Statistik Asas
| LEI | 549300QM7HB5DN00PI52 |
| CIK | 1029125 |
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 Panbela Therapeutics, Inc.
SEC Filings (Chronological Order)
Halaman ini menyediakan senarai kronologi lengkap bagi Pemfailan SEC, tidak termasuk pemfailan pemilikan yang kami sediakan di tempat lain.
| February 18, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 February 12, 2025 Date of Report (Date of Earliest Event Reported) Panbela Therapeutics, Inc. (Exact Name of Registrant as Specified in its Charter) Delaware 001-39468 88-2805017 (State of Incorporation) (Commission File Number) (I.R |
|
| February 4, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 January 29, 2025 Date of Report (Date of Earliest Event Reported) Panbela Therapeutics, Inc. (Exact Name of Registrant as Specified in its Charter) Delaware 001-39468 88-2805017 (State of Incorporation) (Commission File Number) (I.R. |
|
| February 4, 2025 |
Exhibit 10.1 January 29, 2025 [Name] [Address] Dear [●]: Panbela Therapeutics, Inc. (the “Company”) thanks you for your past service. We consider your continued service and dedication to the Company essential to our success. To incentivize you to remain employed with the Company we are pleased to offer you a revised retention bonus as described in this letter agreement. In appreciation of your pas |
|
| January 22, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 January 20, 2025 Date of Report (Date of Earliest Event Reported) Panbela Therapeutics, Inc. (Exact Name of Registrant as Specified in its Charter) Delaware 001-39468 88-2805017 (State of Incorporation) (Commission File Number) (I.R. |
|
| January 10, 2025 |
Exhibit 107 Calculation of Registration Fee FORM S-8 (Form Type) PANBELA THERAPEUTICS, INC. |
|
| January 10, 2025 |
As filed with the Securities and Exchange Commission on January 10, 2025. As filed with the Securities and Exchange Commission on January 10, 2025. Registration No. 333‑ UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. C. 20549 Form S-8 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 PANBELA THERAPEUTICS, INC. (Exact Name of Registrant as Specified in its Charter) Delaware 88-2805017 (State or other jurisdiction of incorporation or organization) ( |
|
| November 18, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 November 15, 2024 Date of Report (Date of Earliest Event Reported) Panbela Therapeutics, Inc. (Exact Name of Registrant as Specified in its Charter) Delaware 001-39468 88-2805017 (State of Incorporation) (Commission File Number) (I.R |
|
| November 18, 2024 |
Filed pursuant to Rule 424(b)(3) Registration No. 333-271729 PROSPECTUS SUPPLEMENT NO. 6 (to Prospectus dated June 16, 2023) 2,270,000 Shares of Common Stock Class A Common Warrants to purchase up to 2,270,000 Shares of Common Stock Class B Common Warrants to purchase up to 2,270,000 Shares of Common Stock Pre-Funded Warrants to purchase up to 2,270,000 Shares of Common Stock Up to 6,810,000 Share |
|
| November 18, 2024 |
255,600 Shares of Common Stock Offered by Selling Securityholders Filed pursuant to Rule 424(b)(3) Registration No. 333-278403 PROSPECTUS SUPPLEMENT NO. 6 (to Prospectus dated April 15, 2024) 255,600 Shares of Common Stock Offered by Selling Securityholders This prospectus supplement supplements the prospectus with an effective date of April 15, 2024 (the “Prospectus”), which forms a part of our registration statement on Form S-1 (No. 333-278403). This prospectu |
|
| November 18, 2024 |
Filed pursuant to Rule 424(b)(3) Registration No. 333-267000 PROSPECTUS SUPPLEMENT NO. 6 (to Prospectus dated September 29, 2022) 20,100,000 Shares of Common Stock Warrants to purchase up to 30,150,000 Shares of Common Stock Pre-Funded Warrants to purchase up to 20,100,000 Shares of Common Stock This prospectus supplement supplements the prospectus dated September 29, 2022 (the “Prospectus”), whic |
|
| November 18, 2024 |
4,776,038 Shares of Common Stock Underlying Previously Issued Warrants Filed pursuant to Rule 424(b)(3) Registration No. 333-269711 PROSPECTUS SUPPLEMENT NO. 6 (to Prospectus dated March 23, 2023) 4,776,038 Shares of Common Stock Underlying Previously Issued Warrants This prospectus supplement supplements the prospectus dated March 23, 2023 (the “Prospectus”), which forms a part of our registration statement on Form S-1 (No. 333-269711). This prospectus supplement is |
|
| November 18, 2024 |
2,433,861 Shares of Common Stock Underlying Previously Issued Warrants Filed pursuant to Rule 424(b)(3) Registration No. 333-239661 PROSPECTUS SUPPLEMENT NO. 6 (to Prospectus dated June 24, 2022) 2,433,861 Shares of Common Stock Underlying Previously Issued Warrants This prospectus supplement supplements the prospectus dated June 24, 2022 (the “Prospectus”), which forms a part of our registration statement on Form S-1 (No. 333-239661). This prospectus supplement is b |
|
| November 18, 2024 |
8,750,000 Shares of Common Stock underlying previously issued Warrants Filed pursuant to Rule 424(b)(3) Registration No. 333-276367 PROSPECTUS SUPPLEMENT NO. 6 (to Prospectus dated April 2, 2024) 8,750,000 Shares of Common Stock underlying previously issued Warrants This prospectus supplement supplements the prospectus dated April 2, 2024 (the “Prospectus”), which forms a part of our registration statement on Form S-1 (No. 333-276367). This prospectus supplement is b |
|
| November 18, 2024 |
PANBELA THERAPEUTICS, INC. SENIOR CONVERTIBLE PROMISSORY TRANCHE B NOTE Exhibit 10.1 Execution Version THIS NOTE AND THE SECURITIES ISSUABLE UPON THE CONVERSION OF THIS CONVERTIBLE PROMISSORY NOTE HAVE NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE “ACT”), OR ANY APPLICABLE STATE SECURITIES LAWS, AND MAY NOT BE SOLD, PLEDGED, OFFERED FOR SALE, OR OTHERWISE TRANSFERRED, PLEDGED OR HYPOTHECATED WITHOUT AN EFFECTIVE REGISTRATION THEREOF UNDER THE A |
|
| November 18, 2024 |
4,260,000 Shares of Common Stock Offered by Selling Securityholders Filed pursuant to Rule 424(b)(3) Registration No. 333-275733 PROSPECTUS SUPPLEMENT NO. 6 (to Prospectus dated December 20, 2023) 4,260,000 Shares of Common Stock Offered by Selling Securityholders This prospectus supplement supplements the prospectus dated December 20, 2023 (the “Prospectus”), which forms a part of our registration statement on Form S-1 (No. 333-275733). This prospectus supplement |
|
| November 15, 2024 |
Filed pursuant to Rule 424(b)(3) Registration No. 333-271729 PROSPECTUS SUPPLEMENT NO. 5 (to Prospectus dated June 16, 2023) 2,270,000 Shares of Common Stock Class A Common Warrants to purchase up to 2,270,000 Shares of Common Stock Class B Common Warrants to purchase up to 2,270,000 Shares of Common Stock Pre-Funded Warrants to purchase up to 2,270,000 Shares of Common Stock Up to 6,810,000 Share |
|
| November 15, 2024 |
Filed pursuant to Rule 424(b)(3) Registration No. 333-267000 PROSPECTUS SUPPLEMENT NO. 5 (to Prospectus dated September 29, 2022) 20,100,000 Shares of Common Stock Warrants to purchase up to 30,150,000 Shares of Common Stock Pre-Funded Warrants to purchase up to 20,100,000 Shares of Common Stock This prospectus supplement supplements the prospectus dated September 29, 2022 (the “Prospectus”), whic |
|
| November 15, 2024 |
8,750,000 Shares of Common Stock underlying previously issued Warrants Filed pursuant to Rule 424(b)(3) Registration No. 333-276367 PROSPECTUS SUPPLEMENT NO. 5 (to Prospectus dated April 2, 2024) 8,750,000 Shares of Common Stock underlying previously issued Warrants This prospectus supplement supplements the prospectus dated April 2, 2024 (the “Prospectus”), which forms a part of our registration statement on Form S-1 (No. 333-276367). This prospectus supplement is b |
|
| November 15, 2024 |
4,776,038 Shares of Common Stock Underlying Previously Issued Warrants Filed pursuant to Rule 424(b)(3) Registration No. 333-269711 PROSPECTUS SUPPLEMENT NO. 5 (to Prospectus dated March 23, 2023) 4,776,038 Shares of Common Stock Underlying Previously Issued Warrants This prospectus supplement supplements the prospectus dated March 23, 2023 (the “Prospectus”), which forms a part of our registration statement on Form S-1 (No. 333-269711). This prospectus supplement is |
|
| November 15, 2024 |
255,600 Shares of Common Stock Offered by Selling Securityholders Filed pursuant to Rule 424(b)(3) Registration No. 333-278403 PROSPECTUS SUPPLEMENT NO. 5 (to Prospectus dated April 15, 2024) 255,600 Shares of Common Stock Offered by Selling Securityholders This prospectus supplement supplements the prospectus with an effective date of April 15, 2024 (the “Prospectus”), which forms a part of our registration statement on Form S-1 (No. 333-278403). This prospectu |
|
| November 15, 2024 |
4,260,000 Shares of Common Stock Offered by Selling Securityholders Filed pursuant to Rule 424(b)(3) Registration No. 333-275733 PROSPECTUS SUPPLEMENT NO. 5 (to Prospectus dated December 20, 2023) 4,260,000 Shares of Common Stock Offered by Selling Securityholders This prospectus supplement supplements the prospectus dated December 20, 2023 (the “Prospectus”), which forms a part of our registration statement on Form S-1 (No. 333-275733). This prospectus supplement |
|
| November 15, 2024 |
2,433,861 Shares of Common Stock Underlying Previously Issued Warrants Filed pursuant to Rule 424(b)(3) Registration No. 333-239661 PROSPECTUS SUPPLEMENT NO. 5 (to Prospectus dated June 24, 2022) 2,433,861 Shares of Common Stock Underlying Previously Issued Warrants This prospectus supplement supplements the prospectus dated June 24, 2022 (the “Prospectus”), which forms a part of our registration statement on Form S-1 (No. 333-239661). This prospectus supplement is b |
|
| November 14, 2024 |
Subordination Agreement, dated as of August 19, 2024 Exhibit 10.6 SUBORDINATION AGREEMENT THIS SUBORDINATION AGREEMENT (“Agreement”) is executed as of the 19th day of August, 2024 (the “Effective Date”), by Michael T. Cullen, a natural person (the “Junior Lender”), and PANBELA THERAPEUTICS, INC., a Delaware corporation (the “Borrower”), in favor and for the benefit of USWM, LLC, a Delaware limited liability company (together with its successors and |
|
| November 14, 2024 |
Panbela Provides Business Update and Reports Q3 2024 Financial Results Exhibit 99.1 Panbela Provides Business Update and Reports Q3 2024 Financial Results MINNEAPOLIS, November 13, 2024 (GLOBE NEWSWIRE) - Panbela Therapeutics, Inc. (OTCQB: PBLA), a clinical stage company developing disruptive therapeutics for the treatment of patients with urgent unmet medical needs, today provides a business update and reports financial results for the quarter ended September 30, 20 |
|
| November 14, 2024 |
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 September 30, 2024 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 No.: 001-39468 Panbel |
|
| November 14, 2024 |
Exhibit 10.4 WAIVER This WAIVER (this “Waiver”) is entered into as of October 2, 2024, by and among Panbela Therapeutics, Inc., a Delaware corporation, together with its wholly-owned subsidiary, Cancer Prevention Pharmaceuticals, Inc., with an address of 712 Vista Boulevard, Suite 305, Waconia, Minnesota 55387 (together, the “Borrower”) and USWM, LLC, a Delaware limited liability company with an a |
|
| November 14, 2024 |
