Statistik Asas
| LEI | 549300KEXDQRVGRQPE70 |
| CIK | 1497504 |
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 PLx Pharma Inc.
SEC Filings (Chronological Order)
Halaman ini menyediakan senarai kronologi lengkap bagi Pemfailan SEC, tidak termasuk pemfailan pemilikan yang kami sediakan di tempat lain.
| October 18, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 15 CERTIFICATION AND NOTICE OF TERMINATION OF REGISTRATION UNDER SECTION 12(g) OF THE SECURITIES EXCHANGE ACT OF 1934 OR SUSPENSION OF DUTY TO FILE REPORTS UNDER SECTIONS 13 AND 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934. Commission File Number: 001-36351 PLx Pharma Winddown Corp. (Exact name of registrant as specified |
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| September 20, 2023 |
Case 23-10456-MFW Doc 279 Filed 09/14/23 Page 1 of 20 IN THE UNITED STATES BANKRUPTCY COURT FOR THE DISTRICT OF DELAWARE ) In re: ) Chapter 11 ) PLX PHARMA WINDDOWN CORP. |
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| September 20, 2023 |
Financial Statements and Exhibits, Other Events, Bankruptcy or Receivership UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 - FORM 8-K - CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): September 14, 2023 - PLx Pharma Winddown Corp. (Exact name of Registrant as Specified in Its Charter) - Delaware (State or Other Jurisdiction of Incorporation) 001-36351 (Commissi |
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| September 20, 2023 |
UST Form 11-MOR (12/01/2021) 1 UNITED STATES BANKRUPTCY COURT DISTRICT OF DELAWARE In Re. |
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| August 22, 2023 |
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 Date of Report (Date of earliest event reported): August 21, 2023 - PLx Pharma Winddown Corp. (Exact name of Registrant as Specified in Its Charter) - Delaware (State or Other Jurisdiction of Incorporation) 001-36351 (Commission |
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| August 22, 2023 |
UST Form 11-MOR (12/01/2021) 1 UNITED STATES BANKRUPTCY COURT DISTRICT OF DELAWARE In Re. |
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| July 21, 2023 |
UST Form 11-MOR (12/01/2021) 1 UNITED STATES BANKRUPTCY COURT DISTRICT OF DELAWARE In Re. |
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| July 21, 2023 |
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 Date of Report (Date of earliest event reported): July 20, 2023 - PLx Pharma Winddown Corp. (Exact name of Registrant as Specified in Its Charter) - Delaware (State or Other Jurisdiction of Incorporation) 001-36351 (Commission Fi |
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| July 12, 2023 |
30518734.2 **THIS IS NOT A SOLICITATION OF AN ACCEPTANCE OR REJECTION OF THIS COMBINED DISCLOSURE STATEMENT AND PLAN. ACCEPTANCES OR REJECTIONS MAY NOT BE SOLICITED UNTIL THE COMBINED DISCLOSURE STATEMENT AND PLAN HAS BEEN PROVISIONALLY APPROVED BY THE BANKRUPTCY COURT.** IN THE UNITED STATES BANKRUPTCY COURT FOR THE DISTRICT OF DELAWARE ) In re: ) Chapter 11 ) PLX PHARMA WINDDOWN CORP., et al., 1 |
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| July 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 Date of Report (Date of earliest event reported): July 7, 2023 - PLx Pharma Winddown Corp. (Exact name of Registrant as Specified in Its Charter) - Delaware (State or Other Jurisdiction of Incorporation) 001-36351 (Commission Fil |
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| July 7, 2023 |
AMENDMENT NO. 1 AMENDED AND RESTATED BYLAWS PLX PHARMA WINDDOWN CORP. Exhibit 3.1 AMENDMENT NO. 1 TO AMENDED AND RESTATED BYLAWS OF PLX PHARMA WINDDOWN CORP. The Amended and Restated Bylaws (the “Bylaws”) of PLx Pharma Winddown Corp., formerly known as PLx Pharma Inc. (the “Corporation”), are hereby amended by: (a) Changing all references to the name of the Corporation from “PLx Pharma Inc.” to “PLx Pharma Winddown Corp.”; (b) Amending and restating Article 6, Secti |
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| July 7, 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 Date of Report (Date of earliest event reported): June 30, 2023 - PLx Pharma Winddown Corp. (Exact name of Registrant as Specified in Its Charter) - Delaware (State or Other Jurisdiction of Incorporation) 001-36351 (Commission Fi |
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| June 27, 2023 |
UST Form 11-MOR (12/01/2021) 1 UNITED STATES BANKRUPTCY COURT DISTRICT OF DELAWARE In Re. |
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| June 27, 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 Date of Report (Date of earliest event reported): June 21, 2023 - PLx Pharma Winddown Corp. (Exact name of Registrant as Specified in Its Charter) - Delaware (State or Other Jurisdiction of Incorporation) 001-36351 (Commission Fi |
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| May 26, 2023 |
AMENDMENT NO. 1 TO ASSET PURCHASE AGREEMENT AMENDMENT NO. 1 TO ASSET PURCHASE AGREEMENT This Amendment No. 1 (this “Amendment”) to the Asset Purchase Agreement (the “Agreement”) entered into and effective as of April 12, 2023, is entered into as of May 26, 2023, by and among PLx Pharma Inc., a Delaware corporation (the “Company”) and PLx Opco Inc., a Delaware corporation and a wholly-owned subsidiary of the Company (together with the Compan |
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| May 26, 2023 |
