Ltd. (?ImmunoCellular?) (NYSE MKT: |
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| November 10, 2015 |
ImmunoCellular Therapeutics 8-K (Current Report/Significant Event) 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 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 10, 2015 IMMUNOCELLULAR THERAPEUTICS, LTD. |
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| November 9, 2015 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q 10-Q 1 imuc-10q20150930.htm 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2015 or ¨ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission file number 001-35560 ImmunoC |
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| November 9, 2015 |
[ * ] = Certain confidential information contained in this document, marked by brackets, has been omitted and filed separately with the Securities and Exchange Commission pursuant to Rule 24b-2 of the Securities Exchange Act of 1934, as amended. |
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| November 9, 2015 |
EX-10.2 3 imuc-ex10216.htm EX-10.2 Exhibit 10.2 ImmunoCellular Therapeutics, Ltd. EMPLOYMENT AGREEMENT for David Fractor This Employment Agreement (the “Agreement”) is made between ImmunoCellular Therapeutics, Ltd. (the “Company”) and David Fractor (“Executive”) (collectively, the “Parties”), effective as of the date signed by all Parties (the “Effective Date”). Whereas, Executive is a current exe |
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| October 30, 2015 |
Financial Statements and Exhibits, Other Events 8-K 1 d36494d8k.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 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 29, 2015 IMMUNOCELLULAR THERAPEUTICS, LTD. (Exact name of Company as specified in its charter) Delaware 001-35560 93-1301885 (State or other jurisdiction |
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| October 30, 2015 |
YOUR IMMEDIATE ACTION IS REQUESTED EX-99.1 Exhibit 99.1 YOUR IMMEDIATE ACTION IS REQUESTED Dear Fellow Stockholder: We recently mailed proxy materials to you for the 2015 ImmunoCellular Therapeutics, Ltd. Special Meeting scheduled to be held on November 16, 2015. At the time of the mailing of this reminder letter, our records indicate you have not yet voted your shares. If you already have voted, we thank you for your prompt respon |
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| October 7, 2015 |
ImmunoCellular Therapeutics 8-K (Current Report/Significant Event) 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 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 1, 2015 IMMUNOCELLULAR THERAPEUTICS, LTD. |
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| October 6, 2015 |
ImmunoCellular Therapeutics DEF 14A DEF 14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant x Filed by a Party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? Confidential, For Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) x Definitive Pro |
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| September 24, 2015 |
ImmunoCellular Therapeutics FORM 8-K (Current Report/Significant Event) Form 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 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): September 18, 2015 IMMUNOCELLULAR THERAPEUTICS, LTD. |
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| September 22, 2015 |
ImmunoCellular Therapeutics PRE 14A PRE 14A 1 d68773dpre14a.htm PRE 14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant x Filed by a Party other than the Registrant ¨ Check the appropriate box: x Preliminary Proxy Statement ¨ Confidential, For Use of the Commission Only (as permitted by Rule 1 |
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| September 22, 2015 |
POWER OF ATTORNEY Know all by these presents, that the undersigned hereby constitutes and appoints each of David Biener, Carlton Fleming and Glen Y. |
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| September 22, 2015 |
POWER OF ATTORNEY Know all by these presents, that the undersigned hereby constitutes and appoints each of David Biener, Carlton Fleming and Glen Y. |
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| September 16, 2015 |
ImmunoCellular Therapeutics 8-K (Current Report/Significant Event) 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 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): September 15, 2015 IMMUNOCELLULAR THERAPEUTICS, LTD. |