Subordinated Promissory Note, dated as of August 19, 2024 Exhibit 10.5 THIS SUBORDINATED PROMISSORY NOTE IS SUBJECT TO THE SUBORDINATION AGREEMENT, DATED AS OF AUGUST 19, 2024, BY AND AMONG BORROWER, NOTEHOLDER AND USWM, LLC (“SUBORDINATION AGREEMENT”), UNDER WHICH THIS SUBORDINATED PROMISSORY NOTE AND THE NOTEHOLDER’S RIGHTS HEREUNDER ARE SUBORDINATED IN THE MATTER SET FORTH THEREIN SUBORDINATED PROMISSORY NOTE $50,000.00 Minneapolis, MN August 19, 2024 |
|
| November 14, 2024 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 November 14, 2024 Date of Report (Date of Earliest Event Reported) Panbela Therapeutics, Inc (Exact Name of Registrant as Specified in its Charter) Delaware 001-39468 88-2805017 (State of Incorporation) (Commission File Number) (I.R. |
|
| October 29, 2024 |
Exhibit 10.1 NOTE PURCHASE AGREEMENT This Note Purchase Agreement, dated as of October 22, 2024 (this “Agreement”), is entered into by and among PANBELA THERAPEUTICS INC., a Delaware corporation (the “Company”), and NANT CAPITAL, LLC, a Delaware limited liability company (the “Investor”). RECITALS A. On the terms and subject to the conditions set forth herein, Investor is willing to purchase from |
|
| October 29, 2024 |
Filed pursuant to Rule 424(b)(3) Registration No. 333-269711 PROSPECTUS SUPPLEMENT NO. 4 (to Prospectus dated June 16, 2023) 2,270,000 Shares of Common Stock Class A Common Warrants to purchase up to 2,270,000 Shares of Common Stock Class B Common Warrants to purchase up to 2,270,000 Shares of Common Stock Pre-Funded Warrants to purchase up to 2,270,000 Shares of Common Stock Up to 6,810,000 Share |
|
| October 29, 2024 |
Filed pursuant to Rule 424(b)(3) Registration No. 333-275733 PROSPECTUS SUPPLEMENT NO. 4 (to Prospectus dated June 16, 2023) 2,270,000 Shares of Common Stock Class A Common Warrants to purchase up to 2,270,000 Shares of Common Stock Class B Common Warrants to purchase up to 2,270,000 Shares of Common Stock Pre-Funded Warrants to purchase up to 2,270,000 Shares of Common Stock Up to 6,810,000 Share |
|
| October 29, 2024 |
Exhibit 10.3 Execution Version CONTINUING GUARANTY FOR VALUE RECEIVED, the sufficiency of which is hereby acknowledged, and in consideration of credit and/or financial accommodation heretofore or hereafter from time to time made or granted to PANBELA THERAPEUTICS, INC. (the “Borrower”) by NANT CAPITAL, LLC and its successors and assigns (collectively the “Lender”), the undersigned Guarantor (wheth |
|
| October 29, 2024 |
Exhibit 10.3 Execution Version CONTINUING GUARANTY FOR VALUE RECEIVED, the sufficiency of which is hereby acknowledged, and in consideration of credit and/or financial accommodation heretofore or hereafter from time to time made or granted to PANBELA THERAPEUTICS, INC. (the “Borrower”) by NANT CAPITAL, LLC and its successors and assigns (collectively the “Lender”), the undersigned Guarantor (wheth |
|
| October 29, 2024 |
Exhibit 10.1 NOTE PURCHASE AGREEMENT This Note Purchase Agreement, dated as of October 22, 2024 (this “Agreement”), is entered into by and among PANBELA THERAPEUTICS INC., a Delaware corporation (the “Company”), and NANT CAPITAL, LLC, a Delaware limited liability company (the “Investor”). RECITALS A. On the terms and subject to the conditions set forth herein, Investor is willing to purchase from |
|
| October 29, 2024 |
Exhibit 10.3 Execution Version CONTINUING GUARANTY FOR VALUE RECEIVED, the sufficiency of which is hereby acknowledged, and in consideration of credit and/or financial accommodation heretofore or hereafter from time to time made or granted to PANBELA THERAPEUTICS, INC. (the “Borrower”) by NANT CAPITAL, LLC and its successors and assigns (collectively the “Lender”), the undersigned Guarantor (wheth |
|
| October 29, 2024 |
Senior Convertible Promissory Tranche A Note issued to Nant Capital, LLC, dated October 22, 2024. Exhibit 10.2 Execution Version THIS NOTE AND THE SECURITIES ISSUABLE UPON THE CONVERSION OF THIS CONVERTIBLE PROMISSORY NOTE HAVE NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE “ACT”), OR ANY APPLICABLE STATE SECURITIES LAWS, AND MAY NOT BE SOLD, PLEDGED, OFFERED FOR SALE, OR OTHERWISE TRANSFERRED, PLEDGED OR HYPOTHECATED WITHOUT AN EFFECTIVE REGISTRATION THEREOF UNDER THE A |
|
| October 29, 2024 |
Exhibit 10.1 NOTE PURCHASE AGREEMENT This Note Purchase Agreement, dated as of October 22, 2024 (this “Agreement”), is entered into by and among PANBELA THERAPEUTICS INC., a Delaware corporation (the “Company”), and NANT CAPITAL, LLC, a Delaware limited liability company (the “Investor”). RECITALS A. On the terms and subject to the conditions set forth herein, Investor is willing to purchase from |
|
| October 29, 2024 |
Exhibit 10.1 NOTE PURCHASE AGREEMENT This Note Purchase Agreement, dated as of October 22, 2024 (this “Agreement”), is entered into by and among PANBELA THERAPEUTICS INC., a Delaware corporation (the “Company”), and NANT CAPITAL, LLC, a Delaware limited liability company (the “Investor”). RECITALS A. On the terms and subject to the conditions set forth herein, Investor is willing to purchase from |
|
| October 29, 2024 |
PBLA / Panbela Therapeutics, Inc. / Nant Capital, LLC - SC 13D Activist Investment SC 13D 1 d881414dsc13d.htm SC 13D UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 Panbela Therapeutics, Inc. (Name of Issuer) Common Stock, par value $0.001 per share (Title of Class of Securities) 69833W404 (CUSIP Number) Nant Capital, LLC Attn: Charles Kenworthy 450 Duley Road El Segundo, California 90245 (310) 836-64 |
|
| October 29, 2024 |
Filed pursuant to Rule 424(b)(3) Registration No. 333-276367 PROSPECTUS SUPPLEMENT NO. 4 (to Prospectus dated June 16, 2023) 2,270,000 Shares of Common Stock Class A Common Warrants to purchase up to 2,270,000 Shares of Common Stock Class B Common Warrants to purchase up to 2,270,000 Shares of Common Stock Pre-Funded Warrants to purchase up to 2,270,000 Shares of Common Stock Up to 6,810,000 Share |
|
| October 29, 2024 |
Exhibit 10.1 NOTE PURCHASE AGREEMENT This Note Purchase Agreement, dated as of October 22, 2024 (this “Agreement”), is entered into by and among PANBELA THERAPEUTICS INC., a Delaware corporation (the “Company”), and NANT CAPITAL, LLC, a Delaware limited liability company (the “Investor”). RECITALS A. On the terms and subject to the conditions set forth herein, Investor is willing to purchase from |
|
| October 29, 2024 |
Exhibit 10.1 NOTE PURCHASE AGREEMENT This Note Purchase Agreement, dated as of October 22, 2024 (this “Agreement”), is entered into by and among PANBELA THERAPEUTICS INC., a Delaware corporation (the “Company”), and NANT CAPITAL, LLC, a Delaware limited liability company (the “Investor”). RECITALS A. On the terms and subject to the conditions set forth herein, Investor is willing to purchase from |
|
| October 29, 2024 |
Senior Convertible Promissory Tranche A Note issued to Nant Capital, LLC, dated October 22, 2024. Exhibit 10.2 Execution Version THIS NOTE AND THE SECURITIES ISSUABLE UPON THE CONVERSION OF THIS CONVERTIBLE PROMISSORY NOTE HAVE NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE “ACT”), OR ANY APPLICABLE STATE SECURITIES LAWS, AND MAY NOT BE SOLD, PLEDGED, OFFERED FOR SALE, OR OTHERWISE TRANSFERRED, PLEDGED OR HYPOTHECATED WITHOUT AN EFFECTIVE REGISTRATION THEREOF UNDER THE A |
|
| October 29, 2024 |
EX-99.1 2 d881414dex991.htm EX-99.1 Exhibit 99.1 JOINT FILING AGREEMENT In accordance with Rule 13d-1(k)(1) promulgated under the Securities Exchange Act of 1934, as amended, the undersigned agree to the joint filing on behalf of each of them of a Schedule 13D (including any and all amendments thereto) with respect to the common stock, par value $0.001 per share, of Panbela Therapeutics, Inc., and |
|
| October 29, 2024 |
Senior Convertible Promissory Tranche A Note issued to Nant Capital, LLC, dated October 22, 2024. Exhibit 10.2 Execution Version THIS NOTE AND THE SECURITIES ISSUABLE UPON THE CONVERSION OF THIS CONVERTIBLE PROMISSORY NOTE HAVE NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE “ACT”), OR ANY APPLICABLE STATE SECURITIES LAWS, AND MAY NOT BE SOLD, PLEDGED, OFFERED FOR SALE, OR OTHERWISE TRANSFERRED, PLEDGED OR HYPOTHECATED WITHOUT AN EFFECTIVE REGISTRATION THEREOF UNDER THE A |
|
| October 29, 2024 |
Filed pursuant to Rule 424(b)(3) Registration No. 333-278403 PROSPECTUS SUPPLEMENT NO. 4 (to Prospectus dated June 16, 2023) 2,270,000 Shares of Common Stock Class A Common Warrants to purchase up to 2,270,000 Shares of Common Stock Class B Common Warrants to purchase up to 2,270,000 Shares of Common Stock Pre-Funded Warrants to purchase up to 2,270,000 Shares of Common Stock Up to 6,810,000 Share |
|
| October 29, 2024 |
Filed pursuant to Rule 424(b)(3) Registration No. 333-267000 PROSPECTUS SUPPLEMENT NO. 4 (to Prospectus dated June 16, 2023) 2,270,000 Shares of Common Stock Class A Common Warrants to purchase up to 2,270,000 Shares of Common Stock Class B Common Warrants to purchase up to 2,270,000 Shares of Common Stock Pre-Funded Warrants to purchase up to 2,270,000 Shares of Common Stock Up to 6,810,000 Share |
|
| October 29, 2024 |
Senior Convertible Promissory Tranche A Note issued to Nant Capital, LLC, dated October 22, 2024. Exhibit 10.2 Execution Version THIS NOTE AND THE SECURITIES ISSUABLE UPON THE CONVERSION OF THIS CONVERTIBLE PROMISSORY NOTE HAVE NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE “ACT”), OR ANY APPLICABLE STATE SECURITIES LAWS, AND MAY NOT BE SOLD, PLEDGED, OFFERED FOR SALE, OR OTHERWISE TRANSFERRED, PLEDGED OR HYPOTHECATED WITHOUT AN EFFECTIVE REGISTRATION THEREOF UNDER THE A |
|
| October 29, 2024 |
Exhibit 10.3 Execution Version CONTINUING GUARANTY FOR VALUE RECEIVED, the sufficiency of which is hereby acknowledged, and in consideration of credit and/or financial accommodation heretofore or hereafter from time to time made or granted to PANBELA THERAPEUTICS, INC. (the “Borrower”) by NANT CAPITAL, LLC and its successors and assigns (collectively the “Lender”), the undersigned Guarantor (wheth |
|
| October 29, 2024 |
Exhibit 10.1 NOTE PURCHASE AGREEMENT This Note Purchase Agreement, dated as of October 22, 2024 (this “Agreement”), is entered into by and among PANBELA THERAPEUTICS INC., a Delaware corporation (the “Company”), and NANT CAPITAL, LLC, a Delaware limited liability company (the “Investor”). RECITALS A. On the terms and subject to the conditions set forth herein, Investor is willing to purchase from |
|
| October 29, 2024 |
Filed pursuant to Rule 424(b)(3) Registration No. 333-239661 PROSPECTUS SUPPLEMENT NO. 4 (to Prospectus dated June 16, 2023) 2,270,000 Shares of Common Stock Class A Common Warrants to purchase up to 2,270,000 Shares of Common Stock Class B Common Warrants to purchase up to 2,270,000 Shares of Common Stock Pre-Funded Warrants to purchase up to 2,270,000 Shares of Common Stock Up to 6,810,000 Share |
|
| October 29, 2024 |
Senior Convertible Promissory Tranche A Note issued to Nant Capital, LLC, dated October 22, 2024. Exhibit 10.2 Execution Version THIS NOTE AND THE SECURITIES ISSUABLE UPON THE CONVERSION OF THIS CONVERTIBLE PROMISSORY NOTE HAVE NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE “ACT”), OR ANY APPLICABLE STATE SECURITIES LAWS, AND MAY NOT BE SOLD, PLEDGED, OFFERED FOR SALE, OR OTHERWISE TRANSFERRED, PLEDGED OR HYPOTHECATED WITHOUT AN EFFECTIVE REGISTRATION THEREOF UNDER THE A |
|
| October 29, 2024 |
Exhibit 10.3 Execution Version CONTINUING GUARANTY FOR VALUE RECEIVED, the sufficiency of which is hereby acknowledged, and in consideration of credit and/or financial accommodation heretofore or hereafter from time to time made or granted to PANBELA THERAPEUTICS, INC. (the “Borrower”) by NANT CAPITAL, LLC and its successors and assigns (collectively the “Lender”), the undersigned Guarantor (wheth |