CERTIFICATE OF AMENDMENT TO THE CERTIFICATE OF INCORPORATION OF PLX PHARMA INC. Pursuant to Section 242 of the General Corporation Law of the State of Delaware IT IS HEREBY CERTIFIED THAT: 1. The name of the corporation is: PLx Pharma Inc. (the “Corporation”). The original Certificate of Incorporation of the Corporation was filed with the Secretary of State of the State of Delaware on March 12, 20 |
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| May 26, 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 Date of Report (Date of earliest event reported): May 26, 2023 - PLx Pharma Winddown Corp. (Exact name of Registrant as Specified in Its Charter) - Delaware (State or Other Jurisdiction of Incorporation) 001-36351 (Commission Fil |
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| May 26, 2023 |
UST Form 11-MOR (12/01/2021) 1 UNITED STATES BANKRUPTCY COURT DISTRICT OF DELAWARE In Re. |
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| April 13, 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 Date of report (Date of earliest event reported): April 13, 2023 PLx Pharma Inc. (Exact Name of Registrant as Specified in Its Charter) Delaware 001-36351 46-4995704 (State or other Jurisdiction of Incorporation) (Commission File Num |
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| 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 Date of report (Date of earliest event reported): April 12, 2023 PLx Pharma Inc. (Exact Name of Registrant as Specified in Its Charter) Delaware 001-36351 46-4995704 (State or other Jurisdiction of Incorporation) (Commission File Num |
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| April 12, 2023 |
For Immediate Release PLx Pharma Inc. Enters into a Stalking Horse Asset Purchase Agreement to Sell VAZALORE® and Substantially All of its Assets Sparta, New Jersey, April 12, 2023 - PLx Pharma Inc. (NASDAQ: PLXP) (“PLx” or the “Company”), is a commercial-stage drug delivery platform technology company focused on its clinically-validated and patent-protected PLxGuard™ and VAZALORE®, an FDA-approve |
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| April 12, 2023 |
Exhibit 10.1 ASSET PURCHASE AGREEMENT dated as of April 12, 2023 by and among PLx Acquisition Company, LLC as Buyer, and PLx Pharma Inc. and PLX OPCO INC., as Sellers Table of Contents Page: Article I. Definitions 1 1.1 Defined Terms. 1 1.2 Interpretation. 16 Article II. Acquired Assets and Assumption Of Liabilities 17 2.1 Assets to be Acquired. 17 2.2 Excluded Assets. 18 2.3 Liabilities to be Ass |
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| April 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 Date of report (Date of earliest event reported): April 4, 2023 PLx Pharma Inc. (Exact Name of Registrant as Specified in Its Charter) Delaware 001-36351 46-4995704 (State or other Jurisdiction of Incorporation) (Commission File Numb |
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| April 6, 2023 |
PLXP / PLx Pharma Inc. / Park West Asset Management LLC Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No.)* PLx Pharma Inc. (Name of Issuer) Common Stock, $0.001 par value per share (Title of Class of Securities) 72942A107 (CUSIP Number) April 4, 2023 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant |
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| April 6, 2023 |
EX-99.1 2 ex99-1.htm Exhibit 99.1 JOINT FILING AGREEMENT In accordance with Rule 13d-1(k) under the Securities Exchange Act of 1934, as amended, the persons named below agree to the joint filing on behalf of them of a statement on Schedule 13G (including amendments thereto) with respect to the shares of common stock, $0.001 par value per share, of PLx Pharma Inc., a Delaware corporation, and furth |
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| March 8, 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 Date of report (Date of earliest event reported): March 7, 2023 PLx Pharma Inc. (Exact Name of Registrant as Specified in Its Charter) Delaware 001-36351 46-4995704 (State or other Jurisdiction of Incorporation) (Commission File Numb |
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| February 14, 2023 |
PLXP / PLx Pharma Inc / MSD Partners, L.P. - SC 13G/A Passive Investment SC 13G/A CUSIP No. 72942A107 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G UNDER THE SECURITIES EXCHANGE ACT OF 1934 (Amendment No.1)* PLX PHARMA INC. (Name of Issuer) Common Stock, $.001 par value per share (Title of Class of Securities) 72942A107 (CUSIP Number) December 31, 2022 (Date of Event Which Requires Filing of this Statement) Check the appropriate b |
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| February 14, 2023 |
Joint Filing Agreement dated February 14, 2023. EX-99.1 2 d406333dex991.htm EX-99.1 CUSIP No. 72942A107 Exhibit 99.1 AGREEMENT REGARDING THE JOINT FILING OF SCHEDULE 13G The undersigned hereby agree as follows: (i) Each of them is individually eligible to use the Schedule 13G to which this Exhibit is attached, and such Schedule 13G is filed on behalf of each of them; and (ii) Each of them is responsible for the timely filing of such Schedule 13 |
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| February 13, 2023 |
Form of Award Notice under PLx Pharma Inc. 2023 Key Executive Retention Plan PLX PHARMA INC. 2023 KEY EXECUTIVE RETENTION PLAN AWARD NOTICE PLx Pharma Inc. (the “Company”), pursuant to the Company’s 2023 Key Executive Retention Plan (“Plan”), hereby grants to the Participant named below a Retention Payment (the “Retention Payment”) in the amount set forth below. The award is subject to all of the terms and conditions as set forth in this notice (this “Award Notice”) and th |