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| September 14, 2015 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 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): September 14, 2015 IMMUNOCELLULAR THERAPEUTICS, LTD. |
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| August 26, 2015 |
EX-99.1 Exhibit 99.1 Contact: ImmunoCellular Therapeutics, Ltd. Investor Relations Jane Green 415.348.0010 direct 415.652.4819 mobile [email protected] ImmunoCellular Therapeutics Issues Letter to Shareholders, Highlighting Progress on Advancing ICT-107 to Phase 3 Registrational Trial Los Angeles, CA ? August 21, 2015 ? ImmunoCellular Therapeutics, Ltd. (?ImmunoCellular?) (NYSE MKT: IMUC) today iss |
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| August 26, 2015 |
ImmunoCellular Therapeutics 8-K (Current Report/Significant Event) 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 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): August 21, 2015 IMMUNOCELLULAR THERAPEUTICS, LTD. |
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| August 17, 2015 |
ImmunoCellular Therapeutics FORM 8-K (Current Report/Significant Event) Form 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 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): August 14, 2015 IMMUNOCELLULAR THERAPEUTICS, LTD. |
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| August 14, 2015 |
Financial Statements and Exhibits, Other Events Form 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 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): August 13, 2015 IMMUNOCELLULAR THERAPEUTICS, LTD. |
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| August 14, 2015 |
EX-99.1 Exhibit 99.1 Contact: ImmunoCellular Therapeutics, Ltd. Investor Relations Jane Green 415.348.0010 direct 415.652.4819 mobile [email protected] ImmunoCellular Therapeutics Reaches Agreement with FDA on Special Protocol Assessment (SPA) for ICT-107 Phase 3 Registrational Trial in Glioblastoma Los Angeles, CA ? August 13, 2015 ? ImmunoCellular Therapeutics, Ltd. (?ImmunoCellular?) (NYSE MKT: |
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| August 7, 2015 |
EX-10.3 4 imuc-ex103126.htm EX-10.3 [ * ] = Certain confidential information contained in this document, marked by brackets, has been omitted and filed separately with the Securities and Exchange Commission pursuant to Rule 24b-2 of the Securities Exchange Act of 1934, as amended. Exhibit 10.3 CONFIDENTIAL SERVICES AGREEMENT This Services Agreement (the “Agreement”) dated as of June 11, 2015 (the |
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| August 7, 2015 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q 10-Q 1 imuc-10q20150630.htm 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2015 or ¨ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission file number 001-35560 ImmunoCellul |
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| August 7, 2015 |
Exhibit 10.1 ImmunoCellular Therapeutics, Ltd. Restricted Stock Unit Grant Notice (2006 Equity Incentive Plan) ImmunoCellular Therapeutics, Ltd. (the ?Company?), pursuant to Section 8.1.2 of the Company?s 2006 Equity Incentive Plan (the ?Plan?), hereby grants to Participant an award of shares of the Company?s Common Stock (?Restricted Stock Units?) under the terms set forth below (the ?Award?). Th |
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| August 7, 2015 |
EX-10.2 3 imuc-ex102125.htm EX-10.2 [ * ] = Certain confidential information contained in this document, marked by brackets, has been omitted and filed separately with the Securities and Exchange Commission pursuant to Rule 24b-2 of the Securities Exchange Act of 1934, as amended. Exhibit 10.2 CONFIDENTIAL AMENDED & RESTATED EXCLUSIVE LICENSE AGREEMENT THIS AMENDED & RESTATED EXCLUSIVE LICENSE AGR |
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| August 6, 2015 |
EX-99.1 Exhibit 99.1 Contact: ImmunoCellular Therapeutics, Ltd. Investor Relations Jane Green 415.348.0010 direct 415.652.4819 mobile [email protected] ImmunoCellular Therapeutics Announces Second Quarter 2015 Financial Results ICT-107 Phase 3 Registration Trial to Begin Late Third Quarter or Early Fourth Quarter 2015; Stem-to-T-cell Program Advancing Los Angeles, CA ? August 6, 2015 ? ImmunoCellul |