|
| October 29, 2024 |
Filed pursuant to Rule 424(b)(3) Registration No. 333-271729 PROSPECTUS SUPPLEMENT NO. 4 (to Prospectus dated June 16, 2023) 2,270,000 Shares of Common Stock Class A Common Warrants to purchase up to 2,270,000 Shares of Common Stock Class B Common Warrants to purchase up to 2,270,000 Shares of Common Stock Pre-Funded Warrants to purchase up to 2,270,000 Shares of Common Stock Up to 6,810,000 Share |
|
| October 29, 2024 |
Senior Convertible Promissory Tranche A Note issued to Nant Capital, LLC, dated October 22, 2024. Exhibit 10.2 Execution Version THIS NOTE AND THE SECURITIES ISSUABLE UPON THE CONVERSION OF THIS CONVERTIBLE PROMISSORY NOTE HAVE NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE “ACT”), OR ANY APPLICABLE STATE SECURITIES LAWS, AND MAY NOT BE SOLD, PLEDGED, OFFERED FOR SALE, OR OTHERWISE TRANSFERRED, PLEDGED OR HYPOTHECATED WITHOUT AN EFFECTIVE REGISTRATION THEREOF UNDER THE A |
|
| October 29, 2024 |
Exhibit 10.3 Execution Version CONTINUING GUARANTY FOR VALUE RECEIVED, the sufficiency of which is hereby acknowledged, and in consideration of credit and/or financial accommodation heretofore or hereafter from time to time made or granted to PANBELA THERAPEUTICS, INC. (the “Borrower”) by NANT CAPITAL, LLC and its successors and assigns (collectively the “Lender”), the undersigned Guarantor (wheth |
|
| October 29, 2024 |
Exhibit 10.3 Execution Version CONTINUING GUARANTY FOR VALUE RECEIVED, the sufficiency of which is hereby acknowledged, and in consideration of credit and/or financial accommodation heretofore or hereafter from time to time made or granted to PANBELA THERAPEUTICS, INC. (the “Borrower”) by NANT CAPITAL, LLC and its successors and assigns (collectively the “Lender”), the undersigned Guarantor (wheth |
|
| October 29, 2024 |
Senior Convertible Promissory Tranche A Note issued to Nant Capital, LLC, dated October 22, 2024. Exhibit 10.2 Execution Version THIS NOTE AND THE SECURITIES ISSUABLE UPON THE CONVERSION OF THIS CONVERTIBLE PROMISSORY NOTE HAVE NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE “ACT”), OR ANY APPLICABLE STATE SECURITIES LAWS, AND MAY NOT BE SOLD, PLEDGED, OFFERED FOR SALE, OR OTHERWISE TRANSFERRED, PLEDGED OR HYPOTHECATED WITHOUT AN EFFECTIVE REGISTRATION THEREOF UNDER THE A |
|
| October 28, 2024 |
Exhibit 10.2 Execution Version THIS NOTE AND THE SECURITIES ISSUABLE UPON THE CONVERSION OF THIS CONVERTIBLE PROMISSORY NOTE HAVE NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE “ACT”), OR ANY APPLICABLE STATE SECURITIES LAWS, AND MAY NOT BE SOLD, PLEDGED, OFFERED FOR SALE, OR OTHERWISE TRANSFERRED, PLEDGED OR HYPOTHECATED WITHOUT AN EFFECTIVE REGISTRATION THEREOF UNDER THE A |
|
| October 28, 2024 |
Exhibit 10.3 Execution Version CONTINUING GUARANTY FOR VALUE RECEIVED, the sufficiency of which is hereby acknowledged, and in consideration of credit and/or financial accommodation heretofore or hereafter from time to time made or granted to PANBELA THERAPEUTICS, INC. (the “Borrower”) by NANT CAPITAL, LLC and its successors and assigns (collectively the “Lender”), the undersigned Guarantor (wheth |
|
| October 28, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 October 22, 2024 Date of Report (Date of Earliest Event Reported) Panbela Therapeutics, Inc. (Exact Name of Registrant as Specified in its Charter) Delaware 001-39468 88-2805017 (State of Incorporation) (Commission File Number) (I.R. |
|
| October 28, 2024 |
Exhibit 10.1 NOTE PURCHASE AGREEMENT This Note Purchase Agreement, dated as of October 22, 2024 (this “Agreement”), is entered into by and among PANBELA THERAPEUTICS INC., a Delaware corporation (the “Company”), and NANT CAPITAL, LLC, a Delaware limited liability company (the “Investor”). RECITALS A. On the terms and subject to the conditions set forth herein, Investor is willing to purchase from |
|
| September 27, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 September 23, 2024 Date of Report (Date of Earliest Event Reported) Panbela Therapeutics, Inc. (Exact Name of Registrant as Specified in its Charter) Delaware 001-39468 88-2805017 (State of Incorporation) (Commission File Number) (I. |
|
| September 27, 2024 |
Retention Agreement with Susan Horvath dated September 23, 2024 Exhibit 10.2 712 Vista Blvd #305 Waconia, MN 55387 +1 952-479-1196 www.panbela.com September 23, 2024 Susan Horvath 6808 Paiute Drive Minneapolis, MN 55424 Dear Susan: Panbela Therapeutics, Inc. (the “Company”) thanks you for your past service. We consider your continued service and dedication to the Company essential to our success. To incentivize you to remain employed with the Company we are pl |
|
| September 27, 2024 |
Retention Agreement with Jennifer K. Simpson dated September 23, 2024 Exhibit 10.1 712 Vista Blvd #305 Waconia, MN 55387 +1 952-479-1196 www.panbela.com September 23, 2024 Jennifer K. Simpson 765 Warren St. Westfield, NJ 07090-4447 Dear Jennifer: Panbela Therapeutics, Inc. (the “Company”) thanks you for your past service. We consider your continued service and dedication to the Company essential to our success. To incentivize you to remain employed with the Company |
|
| August 16, 2024 |
Registration No. 333-278798 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Amendment No. 1 to Form S-1 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 PANBELA THERAPEUTICS, INC. (Exact name of registrant as specified in its charter) Delaware (State or other jurisdiction of incorporation or organization) 2834 (Primary Standard Industrial Classification Code Number) |
|
| August 16, 2024 |
Exhibit 107 Calculation of Filing Fee Tables Form S-1 (Form Type) Panbela Therapeutics, Inc. |
|
| August 14, 2024 |
8,750,000 Shares of Common Stock underlying previously issued Warrants Filed pursuant to Rule 424(b)(3) Registration No. 333-276367 PROSPECTUS SUPPLEMENT NO. 3 (to Prospectus dated April 2, 2024) 8,750,000 Shares of Common Stock underlying previously issued Warrants This prospectus supplement supplements the prospectus dated April 2, 2024 (the “Prospectus”), which forms a part of our registration statement on Form S-1 (No. 333-276367). This prospectus supplement is b |
|
| August 14, 2024 |
255,600 Shares of Common Stock Offered by Selling Securityholders Filed pursuant to Rule 424(b)(3) Registration No. 333-278403 PROSPECTUS SUPPLEMENT NO. 3 (to Prospectus dated April 15, 2024) 255,600 Shares of Common Stock Offered by Selling Securityholders This prospectus supplement supplements the prospectus with an effective date of April 15, 2024 (the “Prospectus”), which forms a part of our registration statement on Form S-1 (No. 333-278403). This prospectu |
|
| August 14, 2024 |
Filed pursuant to Rule 424(b)(3) Registration No. 333-271729 PROSPECTUS SUPPLEMENT NO. 3 (to Prospectus dated June 16, 2023) 2,270,000 Shares of Common Stock Class A Common Warrants to purchase up to 2,270,000 Shares of Common Stock Class B Common Warrants to purchase up to 2,270,000 Shares of Common Stock Pre-Funded Warrants to purchase up to 2,270,000 Shares of Common Stock Up to 6,810,000 Share |
|
| August 14, 2024 |
4,776,038 Shares of Common Stock Underlying Previously Issued Warrants Filed pursuant to Rule 424(b)(3) Registration No. 333-269711 PROSPECTUS SUPPLEMENT NO. 3 (to Prospectus dated March 23, 2023) 4,776,038 Shares of Common Stock Underlying Previously Issued Warrants This prospectus supplement supplements the prospectus dated March 23, 2023 (the “Prospectus”), which forms a part of our registration statement on Form S-1 (No. 333-269711). This prospectus supplement is |
|
| August 14, 2024 |
Filed pursuant to Rule 424(b)(3) Registration No. 333-267000 PROSPECTUS SUPPLEMENT NO. 3 (to Prospectus dated September 29, 2022) 20,100,000 Shares of Common Stock Warrants to purchase up to 30,150,000 Shares of Common Stock Pre-Funded Warrants to purchase up to 20,100,000 Shares of Common Stock This prospectus supplement supplements the prospectus dated September 29, 2022 (the “Prospectus”), whic |
|
| August 14, 2024 |
2,433,789 Shares of Common Stock Underlying Previously Issued Warrants Filed pursuant to Rule 424(b)(3) Registration No. 333-239661 PROSPECTUS SUPPLEMENT NO. 3 (to Prospectus dated June 24, 2022) 2,433,789 Shares of Common Stock Underlying Previously Issued Warrants This prospectus supplement supplements the prospectus dated June 24, 2022 (the “Prospectus”), which forms a part of our registration statement on Form S-1 (No. 333-239661). This prospectus supplement is b |
|
| August 14, 2024 |
4,260,000 Shares of Common Stock Offered by Selling Securityholders Filed pursuant to Rule 424(b)(3) Registration No. 333-275733 PROSPECTUS SUPPLEMENT NO. 3 (to Prospectus dated December 20, 2023 ) 4,260,000 Shares of Common Stock Offered by Selling Securityholders This prospectus supplement supplements the prospectus dated December 20, 2023 (the “Prospectus”), which forms a part of our registration statement on Form S-1 (No. 333-275733). This prospectus supplemen |
|
| August 13, 2024 |
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, 2024 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 No.: 001-39468 Panbela The |
|
| August 13, 2024 |
Subordinated Promissory Note, dated as of August 8, 2024 Exhibit 10.6 THIS SUBORDINATED PROMISSORY NOTE IS SUBJECT TO THE SUBORDINATION AGREEMENT, DATED AS OF AUGUST 8, 2024, BY AND AMONG BORROWER, NOTEHOLDER AND USWM, LLC (“SUBORDINATION AGREEMENT”), UNDER WHICH THIS SUBORDINATED PROMISSORY NOTE AND THE NOTEHOLDER’S RIGHTS HEREUNDER ARE SUBORDINATED IN THE MATTER SET FORTH THEREIN SUBORDINATED PROMISSORY NOTE $100,000.00 Minneapolis, MN August 8, 2024 |
|
| August 13, 2024 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 August 13, 2024 Date of Report (Date of Earliest Event Reported) Panbela Therapeutics, Inc (Exact Name of Registrant as Specified in its Charter) Delaware 001-39468 88-2805017 (State of Incorporation) (Commission File Number) (I.R.S. |
|
| August 13, 2024 |
Panbela Provides Business Update and Reports Q2 2024 Financial Results Exhibit 99.1 Panbela Provides Business Update and Reports Q2 2024 Financial Results MINNEAPOLIS, August 13, 2024 (GLOBE NEWSWIRE) - Panbela Therapeutics, Inc. (OTCQB: PBLA), a clinical stage company developing disruptive therapeutics for the treatment of patients with urgent unmet medical needs, today provides a business update and reports financial results for the quarter ended June 30, 2024. As |
|
| August 13, 2024 |
Exhibit 10.5 WAIVER This WAIVER (this “Waiver”) is entered into as of August 8, 2024, by and among Panbela Therapeutics, Inc., a Delaware corporation, together with its wholly-owned subsidiary, Cancer Prevention Pharmaceuticals, Inc., with an address of 712 Vista Boulevard, Suite 305, Waconia, Minnesota 55387 (together, the “Borrower”) and USWM, LLC, a Delaware limited liability company with an ad |
|
| August 13, 2024 |
Subordination Agreement, dated as of August 8, 2024 Exhibit 10.7 SUBORDINATION AGREEMENT THIS SUBORDINATION AGREEMENT (“Agreement”) is executed as of the 8th day of August, 2024 (the “Effective Date”), by D. ROBERT SCHEMEL, a natural person (the “Junior Lender”), and PANBELA THERAPEUTICS, INC., a Delaware corporation (the “Borrower”), in favor and for the benefit of USWM, LLC, a Delaware limited liability company (together with its successors and a |
|
| July 31, 2024 |