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| February 13, 2023 |
PLx Pharma Inc. 2023 Key Executive Retention Plan PLX PHARMA INC. 2023 KEY EXECUTIVE RETENTION PLAN Article 1 PURPOSE Section 1.01. Purpose. The purpose of the 2023 Key Executive Retention Plan (the “Plan”) of PLx Pharma Inc. (the “Company”) is to provide selected key executives of the Company and its affiliates (including PLx Opco Inc.) Retention Payments that are intended to provide an incentive to complete the restructure of the Company’s oper |
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| February 13, 2023 |
Award Notice, by and between PLx Pharma Inc. and Rita O’Connor, dated February 13, 2023. PLX PHARMA INC. 2023 KEY EXECUTIVE RETENTION PLAN AWARD NOTICE PLx Pharma Inc. (the “Company”), pursuant to the Company’s 2023 Key Executive Retention Plan (“Plan”), hereby grants to the Participant named below a Retention Payment (the “Retention Payment”) in the amount set forth below. The award is subject to all of the terms and conditions as set forth in this notice (this “Award Notice”) and th |
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| February 13, 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 Date of report (Date of earliest event reported): February 7, 2023 PLx Pharma Inc. (Exact Name of Registrant as Specified in Its Charter) Delaware 001-36351 46-4995704 (State or other Jurisdiction of Incorporation) (Commission File N |
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| February 13, 2023 |
SEVERANCE AND SETTLEMENT AGREEMENT AND RELEASE OF ALL CLAIMS THIS SEVERANCE AND SETTLEMENT AGREEMENT AND RELEASE OF ALL CLAIMS is by and between MICHAEL J. |
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| February 13, 2023 |
Award Notice, by and between PLx Pharma Inc. and Natasha Giordano, dated February 13, 2023. PLX PHARMA INC. 2023 KEY EXECUTIVE RETENTION PLAN AWARD NOTICE PLx Pharma Inc. (the “Company”), pursuant to the Company’s 2023 Key Executive Retention Plan (“Plan”), hereby grants to the Participant named below a Retention Payment (the “Retention Payment”) in the amount set forth below. The award is subject to all of the terms and conditions as set forth in this notice (this “Award Notice”) and th |
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| January 20, 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 Date of report (Date of earliest event reported): January 14, 2023 PLx Pharma Inc. (Exact Name of Registrant as Specified in Its Charter) Delaware 001-36351 46-4995704 (State or other Jurisdiction of Incorporation) (Commission File N |
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| November 10, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): November 8, 2022 PLx Pharma Inc. (Exact Name of Registrant as Specified in Its Charter) Delaware 001-36351 46-4995704 (State or other Jurisdiction of Incorporation) (Commission File N |
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| November 10, 2022 |
For Immediate Release PLx Pharma Inc. Reports Third Quarter 2022 Results and Provides Business Update - Significant Reduction in Operating Expenses - Strategic Alternatives Process Ongoing ? Total Net Sales of $0.4 Million, Including $0.3 Million of Unfavorable Adjustments for Additional Trade Allowances and Incremental Sales Returns Reserves in Q3 2022 ? Total Operating Expenses Significantly Low |
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| November 10, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark one) ? Quarterly Report Under Section 13 or 15(d) of the Securities Exchange Act of 1934 For the Quarterly Period Ended September 30, 2022 Or ? Transition Report Under Section 13 or 15(d) of the Securities Exchange Act of 1934 Commission File Number 001-36351 Commission File Number 001-36351 P |
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| October 7, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): October 7, 2022 (October 3, 2022) PLx Pharma Inc. (Exact Name of Registrant as Specified in Its Charter) Delaware 001-36351 46-4995704 (State or other Jurisdiction of Incorporation) ( |
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| September 29, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ? Filed by a Party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? Confide |
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| September 29, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ? Filed by a Party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? Confide |
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| August 12, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark one) ? Quarterly Report Under Section 13 or 15(d) of the Securities Exchange Act of 1934 For the Quarterly Period Ended June 30, 2022 Or ? Transition Report Under Section 13 or 15(d) of the Securities Exchange Act of 1934 Commission File Number 001-36351 Commission File Number 001-36351 PLx Ph |
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| August 12, 2022 |
Financial Statements and Exhibits, Results of Operations and Financial Condition, 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 Date of report (Date of earliest event reported): August 12, 2022 PLx Pharma Inc. (Exact Name of Registrant as Specified in Its Charter) Delaware 001-36351 46-4995704 (State or other Jurisdiction of Incorporation) (Commission File Nu |