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| August 6, 2015 |
ImmunoCellular Therapeutics FORM 8-K (Current Report/Significant Event) Form 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 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): August 6, 2015 IMMUNOCELLULAR THERAPEUTICS, LTD. |
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| July 2, 2015 |
ImmunoCellular Therapeutics FORM 8-K (Current Report/Significant Event) Form 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 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 26, 2015 IMMUNOCELLULAR THERAPEUTICS, LTD. |
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| June 18, 2015 |
EX-99.1 Exhibit 99.1 Contact: For ImmunoCellular Therapeutics, Ltd. Jane Green Investor Relations 415.348.0010 [email protected] ImmunoCellular Therapeutics Enters into Manufacturing Agreement with PCT LLC, a Caladrius Company, for US Production of ICT-107 for Phase 3 Registration Trial Los Angeles, CA June 15, 2015 ImmunoCellular Therapeutics, Ltd. (ImmunoCellular) (NYSE MKT: IMUC) announced |
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| June 18, 2015 |
ImmunoCellular Therapeutics FORM 8-K (Current Report/Significant Event) Form 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 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 12, 2015 IMMUNOCELLULAR THERAPEUTICS, LTD. |
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| May 19, 2015 |
ImmunoCellular Therapeutics FORM 8-K (Current Report/Significant Event) Form 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 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): May 13, 2015 IMMUNOCELLULAR THERAPEUTICS, LTD. |
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| May 11, 2015 |
EX-10.2 4 imuc-ex10220150331201.htm EX-10.2 [ * ] = Certain confidential information contained in this document, marked by brackets, has been omitted and filed separately with the Securities and Exchange Commission pursuant to Rule 24b-2 of the Securities Exchange Act of 1934, as amended. Exhibit 10.2 Agreement for GMP Manufacturing of ICT-107 Between PharmaCell B.V. and ImmunoCellular Therapeutic |
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| May 11, 2015 |
EX-10.1 3 imuc-ex10120150331104.htm EX-10.1 Exhibit 10.1 ImmunoCellular Therapeutics, Ltd. EMPLOYMENT AGREEMENT for Steven J. Swanson This Employment Agreement (the “Agreement”) is made between ImmunoCellular Therapeutics, Ltd. (the “Company”) and Steven J. Swanson (the “Executive”) (collectively, the “Parties”). Whereas, the Company desires for Executive to provide services to the Company, and wi |
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| May 11, 2015 |
EX-99.1 Exhibit 99.1 Contact: ImmunoCellular Therapeutics, Ltd. Investor Relations Jane Green 415.348.0010 direct 415.652.4819 mobile [email protected] ImmunoCellular Therapeutics Announces First Quarter 2015 Financial Results Phase 3 Registration Trial for ICT-107 to Initiate in Second Half of 2015; Financial Results Conference Call to be Held on May 12, 2015 Los Angeles, CA ? May 11, 2015 ? Immun |
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| May 11, 2015 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q 10-Q 1 imuc-10q20150331.htm 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2015 or ¨ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission file number 001-35560 ImmunoCellu |
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| May 11, 2015 |
Financial Statements and Exhibits, Results of Operations and Financial Condition 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 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): May 11, 2015 IMMUNOCELLULAR THERAPEUTICS, LTD. |
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| May 11, 2015 |
Form of Warrant to Purchase Common Stock, originally issued in February 2015 EX-4.1 2 imuc-ex4120150331103.htm EX-4.1 Exhibit 4.1 COMMON STOCK PURCHASE WARRANT immunocellular THERAPEUTICS, ltd. Warrant No. : 02-2015- Warrant Shares: Initial Exercise Date: February 18, 2015 THIS COMMON STOCK PURCHASE WARRANT (the “Warrant”) certifies that, for value received, or its assigns (the “Holder”) is entitled, upon the terms and subject to the limitations on exercise and the conditi |
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| April 30, 2015 |