2,433,789 Shares of Common Stock Underlying Previously Issued Warrants Filed pursuant to Rule 424(b)(3) Registration No. 333-239661 PROSPECTUS SUPPLEMENT NO. 2 (to Prospectus dated June 24, 2022) 2,433,789 Shares of Common Stock Underlying Previously Issued Warrants This prospectus supplement supplements the prospectus dated June 24, 2022 (the “Prospectus”), which forms a part of our registration statement on Form S-1 (No. 333-239661). This prospectus supplement is b |
|
| July 31, 2024 |
8,750,000 Shares of Common Stock underlying previously issued Warrants Filed pursuant to Rule 424(b)(3) Registration No. 333-276367 PROSPECTUS SUPPLEMENT NO. 2 (to Prospectus dated April 2, 2024) 8,750,000 Shares of Common Stock underlying previously issued Warrants This prospectus supplement supplements the prospectus dated April 2, 2024 (the “Prospectus”), which forms a part of our registration statement on Form S-1 (No. 333-276367). This prospectus supplement is b |
|
| July 31, 2024 |
Filed pursuant to Rule 424(b)(3) Registration No. 333-267000 PROSPECTUS SUPPLEMENT NO. 2 (to Prospectus dated September 29, 2022) 20,100,000 Shares of Common Stock Warrants to purchase up to 30,150,000 Shares of Common Stock Pre-Funded Warrants to purchase up to 20,100,000 Shares of Common Stock This prospectus supplement supplements the prospectus dated September 29, 2022 (the “Prospectus”), whic |
|
| July 31, 2024 |
4,260,000 Shares of Common Stock Offered by Selling Securityholders Filed pursuant to Rule 424(b)(3) Registration No. 333-275733 PROSPECTUS SUPPLEMENT NO. 2 (to Prospectus dated December 20, 2023) 4,260,000 Shares of Common Stock Offered by Selling Securityholders This prospectus supplement supplements the prospectus dated December 20, 2023 (the “Prospectus”), which forms a part of our registration statement on Form S-1 (No. 333-275733). This prospectus supplement |
|
| July 31, 2024 |
4,776,038 Shares of Common Stock Underlying Previously Issued Warrants Filed pursuant to Rule 424(b)(3) Registration No. 333-269711 PROSPECTUS SUPPLEMENT NO. 2 (to Prospectus dated March 23, 2023) 4,776,038 Shares of Common Stock Underlying Previously Issued Warrants This prospectus supplement supplements the prospectus dated March 23, 2023 (the “Prospectus”), which forms a part of our registration statement on Form S-1 (No. 333-269711). This prospectus supplement is |
|
| July 31, 2024 |
255,600 Shares of Common Stock Offered by Selling Securityholders Filed pursuant to Rule 424(b)(3) Registration No. 333-278403 PROSPECTUS SUPPLEMENT NO. 2 (to Prospectus dated April 15, 2024) 255,600 Shares of Common Stock Offered by Selling Securityholders This prospectus supplement supplements the prospectus with an effective date of April 15, 2024 (the “Prospectus”), which forms a part of our registration statement on Form S-1 (No. 333-278403). This prospectu |
|
| July 30, 2024 |
424B3 1 pbla20240730h424b3.htm FORM 424B3 Filed pursuant to Rule 424(b)(3) Registration No. 333-271729 PROSPECTUS SUPPLEMENT NO. 2 (to Prospectus dated June 16, 2023) 2,270,000 Shares of Common Stock Class A Common Warrants to purchase up to 2,270,000 Shares of Common Stock Class B Common Warrants to purchase up to 2,270,000 Shares of Common Stock Pre-Funded Warrants to purchase up to 2,270,000 Sh |
|
| July 30, 2024 |
Exhibit 10.3 Execution Version SECURITY AGREEMENT THIS SECURITY AGREEMENT (this “Security Agreement”) is made and entered into effective as of July 24, 2024 by Panbela Therapeutics, Inc., a Delaware corporation, together with its wholly-owned subsidiary, Cancer Prevention Pharmaceuticals, Inc., with their principal office and place of business at 712 Vista Boulevard, Suite 305, Waconia, MN 55387 ( |
|
| July 30, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 July 24, 2024 Date of Report (Date of Earliest Event Reported) Panbela Therapeutics, Inc. (Exact Name of Registrant as Specified in its Charter) Delaware 001-39468 88-2805017 (State of Incorporation) (Commission File Number) (I.R.S. |
|
| July 30, 2024 |
Exhibit 10.2 Execution Version TERM PROMISSORY NOTE US $1,500,000.00 Louisville, Kentucky July 24, 2024 FOR VALUE RECEIVED, Panbela Therapeutics, Inc., a Delaware corporation, together with its wholly-owned subsidiary, Cancer Prevention Pharmaceuticals, Inc., with an address of 712 Vista Boulevard, Suite 305, Waconia, Minnesota 55387 (together, the “Borrower”), promises to pay to the order of USWM |
|
| July 30, 2024 |
Exhibit 10.1 Execution Version LOAN AGREEMENT THIS LOAN AGREEMENT (this “Agreement”) is made and entered into effective as of July 24, 2024, by and among: (i) USWM, LLC, a Delaware limited liability company 4441 Springdale Road Louisville, KY 40324 Attn: Legal Department Email: (the “Lender”) and Panbela Therapeutics, Inc., a Delaware corporation together with its wholly-owned subsidiary, Cancer P |
|
| July 3, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 -12-31 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 June 28, 2024 Date of Report (Date of Earliest Event Reported) Panbela Therapeutics, Inc. (Exact Name of Registrant as Specified in its Charter) Delaware 001-39468 88-2805017 (State of Incorporation) (Commission File Number) ( |
|
| July 3, 2024 |
Exhibit 3.1 PANBELA THERAPEUTICS, INC. CERTIFICATE OF ELIMINATION OF SERIES A PREFERRED STOCK Pursuant to the provisions of Section 151(g) of the General Corporation Law of the State of Delaware, it is hereby certified that: FIRST: The name of the corporation (hereinafter referred to as the “Corporation”) is Panbela Therapeutics, Inc. On April 23, 2024, the Corporation filed a Certificate of Desig |
|
| July 1, 2024 |
Class of Warrants/ Issuance Transaction June 30, 2024 United States Securities and Exchange Commission Division of Corporate Finance Office of Life Sciences 100 F. |
|
| May 29, 2024 |
Submission of Matters to a Vote of Security Holders UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 May 28, 2024 Date of Report (Date of Earliest Event Reported) Panbela Therapeutics, Inc. (Exact Name of Registrant as Specified in its Charter) Delaware 001-39468 88-2805017 (State of Incorporation) (Commission File Number) (I.R.S. E |
|
| May 16, 2024 |
Filed pursuant to Rule 424(b)(3) Registration No. 333-271729 PROSPECTUS SUPPLEMENT NO. 1 (to Prospectus dated June 16, 2023) 2,270,000 Shares of Common Stock Class A Common Warrants to purchase up to 2,270,000 Shares of Common Stock Class B Common Warrants to purchase up to 2,270,000 Shares of Common Stock Pre-Funded Warrants to purchase up to 2,270,000 Shares of Common Stock Up to 6,810,000 Share |
|
| May 16, 2024 |
Filed pursuant to Rule 424(b)(3) Registration No. 333-267000 PROSPECTUS SUPPLEMENT NO. 1 (to Prospectus dated September 29, 2022) 20,100,000 Shares of Common Stock Warrants to purchase up to 30,150,000 Shares of Common Stock Pre-Funded Warrants to purchase up to 20,100,000 Shares of Common Stock This prospectus supplement supplements the prospectus dated September 29, 2022 (the “Prospectus”), whic |
|
| May 16, 2024 |
8,750,000 Shares of Common Stock underlying previously issued Warrants Filed pursuant to Rule 424(b)(3) Registration No. 333-276367 PROSPECTUS SUPPLEMENT NO. 1 (to Prospectus dated April 2, 2024) 8,750,000 Shares of Common Stock underlying previously issued Warrants This prospectus supplement supplements the prospectus dated April 2, 2024 (the “Prospectus”), which forms a part of our registration statement on Form S-1 (No. 333-276367). This prospectus supplement is b |
|
| May 16, 2024 |
4,260,000 Shares of Common Stock Offered by Selling Securityholders Filed pursuant to Rule 424(b)(3) Registration No. 333-275733 PROSPECTUS SUPPLEMENT NO. 1 (to Prospectus dated December 20, 2023 ) 4,260,000 Shares of Common Stock Offered by Selling Securityholders This prospectus supplement supplements the prospectus dated December 20, 2023 (the “Prospectus”), which forms a part of our registration statement on Form S-1 (No. 333-275733). This prospectus supplemen |
|
| May 16, 2024 |
2,433,789 Shares of Common Stock Underlying Previously Issued Warrants Filed pursuant to Rule 424(b)(3) Registration No. 333-239661 PROSPECTUS SUPPLEMENT NO. 1 (to Prospectus dated June 24, 2022) 2,433,789 Shares of Common Stock Underlying Previously Issued Warrants This prospectus supplement supplements the prospectus dated June 24, 2022 (the “Prospectus”), which forms a part of our registration statement on Form S-1 (No. 333-239661). This prospectus supplement is b |
|
| May 16, 2024 |
4,776,038 Shares of Common Stock Underlying Previously Issued Warrants Filed pursuant to Rule 424(b)(3) Registration No. 333-269711 PROSPECTUS SUPPLEMENT NO. 1 (to Prospectus dated March 23, 2023) 4,776,038 Shares of Common Stock Underlying Previously Issued Warrants This prospectus supplement supplements the prospectus dated March 23, 2023 (the “Prospectus”), which forms a part of our registration statement on Form S-1 (No. 333-269711). This prospectus supplement is |
|
| May 16, 2024 |
255,600 Shares of Common Stock Offered by Selling Securityholders Filed pursuant to Rule 424(b)(3) Registration No. 333-278403 PROSPECTUS SUPPLEMENT NO. 1 (to Prospectus dated April 15, 2024) 255,600 Shares of Common Stock Offered by Selling Securityholders This prospectus supplement supplements the prospectus with an effective date of April 15, 2024 (the “Prospectus”), which forms a part of our registration statement on Form S-1 (No. 333-278403). This prospectu |
|
| May 15, 2024 |
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 March 31, 2024 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 No.: 001-39468 Panbela Th |
|
| May 15, 2024 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 May 15, 2024 Date of Report (Date of Earliest Event Reported) Panbela Therapeutics, Inc (Exact Name of Registrant as Specified in its Charter) Delaware 001-39468 88-2805017 (State of Incorporation) (Commission File Number) (I.R.S. Em |
|
| May 15, 2024 |
Panbela Provides Business Update and Reports Q1 2024 Financial Results Exhibit 99.1 Panbela Provides Business Update and Reports Q1 2024 Financial Results MINNEAPOLIS, May 15, 2024 (GLOBE NEWSWIRE) - Panbela Therapeutics, Inc. (OTCQB: PBLA), a clinical stage company developing disruptive therapeutics for the treatment of patients with urgent unmet medical needs, today provides a business update and reports financial results for the quarter ended March 31, 2024. As pr |
|
| May 6, 2024 |
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 (Amendment No. 1) 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)) ☑ Defi |
|
| April 26, 2024 |
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 (Amendment No. 1) 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)) ☐ Defi |
|
| April 25, 2024 |
Certificate of Designation of Series A Preferred Stock, dated April 23, 2024 Exhibit 3.1 PANBELA THERAPEUTICS, INC. CERTIFICATE OF DESIGNATION OF SERIES A PREFERRED STOCK Pursuant to Section 151 of the General Corporation Law of the State of Delaware THE UNDERSIGNED DOES HEREBY CERTIFY, on behalf of Panbela Therapeutics, Inc., a Delaware corporation (the “Corporation”), that the following resolution was duly adopted by the board of directors of the Corporation (the “Board |
|
| April 25, 2024 |
Exhibit 3.1 PANBELA THERAPEUTICS, INC. CERTIFICATE OF DESIGNATION OF SERIES A PREFERRED STOCK Pursuant to Section 151 of the General Corporation Law of the State of Delaware THE UNDERSIGNED DOES HEREBY CERTIFY, on behalf of Panbela Therapeutics, Inc., a Delaware corporation (the “Corporation”), that the following resolution was duly adopted by the board of directors of the Corporation (the “Board |