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| August 12, 2022 |
For Immediate Release PLx Pharma Inc. Reports Second Quarter 2022 Results and Provides Business Update - Initiates Evaluation of Strategic Alternatives to Enhance Stockholder Value - Reports Positive Results of VAZALORE? 81 mg Patient Experience Survey - Streamlines Sales & Marketing Plan ? Total Net Sales of $0.5 Million, Including $0.4 Million of Unfavorable Adjustments for Additional Trade Allo |
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| May 13, 2022 |
For Immediate Release PLx Pharma Inc. Reports First Quarter 2022 Results and Provides Business Update BUILDING A SOLID BASE OF VAZALORE? USERS ? Total Net Sales of $2.1 Million in the First Quarter of 2022, an Increase of Approximately 31% from Fourth Quarter of 2021 ? GAAP Net Loss of ($0.39) Per Diluted Share in the First Quarter 2022; Adjusted Non-GAAP Net Loss Per Diluted Share of ($0.66) ? Ca |
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| May 13, 2022 |
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 Date of report (Date of earliest event reported): May 13, 2022 PLx Pharma Inc. (Exact Name of Registrant as Specified in Its Charter) Delaware 001-36351 46-4995704 (State or other Jurisdiction of Incorporation) (Commission File Numbe |
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| May 13, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark one) ? Quarterly Report Under Section 13 or 15(d) of the Securities Exchange Act of 1934 For the Quarterly Period Ended March 31, 2022 Or ? Transition Report Under Section 13 or 15(d) of the Securities Exchange Act of 1934 Commission File Number 001-36351 Commission File Number 001-36351 PLx P |
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| April 29, 2022 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K/A (Amendment No. 1) ? ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2021 -12-31FY2021 or ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commissi |
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| April 21, 2022 |
Amended and Restated Bylaws of PLx Pharma Inc. AMENDED AND RESTATED BYLAWS OF PLX PHARMA INC. (a Delaware Corporation) PLx Pharma Inc., a Delaware corporation (the ?Corporation?), pursuant to the provisions of Section 109 of the Delaware General Corporation Law (?DGCL?), hereby adopts these Amended and Restated Bylaws (the ?Bylaws?), which restate, amend and supersede the bylaws of the Corporation, as previously amended and restated, in their |
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| April 21, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): April 20, 2022 PLx Pharma Inc. (Exact Name of Registrant as Specified in Its Charter) Delaware 001-36351 46-4995704 (State or other Jurisdiction of Incorporation) (Commission File Num |
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| March 15, 2022 |
Regulation FD Disclosure, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): March 15, 2022 PLx Pharma Inc. (Exact Name of Registrant as Specified in Its Charter) Delaware 001-36351 46-4995704 (State or other Jurisdiction of Incorporation) (Commission File Num |
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| March 15, 2022 | ||
| March 11, 2022 |
Description of Registered Securities.* Exhibit 4.6 DESCRIPTION OF THE REGISTRANT?S SECURITIES REGISTERED PURSUANT TO SECTION 12 OF THE SECURITIES EXCHANGE ACT OF 1934 PLx Pharma Inc. (the ?Company?) has one class of securities registered under Section 12 of the Securities Exchange Act of 1934, as amended (the ?Exchange Act?): its common stock, par value $0.001 per share (?Common Stock?). The following is a summary of the material terms |
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| March 11, 2022 |
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 Date of report (Date of earliest event reported): March 11, 2022 PLx Pharma Inc. (Exact Name of Registrant as Specified in Its Charter) Delaware 001-36351 46-4995704 (State or other Jurisdiction of Incorporation) (Commission File Num |
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| March 11, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K Table of Contents 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, 2021 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 001-36351 PLX PHAR |
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| March 11, 2022 |
For Immediate Release PLx Pharma Inc. Reports Fourth Quarter and Full Year 2021 Results and Provides Business Update MOMENTUM BUILDING FOR NOVEL VAZALORE? LIQUID-FILLED ASPIRIN CAPSULES ? Total Net Sales of $8.2 Million in Last Five Months of 2021 ? Net Sales of $1.6 Million in the Fourth Quarter 2021, Reflecting Timing of Trade Re-Orders Following Strong Initial Sales Distribution of VAZALORE in |
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| March 11, 2022 |
Exhibit 21.1 Subsidiaries of PLx Pharma Inc. 1. PLx Opco Inc., organized under the laws of Delaware |
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| February 16, 2022 |
PLXP / PLx Pharma Inc / WHITE ROCK CAPITAL MANAGEMENT LP - SC 13G/A Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1) PLx Pharma Inc. (Name of Issuer) Common Stock, $0.001 Par Value Per Share (Title of Class of Securities) 72942A107 (CUSIP Number) December 31, 2021 (Date of Event which Requires Filing of this Statement) Check the appropriate box to designate the rule pur |