ImmunoCellular Therapeutics DEF 14A DEF 14A 1 d917123ddef14a.htm DEF 14A Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant x Filed by a Party other than the Registrant ¨ Check the appropriate box: ¨ Preliminary Proxy Statement ¨ Confidential, For Use of the Commission Only (as |
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| April 17, 2015 |
ImmunoCellular Therapeutics PRE 14A PRE 14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant x Filed by a Party other than the Registrant ¨ Check the appropriate box: x Preliminary Proxy Statement ¨ Confidential, For Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ¨ Definitive Pro |
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| April 17, 2015 |
ImmunoCellular Therapeutics FORM 8-K (Current Report/Significant Event) Form 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 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): April 14, 2015 IMMUNOCELLULAR THERAPEUTICS, LTD. |
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| March 25, 2015 |
EX-99.1 Exhibit 99.1 Contact: ImmunoCellular Therapeutics, Ltd. Investor Relations Jane Green 415.348.0010 direct 415.652.4819 mobile [email protected] PharmaCell B.V. Chief Executive Officer Alexander Vos +31 43 350 99 10 [email protected] ImmunoCellular Therapeutics Establishes Manufacturing Agreement with PharmaCell B.V. for European Production of ICT-107 for Phase 3 Registration Trial Los Ang |
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| March 25, 2015 |
ImmunoCellular Therapeutics FORM 8-K (Current Report/Significant Event) Form 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 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): March 13, 2015 IMMUNOCELLULAR THERAPEUTICS, LTD. |
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| March 10, 2015 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K 10-K 1 imuc-10k20141231.htm 10-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K x ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2014 or ¨ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 00 |
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| March 9, 2015 |
ImmunoCellular Therapeutics 8-K (Current Report/Significant Event) 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 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): March 9, 2015 IMMUNOCELLULAR THERAPEUTICS, LTD. |
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| March 9, 2015 |
EX-99.1 2 d889397dex991.htm EX-99.1 Exhibit 99.1 Contact: ImmunoCellular Therapeutics, Ltd. Investor Relations Jane Green 415.348.0010 direct 415.652.4819 mobile [email protected] ImmunoCellular Therapeutics Announces Fourth Quarter and Full Year 2014 Financial Results ICT-107 Poised to Begin Phase 3 Registration Trial in Second Half of 2015; Business Update Conference Call to be Held on March 12, |
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| February 20, 2015 |
CUSIP No. 452536105 13G SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G (Rule 13d-102) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO § 240.13d-1(b), (c) AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO § 240.13d-2. (Amendment No. )* ImmunoCellular Therapeutics, Ltd. (Name of Issuer) Common Stock, $.0001 par value per share (Title of Class of Securities) 45253610 |
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| February 12, 2015 |
IMUC / ImmunoCellular Therapeutics, Ltd. POS AM - - POST-EFFECTIVE AMENDMENT NO. 1 Post-Effective Amendment No. 1 As filed with the U.S. Securities and Exchange Commission on February 12, 2015. Registration No. 333-200874 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 POST-EFFECTIVE AMENDMENT NO. 1 TO FORM S-1 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 IMMUNOCELLULAR THERAPEUTICS, LTD. (Exact name of registrant as specified in its charter) D |
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| February 12, 2015 |
26,650,000 Shares of Common Stock Warrants to Purchase 18,655,000 Shares of Common Stock 424B4 1 d836973d424b4.htm 424B4 Table of Contents Filed Pursuant to Rule 424(b)(4) Registration No. 333-200874 Prospectus 26,650,000 Shares of Common Stock Warrants to Purchase 18,655,000 Shares of Common Stock We are offering 26,650,000 shares of our common stock and warrants to purchase 18,655,000 shares of our common stock. Each share of our common stock is being sold together with 0.70 of a wa |