|
| April 25, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 April 23, 2024 Date of Report (Date of Earliest Event Reported) Panbela Therapeutics, Inc. (Exact Name of Registrant as Specified in its Charter) Delaware 001-39468 88-2805017 (State of Incorporation) (Commission File Number) (I.R.S. |
|
| April 25, 2024 |
Exhibit 10.1 It is the responsibility of any investor purchasing these securities to satisfy itself as to full observance of the laws of any relevant territory outside the United States in connection with any such purchase, including obtaining any required governmental or other consents or observing any other applicable requirements. We are not making an offer to sell these securities in any juris |
|
| April 25, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 April 23, 2024 Date of Report (Date of Earliest Event Reported) -12-31 Panbela Therapeutics, Inc. (Exact Name of Registrant as Specified in its Charter) Delaware 001-39468 88-2805017 (State of Incorporation) (Commission File Number) |
|
| April 25, 2024 |
Exhibit 10.1 It is the responsibility of any investor purchasing these securities to satisfy itself as to full observance of the laws of any relevant territory outside the United States in connection with any such purchase, including obtaining any required governmental or other consents or observing any other applicable requirements. We are not making an offer to sell these securities in any juris |
|
| April 22, 2024 |
Panbela Therapeutics Announces Interim Data Analysis for ASPIRE Trial Pushed to Q1 2025 Exhibit 99.1 Panbela Therapeutics Announces Interim Data Analysis for ASPIRE Trial Pushed to Q1 2025 Trial's lower-than-expected event rate suggests improved survival outcomes MINNEAPOLIS, April 22, 2024 (GLOBE NEWSWIRE) - Panbela Therapeutics, Inc. (OTCQB: PBLA), (“Panbela”), a clinical stage company developing disruptive therapeutics for the treatment of patients with urgent unmet medical needs, |
|
| April 22, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 April 22, 2024 Date of Report (Date of Earliest Event Reported) Panbela Therapeutics, Inc (Exact Name of Registrant as Specified in its Charter) Delaware 001-39468 88-2805017 (State of Incorporation) (Commission File Number) (I.R.S. |
|
| April 18, 2024 |
Exhibit 107 Calculation of Filing Fee Tables Form S-1 (Form Type) Panbela Therapeutics, Inc. |
|
| April 18, 2024 |
Registration No. UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form S-1 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 PANBELA THERAPEUTICS, INC. (Exact name of registrant as specified in its charter) Delaware (State or other jurisdiction of incorporation or organization) 2834 (Primary Standard Industrial Classification Code Number) 88-2805017 (I.R.S. Employer Id |
|
| April 17, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 April 16, 2024 Date of Report (Date of Earliest Event Reported) Panbela Therapeutics, Inc. (Exact Name of Registrant as Specified in its Charter) Delaware 001-39468 88-2805017 (State of Incorporation) (Commission File Number) (I.R.S. |
|
| April 17, 2024 |
Panbela Announces Transfer to OTCQB Market Exhibit 99.1 Panbela Announces Transfer to OTCQB Market MINNEAPOLIS - Panbela Therapeutics, Inc. (OTCQB: PBLA), (“Panbela”), a clinical stage company developing disruptive therapeutics for the treatment of patients with urgent unmet medical needs, today announced that its common stock has been approved for quotation on the OTCQB market. Panbela’s common stock will be eligible for quotation on the |
|
| April 15, 2024 |
April 15, 2024 VIA EDGAR TRANSMISSION Division of Corporation Finance United States Securities and Exchange Commission 100 F Street, N. |
|
| April 4, 2024 |
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 Proxy State |
|
| March 29, 2024 |
As filed with the Securities and Exchange Commission on March 29, 2024 As filed with the Securities and Exchange Commission on March 29, 2024 Registration No. |
|
| March 29, 2024 |
As filed with the Securities and Exchange Commission on March 29, 2024 As filed with the Securities and Exchange Commission on March 29, 2024 Registration No. |
|
| March 29, 2024 |
Exhibit 107 Calculation of Filing Fee Tables Form S-1 (Form Type) Panbela Therapeutics, Inc. |
|
| March 26, 2024 |
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 ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2023 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: 001-39468 PANBELA THERAPEUTICS, INC |
|
| March 26, 2024 |
Exhibit 21.1 LIST OF SUBSIDIARIES Name Jurisdiction Cancer Prevention Pharmaceuticals, Inc. Delaware Cancer Prevention Pharmaceuticals, LLC* Arizona Cancer Prevention Pharma (Ireland) Limited Dublin, Ireland Cancer Prevention Pharma Limited* London, England Panbela Research, Inc. Delaware Panbela Therapeutics Pty Ltd† Victoria, Australia * Indirect subsidiary wholly-owned by Cancer Prevention Phar |
|
| March 26, 2024 |
Compensation Recoupment Policy Exhibit 97 PANBELA THERAPEUTICS, INC. COMPENSATION RECOUPMENT POLICY Adopted November 22, 2023 A. Policy The Board of Directors (the “Board”) of Panbela Therapeutics, Inc. (the “Company”) believes that it is in the best interests of the Company and its stockholders to maintain a culture that emphasizes integrity and accountability and that reinforces the Company’s pay-for-performance compensation |
|
| March 26, 2024 |
Panbela Provides Business Update and Reports Q4 and FY 2024 Financial Results Exhibit 99.1 Panbela Provides Business Update and Reports Q4 and FY 2024 Financial Results MINNEAPOLIS, March 26, 2024 (GLOBE NEWSWIRE) - Panbela Therapeutics, Inc. (NASDAQ:PBLA), a clinical stage company developing disruptive therapeutics for the treatment of patients with urgent unmet medical needs, today provides a business update and reports financial results for the quarter and full year ende |
|
| March 26, 2024 |
Exhibit 24.1 PANBELA THERAPEUTICS, INC. Power of Attorney The undersigned director of Panbela Therapeutics, Inc., a Delaware corporation, does hereby make, constitute and appoint Jennifer K. Simpson and Susan Horvath, and each of them individually, as the undersigned’s true and lawful attorney-in-fact and agent, with full power of substitution and resubstitution, for the undersigned and in the und |
|
| March 26, 2024 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 March 26, 2024 Date of Report (Date of Earliest Event Reported) Panbela Therapeutics, Inc (Exact Name of Registrant as Specified in its Charter) Delaware 001-39468 88-2805017 (State of Incorporation) (Commission File Number) (I.R.S. |
|
| March 25, 2024 |
PRELIMINARY PROXY STATEMENT – SUBJECT TO COMPLETION UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
|
| March 7, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 March 5, 2024 Date of Report (Date of Earliest Event Reported) Panbela Therapeutics, Inc. (Exact Name of Registrant as Specified in its Charter) Delaware 001-39468 88-2805017 (State of Incorporation) (Commission File Number) (I.R.S. |
|
| February 15, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 February 15, 2024 Date of Report (Date of Earliest Event Reported) Panbela Therapeutics, Inc. (Exact Name of Registrant as Specified in its Charter) Delaware 001-39468 88-2805017 (State of Incorporation) (Commission File Number) (I.R |
|
| February 15, 2024 |
Exhibit 99.1 Panbela Regains Compliance with Nasdaq Listing Standards for Bid Price and Publicly Held Shares Requirements MINNEAPOLIS, February 15, 2024 (GLOBE NEWSWIRE) - Panbela Therapeutics, Inc. (Nasdaq: PBLA), (“Panbela”), a clinical stage company developing disruptive therapeutics for the treatment of patients with urgent unmet medical needs, today announced that, has regained compliance wit |
|
| February 13, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 February 7, 2024 Date of Report (Date of Earliest Event Reported) Panbela Therapeutics, Inc. (Exact Name of Registrant as Specified in its Charter) Delaware 001-39468 88-2805017 (State of Incorporation) (Commission File Number) (I.R. |
|
| February 13, 2024 |
EX-99.1 2 exhibit99-1.htm JOINT FILING AGREEMENT BY AND AMONG THE REPORTING PERSONS Exhibit 99.1 JOINT FILING AGREEMENT The undersigned hereby agree that a single Schedule 13G (or any amendment thereto) relating to the Common Stock, par value $0.001 per share, of Panbela Therapeutics, Inc. shall be filed on behalf of each of the undersigned and that this Agreement shall be filed as an exhibit to s |
|
| February 13, 2024 |
US69833W3051 / PANBELA THERAPEU / Lind Global Fund II LP Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1)* PANBELA THERAPEUTICS, INC. (Name of Issuer) Common Stock, par value $0.001 per share (Title of Class of Securities) 69833W305 (CUSIP Number) December 31, 2023 (Date of Event which Requires Filing of this Statement) Check the appropriate box to designate |
|
| February 13, 2024 |
Exhibit 10.1 February 7, 2024 [Name] [Address] Dear Sue: Panbela Therapeutics, Inc. (the “Company”) thanks you for your past service. We consider your continued service and dedication to the Company essential to our success. To incentivize you to remain employed with the Company we are pleased to offer you a retention bonus as described in this letter agreement. In appreciation of your past contri |
|
| February 1, 2024 |
Regulation FD Disclosure, Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 February 1, 2024 Date of Report (Date of Earliest Event Reported) Panbela Therapeutics, Inc. (Exact Name of Registrant as Specified in its Charter) Delaware 001-39468 88-2805017 (State of Incorporation) (Commission File Number) (I.R. |
|
| February 1, 2024 |
Panbela Announces Closing of Approximately $9.0 Million Public Offering Exhibit 99.1 Panbela Announces Closing of Approximately $9.0 Million Public Offering MINNEAPOLIS, January 31, 2024 (GLOBE NEWSWIRE) - Panbela Therapeutics, Inc. (Nasdaq: PBLA), a clinical stage company developing disruptive therapeutics for the treatment of patients with urgent unmet medical needs, today announced the closing of its previously announced public offering of (i) 4,375,000 shares of i |
|
| January 30, 2024 |
Filed pursuant to Rule 424(b)(4) Registration No. 333-276367 PROSPECTUS 4,375,000 Shares of Common Stock 4,375,000 Class E Common Warrants to purchase up to 1,093,750 Shares of Common Stock 4,375,000 Class F Common Warrants to purchase up to 7,656,250 Shares of Common Stock Up to 4,375,000 Pre-Funded Warrants to purchase up to 4,375,000 Shares of Common Stock Up to 13,125,000 Shares of Common Stoc |
|
| January 29, 2024 |
Exhibit 4.3 CLASS E COMMON STOCK PURCHASE WARRANT PANBELA THERAPEUTICS, INC. Warrant Shares: Initial Exercise Date: January 31, 2024 CUSIP: ISIN: THIS CLASS E 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 o |
|
| January 29, 2024 |
Exhibit 10.2 SECURITIES PURCHASE AGREEMENT This Securities Purchase Agreement (this “Agreement”) is dated as of January 28, 2024, between Panbela Therapeutics, Inc., a Delaware corporation (the “Company”), and each purchaser identified on the signature pages hereto (each, including its successors and assigns, a “Purchaser” and collectively the “Purchasers”). WHEREAS, subject to the terms and condi |
|
| January 29, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 January 28, 2024 Date of Report (Date of Earliest Event Reported) Panbela Therapeutics, Inc. (Exact Name of Registrant as Specified in its Charter) Delaware 001-39468 88-2805017 (State of Incorporation) (Commission File Number) (I.R. |