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| February 14, 2022 |
PLXP / PLx Pharma Inc / Rosalind Advisors, Inc. - SC 13G/A Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G/A (Amendment No. 2) Under the Securities Exchange Act of 1934 PLx Pharma Inc. (Name of Issuer) Common Shares (Title of Class of Securities) 72942A107 (CUSIP Number) December 31, 2021 (Date of Event which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Sched |
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| February 14, 2022 |
EX-99.A 2 exa.htm EXHIBIT A Exhibit A Joint Filing Agreement The undersigned hereby agree that this Statement on Schedule 13G/A with respect to the beneficial ownership of shares of Common Stock of PLx Pharma Inc. is filed jointly, on behalf of each of them. Rosalind Advisors, Inc. By: /s/ Steven Salamon Name: Steven Salamon Title: President Rosalind Master Fund L.P. By: /s/ Mike McDonald Name: Mi |
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| February 11, 2022 |
PLXP / PLx Pharma Inc / Level One Partners, LLC - SCHEDULE 13G Passive Investment begin 644 schedule13g.pdf M)5!$1BTQ+C,-)?\-,2 P(&]B:@T\/ TO5&ET;&4@*/[ ', 8P!H &4 M9 !U &P 90 Q #, 9P N &0 ;P!C '@I#2]0PR+XJTX#^G5S2]A@ M==OR^'HRJS$^B7Q9?C/&N#1\&B&-F,:6QIX&IG$NSRYJ[JSFZ/NUK'&C-7Y? M'G^? .,*84G*'W\N9K5VK\IB$TK65!%MC]9Q*;:)/33W5G3>VSR8,H=Y#M(# ML'F(.A\H"*(0E,)S&44P:KMV%#%:T@L4@)K75A3K$.(:^# D*>0'TC60,I M,D 6INA"L!I-N2+$>WUVE@#4L 6]#4.TT*R"F; M'+;)85L68X?+,X$/SR>C[#G+<8#.^2-4> D[?:2 |
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| February 11, 2022 |
PLXP / PLx Pharma Inc / Level One Partners, LLC - SCHEDULE 13G Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1)* PLx Pharma Inc. - (Name of Issuer) Common Stock, $0.001 par value - (Title of Class of Securities) 72942A107 - (CUSIP Number) December 31, 2021 - (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule purs |
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| November 22, 2021 |
As filed with the Securities and Exchange Commission on November 22, 2021 S-8 1 s81157701611192021.htm As filed with the Securities and Exchange Commission on November 22, 2021 Registration No. 333- UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM S-8 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 PLX PHARMA INC. (Exact name of registrant as specified in its charter) Delaware (State or other jurisdiction of incorporation or organizat |
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| November 12, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): November 9, 2021 PLx Pharma Inc. (Exact Name of Registrant as Specified in Its Charter) Delaware 001-36351 46-4995704 (State or other Jurisdiction of Incorporation) (Commission File N |
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| November 12, 2021 |
For Immediate Release PLx Pharma Inc. Reports Third Quarter 2021 Results and Provides Business Update - Results demonstrate strong execution of initial phase of VAZALORE commercial launch, including shipments to 30,000+ stores nationwide and e-commerce sites - - Reported net revenue of $6.6 million in third quarter 2021 reflecting initial sales of VAZALORE - - Third quarter 2021 net loss was ($0.8 |
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| November 12, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark one) ? Quarterly Report Under Section 13 or 15(d) of the Securities Exchange Act of 1934 For the Quarterly Period Ended September 30, 2021 Or ? Transition Report Under Section 13 or 15(d) of the Securities Exchange Act of 1934 Commission File Number 001-36351 Commission File Number 001-36351 P |
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| October 5, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of The Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ? Filed by a Party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? Confide |
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| September 21, 2021 |
Regulation FD Disclosure, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): September 21, 2021 PLx Pharma Inc. (Exact Name of Registrant as Specified in Its Charter) Delaware 001-36351 46-4995704 (State or other Jurisdiction of Incorporation) (Commission File |
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| September 21, 2021 | ||
| August 13, 2021 |
PLx Pharma Inc. 9 Fishers Lane, Ste. E Sparta, New Jersey 07871 August 13, 2021 PLx Pharma Inc. 9 Fishers Lane, Ste. E Sparta, New Jersey 07871 August 13, 2021 VIA EDGAR United States Securities and Exchange Commission Division of Corporation Finance Office of Life Sciences 100 F Street, N.E., Mail Stop 4546 Washington, D.C. 20549-4546 Attention: Jordan Nimitz Re: PLx Pharma Inc. Registration Statement on Form S-3 Filed August 6, 2021 File No. 333-258540 Ladies and Gentlemen: |
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| August 6, 2021 |
Exhibit 1.2 PLx Pharma Inc. Common Stock EQUITY DISTRIBUTION AGREEMENT Dated: August 6, 2021 TABLE OF CONTENTS SECTION 1. Description of Securities. SECTION 2. Placements. SECTION 3. Sale of Placement Securities by the Placement Agent SECTION 4. Suspension of Sales SECTION 5. Representations and Warranties. SECTION 6. Sale and Delivery to the Placement Agent; Settlement. SECTION 7. Covenants of th |
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| August 6, 2021 |