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| February 11, 2015 |
COMMON STOCK PURCHASE WARRANT IMMUNOCELLULAR, LTD. Warrant Shares: Initial Exercise Date: , 2015 EX-4.10 4 d836973dex410.htm EX-4.10 Exhibit 4.10 COMMON STOCK PURCHASE WARRANT IMMUNOCELLULAR, LTD. Warrant Shares: Initial Exercise Date: , 2015 THIS COMMON STOCK PURCHASE WARRANT (the “Warrant”) certifies that, for value received, or its assigns (the “Holder”) is entitled, upon the terms and subject to the limitations on exercise and the conditions hereinafter set forth, at any time on or after |
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| February 11, 2015 |
COMMON STOCK PURCHASE WARRANT IMMUNOCELLULAR, LTD. Warrant Shares: Initial Exercise Date: , 2015 EX-4.9 3 d836973dex49.htm EX-4.9 Exhibit 4.9 COMMON STOCK PURCHASE WARRANT IMMUNOCELLULAR, LTD. Warrant Shares: Initial Exercise Date: , 2015 THIS COMMON STOCK PURCHASE WARRANT (the “Warrant”) certifies that, for value received, or its assigns (the “Holder”) is entitled, upon the terms and subject to the limitations on exercise and the conditions hereinafter set forth, at any time on or after the |
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| February 11, 2015 |
IMUC / ImmunoCellular Therapeutics, Ltd. S-1/A - - AMENDMENT NO. 3 TO FORM S-1 S-1/A 1 d836973ds1a.htm AMENDMENT NO. 3 TO FORM S-1 Table of Contents As filed with the Securities and Exchange Commission on February 11, 2015 Registration No. 333-200874 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Amendment No. 3 to FORM S-1 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 IMMUNOCELLULAR THERAPEUTICS, LTD. (Exact name of registrant as specified |
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| February 11, 2015 |
EX-1.1 2 d836973dex11.htm EX-1.1 Exhibit 1.1 IMMUNOCELLULAR THERAPEUTICS, LTD. — Shares of Common Stock Warrants to Purchase Up to — Shares of Common Stock and Pre-Funded Warrants to Purchase Up to — Shares of Common Stock UNDERWRITING AGREEMENT February —, 2015 Roth Capital Partners, LLC 888 San Clemente Drive Newport Beach, CA 92660 Ladies and Gentlemen: ImmunoCellular Therapeutics, Ltd., a Dela |
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| February 10, 2015 |
IMUC / ImmunoCellular Therapeutics, Ltd. S-1/A - - AMENDMENT NO. 2 TO FORM S-1 S-1/A 1 d836973ds1a.htm AMENDMENT NO. 2 TO FORM S-1 Table of Contents As filed with the Securities and Exchange Commission on February 10, 2015 Registration No. 333-200874 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Amendment No. 2 to FORM S-1 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 IMMUNOCELLULAR THERAPEUTICS, LTD. (Exact name of registrant as specified |
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| February 10, 2015 |
COMMON STOCK PURCHASE WARRANT IMMUNOCELLULAR, LTD. Warrant Shares: Initial Exercise Date: , 2015 EX-4.10 Exhibit 4.10 COMMON STOCK PURCHASE WARRANT IMMUNOCELLULAR, LTD. Warrant Shares: Initial Exercise Date: , 2015 THIS COMMON STOCK PURCHASE WARRANT (the “Warrant”) certifies that, for value received, or its assigns (the “Holder”) is entitled, upon the terms and subject to the limitations on exercise and the conditions hereinafter set forth, at any time on or after the date hereof (the “Initia |
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| February 10, 2015 |
EX-1.1 2 d836973dex11.htm EX-1.1 Exhibit 1.1 IMMUNOCELLULAR THERAPEUTICS, LTD. — Shares of Common Stock Warrants to Purchase Up to — Shares of Common Stock and Pre-Funded Warrants to Purchase Up to — Shares of Common Stock UNDERWRITING AGREEMENT February —, 2015 Roth Capital Partners, LLC 888 San Clemente Drive Newport Beach, CA 92660 Ladies and Gentlemen: ImmunoCellular Therapeutics, Ltd., a Dela |
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| February 10, 2015 |
COMMON STOCK PURCHASE WARRANT IMMUNOCELLULAR, LTD. Warrant Shares: Initial Exercise Date: , 2015 EX-4.9 3 d836973dex49.htm EX-4.9 Exhibit 4.9 COMMON STOCK PURCHASE WARRANT IMMUNOCELLULAR, LTD. Warrant Shares: Initial Exercise Date: , 2015 THIS COMMON STOCK PURCHASE WARRANT (the “Warrant”) certifies that, for value received, or its assigns (the “Holder”) is entitled, upon the terms and subject to the limitations on exercise and the conditions hereinafter set forth, at any time on or after the |