|
| January 29, 2024 |
Exhibit 4.4 CLASS F COMMON STOCK PURCHASE WARRANT PANBELA THERAPEUTICS, INC. Warrant Shares: Initial Exercise Date: January 31, 2024 CUSIP: ISIN: THIS CLASS F 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 o |
|
| January 29, 2024 |
Panbela Announces Pricing of Approximately $9.0 Million Public Offering Exhibit 99.1 Panbela Announces Pricing of Approximately $9.0 Million Public Offering MINNEAPOLIS - Panbela Therapeutics, Inc. (Nasdaq: PBLA), a clinical stage company developing disruptive therapeutics for the treatment of patients with urgent unmet medical needs, today announced the pricing of a public offering of (i) 4,375,000 shares of its common stock or pre-funded warrants in lieu thereof and |
|
| January 29, 2024 |
Exhibit 10.1 PLACEMENT AGENCY AGREEMENT January 28, 2024 Roth Capital Partners, LLC 888 San Clemente Drive Newport Beach, CA 92660 Ladies and Gentlemen: Introduction. Subject to the terms and conditions herein (this “Agreement”), Panbela Therapeutics, Inc., a Delaware corporation (the “Company”), hereby agrees to sell up to an aggregate of $9,008,919 of registered securities of the Company, consis |
|
| January 25, 2024 |
Registration No. 333-276367 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Amendment No. 3 Form S-1 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 PANBELA THERAPEUTICS, INC. (Exact name of registrant as specified in its charter) Delaware (State or other jurisdiction of incorporation or organization) 2834 (Primary Standard Industrial Classification Code Number) 88- |
|
| January 25, 2024 |
Roth Capital Partners, LLC 888 San Clemente Drive, Suite 400 Newport Beach, CA 92660 Roth Capital Partners, LLC 888 San Clemente Drive, Suite 400 Newport Beach, CA 92660 January 25, 2024 VIA EDGAR CORRESPONDENCE U. |
|
| January 25, 2024 |
Form of Securities Purchase Agreement Exhibit 10.30 SECURITIES PURCHASE AGREEMENT This Securities Purchase Agreement (this “Agreement”) is dated as of , 2024, between Panbela Therapeutics, Inc., a Delaware corporation (the “Company”), and each purchaser identified on the signature pages hereto (each, including its successors and assigns, a “Purchaser” and collectively the “Purchasers”). WHEREAS, subject to the terms and conditions set |
|
| January 25, 2024 |
January 25, 2024 VIA EDGAR TRANSMISSION Division of Corporation Finance United States Securities and Exchange Commission 100 F Street, N. |
|
| January 25, 2024 |
Exhibit 107 Calculation of Filing Fee Tables Form S-1 (Form Type) Panbela Therapeutics, Inc. |
|
| January 25, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 January 22, 2024 Date of Report (Date of Earliest Event Reported) Panbela Therapeutics, Inc. (Exact Name of Registrant as Specified in its Charter) Delaware 001-39468 88-2805017 (State of Incorporation) (Commission File Number) (I.R. |
|
| January 25, 2024 |
Form of Class E Common Stock Purchase Warrant Exhibit 4.17 CLASS E COMMON STOCK PURCHASE WARRANT PANBELA THERAPEUTICS, INC. Warrant Shares: Initial Exercise Date: , 2024 CUSIP: ISIN: THIS CLASS E 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 t |
|
| January 25, 2024 |
Registration No. 333-276367 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Amendment No. 2 Form S-1 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 PANBELA THERAPEUTICS, INC. (Exact name of registrant as specified in its charter) Delaware (State or other jurisdiction of incorporation or organization) 2834 (Primary Standard Industrial Classification Code Number) 88- |
|
| January 22, 2024 |
January 22, 2024 U.S. Securities and Exchange Commission Division of Corporation Finance Office of Life Sciences 100 F. Street, N.E. Washington, D.C. 20549 By EDGAR Attn:Tim Buchmiller Re: Panbela Therapeutics, Inc. Registration Statement on Form S-1 Filed January 4, 2024 File No. 333-276367 Dear Mr. Buchmiller: On behalf of Panbela Therapeutics, Inc. (the “Company”), I am pleased to submit this r |
|
| January 22, 2024 |
Exhibit 107 Calculation of Filing Fee Tables Form S-1 (Form Type) Panbela Therapeutics, Inc. |
|
| January 22, 2024 |
Registration No. 333-276367 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Amendment No. 1 Form S-1 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 PANBELA THERAPEUTICS, INC. (Exact name of registrant as specified in its charter) Delaware (State or other jurisdiction of incorporation or organization) 2834 (Primary Standard Industrial Classification Code Number) 88- |
|
| January 19, 2024 |
-12-31 -12-31 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 January 18, 2024 Date of Report (Date of Earliest Event Reported) Panbela Therapeutics, Inc. (Exact Name of Registrant as Specified in its Charter) Delaware 001-39468 88-2805017 (State of Incorporation) (Commission File |
|
| January 19, 2024 |
Exhibit 3.1 CERTIFICATE OF AMENDMENT OF AMENDED AND RESTATED CERTIFICATE OF INCORPORATION OF PANBELA THERAPEUTICS, INC. The undersigned, Jennifer Simpson, Chief Executive Officer of Panbela Therapeutics, Inc. (the “Corporation”), a corporation organized and existing under and by virtue of the provisions of the General Corporation Law of the State of Delaware (the “DGCL”), hereby certifies as follo |
|
| January 5, 2024 |
As filed with the Securities and Exchange Commission on January 5, 2024. As filed with the Securities and Exchange Commission on January 5, 2024. Registration No. UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. C. 20549 Form S-8 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 PANBELA THERAPEUTICS, INC. (Exact Name of Registrant as Specified in its Charter) Delaware 88-2805017 (State or other jurisdiction of incorporation or organization) (I.R.S. |
|
| January 5, 2024 |
Exhibit 107 Calculation of Registration Fee FORM S-8 (Form Type) PANBELA THERAPEUTICS, INC. |
|
| January 4, 2024 |
Form of Class E Common Stock Purchase Warrant Exhibit 4.18 CLASS E COMMON STOCK PURCHASE WARRANT PANBELA THERAPEUTICS, INC. Warrant Shares: Initial Exercise Date: , 2024 CUSIP: ISIN: THIS CLASS E 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 t |
|
| January 4, 2024 |
Exhibit 107 Calculation of Filing Fee Tables Form S-1 (Form Type) Panbela Therapeutics, Inc. |
|
| January 4, 2024 |
Exhibit 21.1 LIST OF SUBSIDIARIES Name Jurisdiction Cancer Prevention Pharmaceuticals, Inc. Delaware Cancer Prevention Pharmaceuticals, LLC* Arizona Cancer Prevention Pharma (Ireland) Limited Dublin, Ireland Cancer Prevention Pharma Limited* London, England Panbela Research, Inc. Delaware Panbela Therapeutics Pty Ltd† Victoria, Australia * Indirect subsidiary wholly-owned by Cancer Prevention Phar |
|
| January 4, 2024 |
Form of Securities Purchase Agreement Exhibit 10.30 SECURITIES PURCHASE AGREEMENT This Securities Purchase Agreement (this “Agreement”) is dated as of , 2024, between Panbela Therapeutics, Inc., a Delaware corporation (the “Company”), and each purchaser identified on the signature pages hereto (each, including its successors and assigns, a “Purchaser” and collectively the “Purchasers”). WHEREAS, subject to the terms and conditions set |
|
| January 4, 2024 |
Exhibit 4.17 PRE-FUNDED COMMON STOCK PURCHASE WARRANT PANBELA THERAPEUTICS, INC. Warrant Shares: Initial Exercise Date: , 2024 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 |
|
| January 4, 2024 |
Registration No. UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form S-1 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 PANBELA THERAPEUTICS, INC. (Exact name of registrant as specified in its charter) Delaware (State or other jurisdiction of incorporation or organization) 2834 (Primary Standard Industrial Classification Code Number) 88-2805017 (I.R.S. Employer Id |
|
| January 4, 2024 |
Form of Class F Common Stock Purchase Warrant Exhibit 4.19 CLASS F COMMON STOCK PURCHASE WARRANT PANBELA THERAPEUTICS, INC. Warrant Shares: Initial Exercise Date: , 2024 CUSIP: ISIN: THIS CLASS F 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 t |
|
| January 4, 2024 |
Form of Placement Agency Agreement with Roth Capital Partners, LLC Exhibit 10.29 PLACEMENT AGENCY AGREEMENT , 2024 Roth Capital Partners, LLC 888 San Clemente Drive Newport Beach, CA 92660 Ladies and Gentlemen: Introduction. Subject to the terms and conditions herein (this “Agreement”), Panbela Therapeutics, Inc., a Delaware corporation (the “Company”), hereby agrees to sell up to an aggregate of $ of registered securities of the Company, consisting of shares (th |
|
| January 4, 2024 |
Exhibit 4.16 PANBELA THERAPEUTICS, INC. and VSTOCK TRANSFER, LLC as Warrant Agent Warrant Agency Agreement Dated as of , 2024 WARRANT AGENCY AGREEMENT WARRANT AGENCY AGREEMENT, dated as of , 2024 (“Agreement”), between Panbela Therapeutics, Inc., a Delaware corporation (the “Company”), and VStock Transfer, LLC, a New York limited liability trust company (the “Warrant Agent”). WITNESSETH WHEREAS, p |
|
| December 21, 2023 |
Exhibit 4.1 NEITHER THIS SECURITY NOR THE SECURITIES FOR WHICH THIS SECURITY IS EXERCISABLE HAVE BEEN REGISTERED WITH THE SECURITIES AND EXCHANGE COMMISSION OR THE SECURITIES COMMISSION OF ANY STATE IN RELIANCE UPON AN EXEMPTION FROM REGISTRATION UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE “SECURITIES ACT”), AND, ACCORDINGLY, MAY NOT BE OFFERED OR SOLD EXCEPT PURSUANT TO AN EFFECTIVE REGISTR |
|
| December 21, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 December 21, 2023 Date of Report (Date of Earliest Event Reported) Panbela Therapeutics, Inc. (Exact Name of Registrant as Specified in its Charter) Delaware 001-39468 88-2805017 (State of Incorporation) (Commission File Number) (I.R |
|
| December 21, 2023 |
Press Release dated December 21, 2023 Exhibit 99.1 Panbela Therapeutics Announces Exercise of Warrants and Issuance of New Warrants in a Private Placement for $2.0 Million Gross Proceeds Priced At-the-Market Minneapolis, December 21, 2023 (GLOBE NEWSWIRE) – Panbela Therapeutics, Inc. (Nasdaq: PBLA), a clinical stage biopharmaceutical company developing disruptive therapeutics for the treatment of patients with urgent unmet medical nee |
|
| December 21, 2023 |
Exhibit 10.1 December 21, 2023 [Address] Re: Exercise and Reload Offer of Common Stock Purchase Warrants To Whom It May Concern: Panbela Therapeutics, Inc. (the “Company”) is pleased to offer to you the opportunity to receive new Common Stock purchase warrants of the Company in consideration for the exercise in full of the Common Stock purchase warrants issued to you on or about November 2, 2023 ( |
|
| December 21, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 December 21, 2023 Date of Report (Date of Earliest Event Reported) Panbela Therapeutics, Inc. (Exact Name of Registrant as Specified in its Charter) Delaware 001-39468 88-2805017 (State of Incorporation) (Commission File Number) (I.R |
|
| December 21, 2023 |
Exhibit 4.1 NEITHER THIS SECURITY NOR THE SECURITIES FOR WHICH THIS SECURITY IS EXERCISABLE HAVE BEEN REGISTERED WITH THE SECURITIES AND EXCHANGE COMMISSION OR THE SECURITIES COMMISSION OF ANY STATE IN RELIANCE UPON AN EXEMPTION FROM REGISTRATION UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE “SECURITIES ACT”), AND, ACCORDINGLY, MAY NOT BE OFFERED OR SOLD EXCEPT PURSUANT TO AN EFFECTIVE REGISTR |
|
| December 21, 2023 |