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 Date of Report (Date of Earliest Event Reported): August 6, 2021 PLx Pharma Inc. (Exact Name of Registrant as Specified in Its Charter) Delaware 001-36351 46-4995704 (State or Other Jurisdiction of Incorporation) (Commission File Num |
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| August 6, 2021 |
As filed with the Securities and Exchange Commission on August 6, 2021 As filed with the Securities and Exchange Commission on August 6, 2021 Registration No. |
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| August 6, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark one) ? Quarterly Report Under Section 13 or 15(d) of the Securities Exchange Act of 1934 For the Quarterly Period Ended June 30, 2021 Or ? Transition Report Under Section 13 or 15(d) of the Securities Exchange Act of 1934 Commission File Number 001-36351 Commission File Number 001-36351 PLx Ph |
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| August 6, 2021 |
Exhibit 10.1 SECOND AMENDMENT TO EMPLOYMENT AGREEMENT This SECOND AMENDMENT TO EMPLOYMENT AGREEMENT (the ?Second Amendment?) is made and entered into as of August 3, 2021, by and between Rita O?Connor (the ?Executive?) and PLx Pharma Inc., a Delaware corporation (the ?Company?) for the purpose of amending that one certain Employment Agreement, dated May 1, 2017, by and between the parties, as prev |
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| August 6, 2021 |
Exhibit 4.3 PLX PHARMA INC. Issuer AND as Trustee INDENTURE Dated as of , 20 Debt Securities CROSS-REFERENCE TABLE(1) SECTION OF TRUST INDENTURE ACT OF 1939, AS AMENDED SECTION(S) OF INDENTURE 310(a) 7.9 310(b) 7.8 311(a) 7.13 311(b) 7.13 312(a) 5.1, 5.2(a) 312(b) 5.2(b) 312(c) 5.2(c) 313(a) 5.4 313(b) 5.4 313(c) 5.4 313(d) 5.4 314(a) 5.3, 14.12 314(c) 14.7(a) 314(e) 14.7(b) 315(a) 7.1 315(b) 7.14 |
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| August 6, 2021 |
Exhibit 99.1 For Immediate Release PLx Pharma Inc. Reports Second Quarter 2021 Results and Provides Business Update - Walmart, Walgreens, Rite Aid, CVS and many other retailers placing VAZALORE on shelves later this month- -VAZALORE launch inventory manufactured and currently shipping to retailers across the country- Sparta, New Jersey, August 6, 2021 ? PLx Pharma Inc. (NASDAQ: PLXP) (?PLx? or the |
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| August 6, 2021 |
Entry into a Material Definitive Agreement, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): August 6, 2021 PLx Pharma Inc. (Exact Name of Registrant as Specified in Its Charter) Delaware 001-36351 46-4995704 (State or other Jurisdiction of Incorporation) (Commission File Num |
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| June 11, 2021 |
PLXP / PLx Pharma Inc / Park West Asset Management LLC - AMENDMENT NO. 4 Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 13D THE SECURITIES EXCHANGE ACT OF 1934 (Amendment No. |
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| June 11, 2021 |
SALES AGENCY AGREEMENT June 7, 2021 RAYMOND JAMES & ASSOCIATES, INC. 880 Carillon Parkway St. Petersburg, Florida 33716 Dear Sir or Madam: This agreement (this ?Agreement?) sets forth the terms and conditions upon which Park West Investors Master Fund, Limited (?PWIMF?), a Cayman Islands exempted company and Park West Partners International, Limited, a Cayman Islands exempted company (?PWPI? and, |
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| June 11, 2021 |
2,580,644 SHARES PLX PHARMA INC. Common Stock ($0.001 par value) Filed Pursuant to Rule 424(b)(3) Registration No. 333-239547 PROSPECTUS 2,580,644 SHARES PLX PHARMA INC. Common Stock ($0.001 par value) This prospectus relates to the resale of up to 2,580,644 shares of PLx Pharma Inc. (the ?Company,? ?we,? ?our? or ?us?) common stock by the selling stockholders listed in this prospectus or their permitted transferees. The shares of common stock being offered by |
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| June 11, 2021 |
5,769,230 SHARES PLX PHARMA INC. Common Stock ($0.001 par value) Filed Pursuant to Rule 424(b)(3) Registration No. 333-230550 PROSPECTUS 5,769,230 SHARES PLX PHARMA INC. Common Stock ($0.001 par value) This prospectus relates to the resale of up to 5,769,230 shares of PLx Pharma Inc. (the ?Company,? ?we,? ?our? or ?us?) common stock by the selling stockholders listed in this prospectus or their permitted transferees. The shares of common stock being offered by |
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| May 14, 2021 |
Exhibit 99.1 For Immediate Release PLx Pharma Inc. Reports First Quarter 2021 Results and Provides Business Update - VAZALORE 325 mg and 81 mg, the first-ever novel, liquid-filled aspirin capsules, gain FDA approval ? - Company secured $71.4 million of gross proceeds in an underwritten public offering of common stock for the launch of VAZALORE ? - VAZALORE?s U.S. commercial launch on track for thi |
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| May 14, 2021 |
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 Date of Report (Date of Earliest Event Reported): May 14, 2021 PLx Pharma Inc. (Exact Name of Registrant as Specified in Its Charter) Delaware 001-36351 46-4995704 (State or Other Jurisdiction of Incorporation) (Commission File Numbe |
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| May 14, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark one) ? Quarterly Report Under Section 13 or 15(d) of the Securities Exchange Act of 1934 For the Quarterly Period Ended March 31, 2021 Or ? Transition Report Under Section 13 or 15(d) of the Securities Exchange Act of 1934 Commission File Number 001-36351 Commission File Number 001-36351 PLx P |