Exhibit 99.1 Panbela Therapeutics Announces Exercise of Warrants and Issuance of New Warrants in a Private Placement for $2.0 Million Gross Proceeds Priced At-the-Market Minneapolis, December 21, 2023 (GLOBE NEWSWIRE) – Panbela Therapeutics, Inc. (Nasdaq: PBLA), a clinical stage biopharmaceutical company developing disruptive therapeutics for the treatment of patients with urgent unmet medical nee |
|
| December 21, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 December 19, 2023 Date of Report (Date of Earliest Event Reported) Panbela Therapeutics, Inc. (Exact Name of Registrant as Specified in its Charter) Delaware 001-39468 87-0543922 (State of Incorporation) (Commission File Number) (I.R |
|
| December 21, 2023 |
Exhibit 10.1 December 21, 2023 [Address] Re: Exercise and Reload Offer of Common Stock Purchase Warrants To Whom It May Concern: Panbela Therapeutics, Inc. (the “Company”) is pleased to offer to you the opportunity to receive new Common Stock purchase warrants of the Company in consideration for the exercise in full of the Common Stock purchase warrants issued to you on or about November 2, 2023 ( |
|
| December 19, 2023 |
December 19, 2023 VIA EDGAR TRANSMISSION Division of Corporation Finance United States Securities and Exchange Commission 100 F Street, N. |
|
| December 1, 2023 |
Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 November 28, 2023 Date of Report (Date of Earliest Event Reported) Panbela Therapeutics, Inc. (Exact Name of Registrant as Specified in its Charter) Delaware 001-39468 88-2805017 (State of Incorporation) (Commission File Number) (I.R |
|
| December 1, 2023 |
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 Proxy State |
|
| November 24, 2023 |
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 Proxy State |
|
| November 22, 2023 |
Exhibit 107 Calculation of Filing Fee Tables Form S-1 (Form Type) Panbela Therapeutics, Inc. |
|
| November 22, 2023 |
As filed with the Securities and Exchange Commission on November 22, 2023 As filed with the Securities and Exchange Commission on November 22, 2023 Registration No. |
|
| November 14, 2023 |
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 Proxy State |
|
| November 9, 2023 |
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 September 30, 2023 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 No.: 001-39468 Panbel |
|
| November 9, 2023 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 November 9, 2023 Date of Report (Date of Earliest Event Reported) Panbela Therapeutics, Inc (Exact Name of Registrant as Specified in its Charter) Delaware 001-39468 88-2805017 (State of Incorporation) (Commission File Number) (I.R.S |
|
| November 9, 2023 |
Panbela Provides Business Update and Reports Q3 2023 Financial Results Exhibit 99.1 Panbela Provides Business Update and Reports Q3 2023 Financial Results MINNEAPOLIS - Panbela Therapeutics, Inc. (Nasdaq: PBLA), a clinical stage company developing disruptive therapeutics for the treatment of patients with urgent unmet medical needs, today provides a business update and reports financial results for the quarter ended September 30, 2023. As previously announced, manage |
|
| November 3, 2023 |
Exhibit 10.1 November 2, 2023 [Name and address of warrant holder] Re: Reprice and Reload Offer of Common Stock Purchase Warrants To Whom It May Concern: Panbela Therapeutics, Inc. (the “Company”) is pleased to offer to you the opportunity to receive new Common Stock purchase warrants of the Company in consideration for the exercise in full of the Common Stock purchase warrants issued to you on or |
|
| November 3, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 November 2, 2023 Date of Report (Date of Earliest Event Reported) Panbela Therapeutics, Inc. (Exact Name of Registrant as Specified in its Charter) Delaware 001-39468 88-2805017 (State of Incorporation) (Commission File Number) (I.R. |
|
| November 3, 2023 |
Exhibit 4.1 NEITHER THIS SECURITY NOR THE SECURITIES FOR WHICH THIS SECURITY IS EXERCISABLE HAVE BEEN REGISTERED WITH THE SECURITIES AND EXCHANGE COMMISSION OR THE SECURITIES COMMISSION OF ANY STATE IN RELIANCE UPON AN EXEMPTION FROM REGISTRATION UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE “SECURITIES ACT”), AND, ACCORDINGLY, MAY NOT BE OFFERED OR SOLD EXCEPT PURSUANT TO AN EFFECTIVE REGISTR |
|
| November 3, 2023 |
Exhibit 99.1 Panbela Therapeutics Announces Exercise of Warrants and Issuance of New Warrants in a Private Placement for $1.9 Million Gross Proceeds Priced At-the-Market Minneapolis, Nov. 3, 2023 (GLOBE NEWSWIRE) – Panbela Therapeutics, Inc. (Nasdaq: PBLA), a clinical stage biopharmaceutical company developing disruptive therapeutics for the treatment of patients with urgent unmet medical needs, t |
|
| November 3, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 November 2, 2023 Date of Report (Date of Earliest Event Reported) Panbela Therapeutics, Inc. (Exact Name of Registrant as Specified in its Charter) Delaware 001-39468 88-2805017 (State of Incorporation) (Commission File Number) (I.R. |
|
| November 3, 2023 |
Exhibit 10.1 November 2, 2023 [Name and address of warrant holder] Re: Reprice and Reload Offer of Common Stock Purchase Warrants To Whom It May Concern: Panbela Therapeutics, Inc. (the “Company”) is pleased to offer to you the opportunity to receive new Common Stock purchase warrants of the Company in consideration for the exercise in full of the Common Stock purchase warrants issued to you on or |
|
| November 3, 2023 |
Press Release dated November 3, 2023 Exhibit 99.1 Panbela Therapeutics Announces Exercise of Warrants and Issuance of New Warrants in a Private Placement for $1.9 Million Gross Proceeds Priced At-the-Market Minneapolis, Nov. 3, 2023 (GLOBE NEWSWIRE) – Panbela Therapeutics, Inc. (Nasdaq: PBLA), a clinical stage biopharmaceutical company developing disruptive therapeutics for the treatment of patients with urgent unmet medical needs, t |
|
| November 3, 2023 |
Exhibit 4.1 NEITHER THIS SECURITY NOR THE SECURITIES FOR WHICH THIS SECURITY IS EXERCISABLE HAVE BEEN REGISTERED WITH THE SECURITIES AND EXCHANGE COMMISSION OR THE SECURITIES COMMISSION OF ANY STATE IN RELIANCE UPON AN EXEMPTION FROM REGISTRATION UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE “SECURITIES ACT”), AND, ACCORDINGLY, MAY NOT BE OFFERED OR SOLD EXCEPT PURSUANT TO AN EFFECTIVE REGISTR |
|
| August 10, 2023 |
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, 2023 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 No.: 001-39468 Panbela The |
|
| August 10, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 August 10, 2023 Date of Report (Date of Earliest Event Reported) Panbela Therapeutics, Inc (Exact Name of Registrant as Specified in its Charter) Delaware 001-39468 88-2805017 (State of Incorporation) (Commission File Number) (I.R.S. |
|
| August 10, 2023 |
Panbela Provides Business Update and Reports Q2 2023 Financial Results Exhibit 99.1 Panbela Provides Business Update and Reports Q2 2023 Financial Results MINNEAPOLIS (GLOBE NEWSWIRE) August 10, 2023 - Panbela Therapeutics, Inc. (Nasdaq: PBLA), a clinical stage company developing disruptive therapeutics for the treatment of patients with urgent unmet medical needs, today provides a business update and reports financial results for the quarter ended June 30, 2023. As |
|
| July 19, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 July 19, 2023 Date of Report (Date of Earliest Event Reported) Panbela Therapeutics, Inc. (Exact Name of Registrant as Specified in its Charter) Delaware 001-39468 87-2805017 (State of Incorporation) (Commission File Number) (I.R.S. |
|
| July 19, 2023 |
Exhibit 99.1 Panbela Therapeutics to Receive a Total Up to $9.5 Million for Divestiture of Assets within Eflornithine (DFMO) Pediatric Neuroblastoma Program to US WorldMeds MINNEAPOLIS and LOUISVILLE, July 19, 2023 (GLOBE NEWSWIRE) - Panbela Therapeutics, Inc. (Nasdaq: PBLA), a clinical stage company developing disruptive therapeutics for the treatment of patients with urgent unmet medical needs, |
|
| July 10, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 July 10, 2023 Date of Report (Date of Earliest Event Reported) Panbela Therapeutics, Inc. (Exact Name of Registrant as Specified in its Charter) Delaware 001-39468 88-2805017 (State of Incorporation) (Commission File Number) (I.R.S. |
|
| July 10, 2023 |
Company Investor Presentation dated July 10, 2023 Exhibit 99.1 |
|
| June 21, 2023 |
Exhibit 10.2 SECURITIES PURCHASE AGREEMENT This Securities Purchase Agreement (this “Agreement”) is dated as of June 16, 2023, between Panbela Therapeutics, Inc., a Delaware corporation (the “Company”), and each purchaser identified on the signature pages hereto (each, including its successors and assigns, a “Purchaser” and collectively the “Purchasers”). WHEREAS, subject to the terms and conditio |
|
| June 21, 2023 |
Exhibit 4.3 CLASS A COMMON STOCK PURCHASE WARRANT PANBELA THERAPEUTICS, INC. Warrant Shares: Initial Exercise Date: June 21, 2023 CUSIP: 69833W 156 ISIN: US69833W1568 THIS CLASS A 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 fo |
|
| June 21, 2023 |
Form of Pre-Funded Common Stock Purchase Warrant Exhibit 4.2 PRE-FUNDED COMMON STOCK PURCHASE WARRANT PANBELA THERAPEUTICS, INC. Warrant Shares: Initial Exercise Date: [ ], 2023 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 da |
|
| June 21, 2023 |
Exhibit 4.1 PANBELA THERAPEUTICS, INC. and VSTOCK TRANSFER, LLC as Warrant Agent Warrant Agency Agreement Dated as of June 21, 2023 WARRANT AGENCY AGREEMENT WARRANT AGENCY AGREEMENT, dated as of June 21, 2023 ("Agreement"), between Panbela Therapeutics, Inc., a Delaware corporation (the "Company"), and VStock Transfer, LLC, a New York limited liability trust company (the "Warrant Agent"). WITNESSE |
|
| June 21, 2023 |
EX-10.1 6 ex535483.htm EXHIBIT 10.1 Exhibit 10.1 PLACEMENT AGENCY AGREEMENT June 16, 2023 Roth Capital Partners, LLC 888 San Clemente Drive Newport Beach, CA 92660 Ladies and Gentlemen: Introduction. Subject to the terms and conditions herein (this “Agreement”), Panbela Therapeutics, Inc., a Delaware corporation (the “Company”), hereby agrees to sell up to an aggregate of $8,510,816 of registered |
|
| June 21, 2023 |
Exhibit 4.4 CLASS B COMMON STOCK PURCHASE WARRANT PANBELA THERAPEUTICS, INC. Warrant Shares: Initial Exercise Date: June 21, 2023 CUSIP: 69833W 164 ISIN: US69833W1642 THIS CLASS B 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 fo |
|
| June 21, 2023 |
Panbela Announces Pricing of Approximately $8.5 Million Public Offering Exhibit 99.1 Panbela Announces Pricing of Approximately $8.5 Million Public Offering MINNEAPOLIS - Panbela Therapeutics, Inc. (Nasdaq: PBLA), a clinical stage company developing disruptive therapeutics for the treatment of patients with urgent unmet medical needs, today announced the pricing of a public offering of (i) 2,270,000 shares of its common stock or pre-funded warrants in lieu thereof and |
|
| June 21, 2023 |
Panbela Announces Closing of Approximately $8.5 Million Public Offering EX-99.2 9 ex535666.htm EXHIBIT 99.2 Exhibit 99.2 Panbela Announces Closing of Approximately $8.5 Million Public Offering MINNEAPOLIS - Panbela Therapeutics, Inc. (Nasdaq: PBLA), a clinical stage company developing disruptive therapeutics for the treatment of patients with urgent unmet medical needs, today announced the closing of its previously announced public offering of (i) 2,270,000 shares of |
|
| June 21, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 June 16, 2023 Date of Report (Date of Earliest Event Reported) Panbela Therapeutics, Inc. (Exact Name of Registrant as Specified in its Charter) Delaware 001-39468 88-2805017 (State of Incorporation) (Commission File Number) (I.R.S. |