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| April 30, 2021 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K/A (Amendment No. 1) ? ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2020 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 numbe |
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| March 17, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): March 16, 2021 PLx Pharma Inc. (Exact Name of Registrant as Specified in Its Charter) Delaware 001-36351 46-4995704 (State or Other Jurisdiction of Incorporation) (Commission File Num |
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| March 16, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* PLx Pharma Inc. - (Name of Issuer) Common Stock, $0.001 par value - (Title of Class of Securities) 72942A107 - (CUSIP Number) November 18, 2020 - (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursu |
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| March 12, 2021 |
Description of Registered Securities.* Exhibit 4.6 DESCRIPTION OF THE REGISTRANT?S SECURITIES REGISTERED PURSUANT TO SECTION 12 OF THE SECURITIES EXCHANGE ACT OF 1934 PLx Pharma Inc. (the ?Company?) has one class of securities registered under Section 12 of the Securities Exchange Act of 1934, as amended (the ?Exchange Act?): its common stock, par value $0.001 per share (?Common Stock?). The following is a summary of the material terms |
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| March 12, 2021 |
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 Date of Report (Date of Earliest Event Reported): March 12, 2021 PLx Pharma Inc. (Exact Name of Registrant as Specified in Its Charter) Delaware 001-36351 46-4995704 (State or Other Jurisdiction of Incorporation) (Commission File Num |
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| March 12, 2021 |
Table of Contents 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, 2020 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 001-36351 PLx phar |
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| March 12, 2021 |
Exhibit 99.1 For Immediate Release PLx Pharma Inc. Reports Fourth Quarter and Full Year 2020 Results and Provides Business Update - Received FDA approval of sNDAs for both VAZALORE 325 mg and 81 mg, the first-ever novel, liquid-filled aspirin capsule - - U.S. commercial launch of VAZALORE planned for third quarter 2021 - - Secured $63 million of gross proceeds in an underwritten public offering of |
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| March 12, 2021 |
Exhibit 21.1 Subsidiaries of PLx Pharma Inc. 1. PLx Opco Inc., organized under the laws of Delaware |
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| March 4, 2021 |
Filed Pursuant to Rule 424(b)(5) Registration No. 333- 230478 Prospectus Supplement (To Prospectus Dated April 4, 2019) Shares of Common Stock We are offering 7,875,000 shares of our common stock, par value $0.001 per share. Our common stock is listed on the Nasdaq Capital Market under the symbol “PLXP.” On March 1, 2021, the last reported sale price of our common stock on the Nasdaq Capital Marke |
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| March 3, 2021 |
Entry into a Material Definitive Agreement, 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 Date of Report (Date of Earliest Event Reported): March 3, 2021 PLx Pharma Inc. (Exact Name of Registrant as Specified in Its Charter) Delaware 001-36351 46-4995704 (State or Other Jurisdiction of Incorporation) (Commission File Numb |
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| March 3, 2021 |
PLX PHARMA INC. PRICES $63 MILLION UNDERWRITTEN PUBLIC OFFERING OF COMMON STOCK Exhibit 99.1 For Immediate Release PLX PHARMA INC. PRICES $63 MILLION UNDERWRITTEN PUBLIC OFFERING OF COMMON STOCK Sparta, New Jersey (March 3, 2021) - PLx Pharma Inc. (NASDAQ: PLXP) (?PLx? or the ?Company?), a late-stage specialty pharmaceutical company focused on its clinically-validated and patent-protected PLxGuard? drug delivery platform designed to provide more effective and safer products, |
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| March 3, 2021 |
Exhibit 1.1 7,875,000 Shares1 PLx Pharma Inc. Common Stock UNDERWRITING AGREEMENT St. Petersburg, Florida March 3, 2021 Raymond James & Associates, Inc. As Representative of the Several Underwriters listed on Schedule I hereto 880 Carillon Parkway St. Petersburg, Florida 33716 Ladies and Gentlemen: PLx Pharma Inc., a Delaware corporation (the ?Company?), proposes, subject to the terms and conditio |
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| March 2, 2021 |
PLX PHARMA INC. ANNOUNCES PROPOSED PUBLIC OFFERING OF COMMON STOCK Exhibit 99.1 For Immediate Release PLX PHARMA INC. ANNOUNCES PROPOSED PUBLIC OFFERING OF COMMON STOCK Sparta, New Jersey, March 2, 2021 — PLx Pharma Inc. (NASDAQ: PLXP) (“PLx” or the “Company”), a late-stage specialty pharmaceutical company focused on its clinically-validated and patent-protected PLxGuard™ drug delivery platform designed to provide more effective and safer products, announced toda |
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| March 2, 2021 |