|
| June 20, 2023 |
Filed pursuant to Rule 424(b)(4) Registration No. 333-271729 PROSPECTUS 2,270,000 Shares of Common Stock Class A Common Warrants to purchase up to 2,270,000 Shares of Common Stock Class B Common Warrants to purchase up to 2,270,000 Shares of Common Stock Pre-Funded Warrants to purchase up to 2,270,000 Shares of Common Stock Up to 6,810,000 Shares of Common Stock Underlying Warrants This is a best |
|
| June 9, 2023 |
June 9, 2023 VIA EDGAR TRANSMISSION Division of Corporation Finance United States Securities and Exchange Commission 100 F Street, N. |
|
| June 6, 2023 |
June 6, 2023 VIA EDGAR TRANSMISSION Division of Corporation Finance United States Securities and Exchange Commission 100 F Street, N. |
|
| June 2, 2023 |
Form of Securities Purchase Agreement Exhibit 10.31 SECURITIES PURCHASE AGREEMENT This Securities Purchase Agreement (this “Agreement”) is dated as of [ ], 2023, between Panbela Therapeutics, Inc., a Delaware corporation (the “Company”), and each purchaser identified on the signature pages hereto (each, including its successors and assigns, a “Purchaser” and collectively the “Purchasers”). WHEREAS, subject to the terms and conditions |
|
| June 2, 2023 |
Form of Warrant Agency Agreement Exhibit 4.12 PANBELA THERAPEUTICS, INC. and VSTOCK TRANSFER, LLC as Warrant Agent Warrant Agency Agreement Dated as of [ ], 2023 WARRANT AGENCY AGREEMENT WARRANT AGENCY AGREEMENT, dated as of [ ], 2023 ("Agreement"), between Panbela Therapeutics, Inc., a Delaware corporation (the "Company"), and VStock Transfer, LLC, a New York limited liability trust company (the "Warrant Agent"). WITNESSETH WHER |
|
| June 2, 2023 |
Form of Class A Common Stock Purchase Warrant Exhibit 4.13 CLASS A COMMON STOCK PURCHASE WARRANT PANBELA THERAPEUTICS, INC. Warrant Shares: Initial Exercise Date: [ ], 2023 CUSIP: ISIN: THIS CLASS A 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 afte |
|
| June 2, 2023 |
Exhibit 107 Calculation of Filing Fee Tables Form S-1 (Form Type) Panbela Therapeutics, Inc. |
|
| June 2, 2023 |
Form of Class B Common Stock Purchase Warrant Exhibit 4.14 CLASS B COMMON STOCK PURCHASE WARRANT PANBELA THERAPEUTICS, INC. Warrant Shares: Initial Exercise Date: [ ], 2023 CUSIP: ISIN: THIS CLASS B 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 afte |
|
| June 2, 2023 |
Form of Placement Agency Agreement Exhibit 10.32 PLACEMENT AGENCY AGREEMENT [ ], 2023 Roth Capital Partners, LLC 888 San Clemente Drive Newport Beach, CA 92660 Ladies and Gentlemen: Introduction. Subject to the terms and conditions herein (this “Agreement”), Panbela Therapeutics, Inc., a Delaware corporation (the “Company”), hereby agrees to sell up to an aggregate of $[ ] of registered securities of the Company, consisting of [ ] |
|
| June 2, 2023 |
As filed with the Securities and Exchange Commission on June 2, 2023 As filed with the Securities and Exchange Commission on June 2, 2023 Registration No. |
|
| June 2, 2023 |
Exhibit 4.15 PRE-FUNDED COMMON STOCK PURCHASE WARRANT PANBELA THERAPEUTICS, INC. Warrant Shares: Initial Exercise Date: [ ], 2023 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 d |
|
| May 31, 2023 |
Certificate of Elimination, effective May 30, 2023 Exhibit 3.2 PANBELA THERAPEUTICS, INC. CERTIFICATE OF ELIMINATION OF SERIES A PREFERRED STOCK Pursuant to the provisions of Section 151(g) of the General Corporation Law of the State of Delaware, it is hereby certified that: FIRST: The name of the corporation (hereinafter referred to as the “Corporation”) is Panbela Therapeutics, Inc. On April 14, 2023, the Corporation filed a Certificate of Desig |
|
| May 31, 2023 |
Panbela Announces 1-for-30 Reverse Stock Split Effective June 1, 2023 Exhibit 99.1 Panbela Announces 1-for-30 Reverse Stock Split Effective June 1, 2023 MINNEAPOLIS - Panbela Therapeutics, Inc. (Nasdaq: PBLA), a clinical stage company developing disruptive therapeutics for the treatment of patients with urgent unmet medical needs, today announced that it will implement the previously announced and stockholder approved 1-for-30 reverse split of its common stock. The |
|
| May 31, 2023 |
Exhibit 3.1 CERTIFICATE OF AMENDMENT TO THE RESTATED CERTIFICATE OF INCORPORATION OF PANBELA THERAPEUTICS, INC. The undersigned, Susan Horvath, Chief Financial Officer of Panbela Therapeutics, Inc. (the “Corporation”), a corporation organized and existing under and by virtue of the provisions of the General Corporation Law of the State of Delaware (the “DGCL”), hereby certifies as follows: FIRST: |
|
| May 31, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 May 25, 2023 Date of Report (Date of Earliest Event Reported) Panbela Therapeutics, Inc. (Exact Name of Registrant as Specified in its Charter) Delaware 001-39468 88-2805017 (State of Incorporation) (Commission File Number) (I.R.S. E |
|
| May 8, 2023 |
As filed with the Securities and Exchange Commission on May 8, 2023 As filed with the Securities and Exchange Commission on May 8, 2023 Registration No. |
|
| May 8, 2023 |
Exhibit 107 Calculation of Filing Fee Tables Form S-1 (Form Type) Panbela Therapeutics, Inc. |
|
| May 4, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 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 March 31, 2023 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 No.: 001-39468 Panbela Th |
|
| May 4, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 May 4, 2023 Date of Report (Date of Earliest Event Reported) Panbela Therapeutics, Inc (Exact Name of Registrant as Specified in its Charter) Delaware 001-39468 88-2805017 (State of Incorporation) (Commission File Number) (I.R.S. Emp |
|
| May 4, 2023 |
Panbela Provides Business Update and Reports Q1 2023 Financial Results Exhibit 99.1 Panbela Provides Business Update and Reports Q1 2023 Financial Results MINNEAPOLIS - Panbela Therapeutics, Inc. (Nasdaq: PBLA), a clinical stage company developing disruptive therapeutics for the treatment of patients with urgent unmet medical needs, today provides a business update and reports financial results for the quarter ended March 31, 2023. As previously announced, management |
|
| April 28, 2023 |
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 Proxy State |
|
| April 18, 2023 |
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 Proxy State |
|
| April 18, 2023 |
Exhibit 3.1 PANBELA THERAPEUTICS, INC. Amended and Restated Bylaws ARTICLE I OFFICES Section 1.1 REGISTERED OFFICE. The Corporation shall maintain a registered office and registered agent within the State of Delaware at such place within such State as may be designated from time to time by the Board of Directors of the Corporation. Section 1.2 OTHER OFFICES. The Corporation may also have offices i |
|
| April 18, 2023 |
-12-31 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 April 14, 2023 Date of Report (Date of Earliest Event Reported) Panbela Therapeutics, Inc. (Exact Name of Registrant as Specified in its Charter) Delaware 001-39468 88-2805017 (State of Incorporation) (Commission File Number) |
|
| April 18, 2023 |
Exhibit 10.1 It is the responsibility of any investor purchasing these securities to satisfy itself as to full observance of the laws of any relevant territory outside the United States in connection with any such purchase, including obtaining any required governmental or other consents or observing any other applicable requirements. We are not making an offer to sell these securities in any juris |
|
| April 18, 2023 |
EX-3.2 3 ex501511.htm EXHIBIT 3.2 Exhibit 3.2 PANBELA THERAPEUTICS, INC. CERTIFICATE OF DESIGNATION OF SERIES A PREFERRED STOCK Pursuant to Section 151 of the General Corporation Law of the State of Delaware THE UNDERSIGNED DOES HEREBY CERTIFY, on behalf of Panbela Therapeutics, Inc., a Delaware corporation (the “Corporation”), that the following resolution was duly adopted by the board of directo |
|
| April 12, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 April 5, 2023 Date of Report (Date of Earliest Event Reported) Panbela Therapeutics, Inc. (Exact Name of Registrant as Specified in its Charter) Delaware 001-39468 88-2805017 (State of Incorporation) (Commission File Number) (I.R.S. |
|
| April 12, 2023 |
Exhibit 99.1 Panbela Regains Worldwide Rights to Develop and Commercialize FlynpoviTM in Patients with Familial Adenomatous Polyposis (FAP) MINNEAPOLIS, April 11, 2023 (GLOBE NEWSWIRE) - Panbela Therapeutics, Inc. (Nasdaq: PBLA), a clinical stage biopharmaceutical company developing disruptive therapeutics for the treatment of patients with urgent unmet medical needs today announced that it has re |
|
| March 20, 2023 |
As filed with the Securities and Exchange Commission on March 17, 2023 POS AM 1 pbla20230317posam.htm FORM POS AM As filed with the Securities and Exchange Commission on March 17, 2023 Registration No. 333-269711 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 PANBELA THERAPEUTICS, INC. (Exact name of registrant as specified in its charter) Delaw |
|
| March 20, 2023 |
As filed with the Securities and Exchange Commission on March 17, 2023. As filed with the Securities and Exchange Commission on March 17, 2023. Registration No. 333‑ UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. C. 20549 Form S-8 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 PANBELA THERAPEUTICS, INC. (Exact Name of Registrant as Specified in its Charter) Delaware 88-2805017 (State or other jurisdiction of incorporation or organization) (I. |
|
| March 20, 2023 |
Exhibit 107 Calculation of Registration Fee FORM S-8 (Form Type) PANBELA THERAPEUTICS, INC. |
|
| March 16, 2023 |
Exhibit 21.1 LIST OF SUBSIDIARIES Name Jurisdiction Cancer Prevention Pharmaceuticals, Inc. Delaware Cancer Prevention Pharmaceuticals, LLC Arizona Cancer Prevention Pharma (Ireland) Limited* Dublin, Ireland Cancer Prevention Pharma Limited* London, England Panbela Research, Inc. Delaware Panbela Therapeutics Pty Ltd† Victoria, Australia * Indirect subsidiary wholly-owned by Cancer Prevention Phar |
|
| March 16, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 March 16, 2023 Date of Report (Date of Earliest Event Reported) Panbela Therapeutics, Inc (Exact Name of Registrant as Specified in its Charter) Delaware 001-39468 88-2805017 (State of Incorporation) (Commission File Number) (I.R.S. |
|
| March 16, 2023 |
Exhibit 24.1 PANBELA THERAPEUTICS, INC. Power of Attorney The undersigned director of Panbela Therapeutics, Inc., a Delaware corporation, does hereby make, constitute and appoint Jennifer K. Simpson and Susan Horvath, and each of them individually, as the undersigned’s true and lawful attorney-in-fact and agent, with full power of substitution and resubstitution, for the undersigned and in the und |
|
| March 16, 2023 |
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 ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2022 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: 001-39468 PANBELA THERAPEUTICS, INC |
|
| March 16, 2023 |
Panbela Provides Business Update and Reports Q4 and FY 2022 Financial Results Exhibit 99.1 Panbela Provides Business Update and Reports Q4 and FY 2022 Financial Results MINNEAPOLIS - Panbela Therapeutics, Inc. (Nasdaq: PBLA), a clinical stage company developing disruptive therapeutics for the treatment of patients with urgent unmet medical needs, today provides a business update and reports financial results for the quarter and full year ended December 31, 2022. As previous |