Exhibit 10.1 TERMINATION OF EQUITY DISTRIBUTION AGREEMENT This Termination of Equity Distribution Agreement (this ?Agreement?), dated as of March 2, 2021, is made by and between PLx Pharma Inc. (the ?Company?), and JMP Securities LLC (?JMP,? and, together with the Company, each a ?Party? and collectively, the ?Parties?). WHEREAS, JMP and the Company are party to that certain Equity Distribution Ag |
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| March 2, 2021 |
SUBJECT TO COMPLETION, DATED MARCH 2, 2021 Filed Pursuant to Rule 424(b)(5) Registration No. 333- 230478 The information in this preliminary prospectus supplement is not complete and may be changed. This preliminary prospectus supplement and the accompanying prospectus are part of an effective registration statement filed with the Securities and Exchange Commission under the Securities Act of 1933. This preliminary prospectus supplement an |
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| March 2, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): March 2, 2021 PLx Pharma Inc. (Exact Name of Registrant as Specified in Its Charter) Delaware 001-36351 46-4995704 (State or Other Jurisdiction of Incorporation) (Commission File Numb |
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| March 1, 2021 |
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 Date of report (Date of earliest event reported): March 1, 2021 PLx Pharma Inc. (Exact Name of Registrant as Specified in Its Charter) Delaware 001-36351 46-4995704 (State or other Jurisdiction of Incorporation) (Commission File Numb |
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| March 1, 2021 |
Exhibit 99.2 For Immediate Release PLx Pharma Receives FDA Approval of SNDAs for Both VAZALORE 325 mg and 81 mg - VAZALORE is the first ever liquid-filled aspirin capsule with an innovative delivery platform indicated as a pain reliever, fever reducer and for aspirin therapy in vascular indications ? - U.S. commercial launch of VAZALORE planned for third quarter 2021 - Sparta, New Jersey, March 1, |
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| March 1, 2021 |
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| January 22, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G/A (Amendment No. 1) Under the Securities Exchange Act of 1934 PLx Pharma Inc. (Name of Issuer) Common Shares (Title of Class of Securities) 72942A107 (CUSIP Number) December 31, 2020 (Date of Event which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Sched |
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| January 22, 2021 |
Exhibit A Joint Filing Agreement The undersigned hereby agree that this Statement on Schedule 13G with respect to the beneficial ownership of shares of Common Stock of PLx Pharma Inc. |
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| January 11, 2021 |
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 Date of Report (Date of Earliest Event Reported): January 11, 2021 PLx Pharma Inc. (Exact Name of Registrant as Specified in Its Charter) Delaware 001-36351 46-4995704 (State or Other Jurisdiction of Incorporation) (Commission File N |
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| January 11, 2021 |
EX-99.1 2 ex991to8k1157700201112021.htm Exhibit 99.1 Case #6912 (12/14/2020) PLx Pharma, Inc. Vazalore Challenger: Bayer HealthCare LLC Product Type: Drugs/Health/Health Aids Issues: Superiority Claims; Health & Safety Claims; Comparative Performance Claims Disposition: Modified/Discontinued - Competent and reliable scientific evidence must, in addition to achieving statistical significance, also |
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| January 8, 2021 |
9,986,283 Shares PLX PHARMA INC. Common Stock ($0.001 par value) Filed Pursuant to Rule 424(b)(4) Registration Statement No. 333-251554 PROSPECTUS 9,986,283 Shares PLX PHARMA INC. Common Stock ($0.001 par value) This prospectus relates to the resale of up to 9,986,283 shares of PLx Pharma Inc. (the “Company,” “we,” “our” or “us”) common stock, which includes 5,230,910 shares of our common stock issuable upon the exercise of outstanding warrants, which are held |
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| January 4, 2021 |
PLx Pharma Inc. 9 Fishers Lane, Ste. E Sparta, New Jersey 07871 January 4, 2021 VIA EDGAR United States Securities and Exchange Commission Division of Corporation Finance 100 F Street, N.E. Washington, D.C. 20549 Attention: Alan Campbell Re: PLx Pharma Inc. Registration Statement on Form S-3 Filed December 21, 2020 File No. 333-251554 Ladies and Gentlemen: The undersigned Registrant under the abov |
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| December 21, 2020 |
As filed with the Securities and Exchange Commission on December 21, 2020 Registration Statement No. |
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| December 18, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 PLx Pharma Inc. (Name of Issuer) Common Shares (Title of Class of Securities) 72942A107 (CUSIP Number) November 16, 2020 (Date of Event which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Schedule is filed: o Rule |
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| December 18, 2020 |
Exhibit A Joint Filing Agreement The undersigned hereby agree that this Statement on Schedule 13G with respect to the beneficial ownership of shares of Common Stock of PLx Pharma Inc. |
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| December 16, 2020 |
Exhibit 99.1 Joint Filing Agreement In accordance with Rule 13d-1(k) promulgated under the Securities Exchange Act of 1934, as amended, the undersigned hereby agree to the joint filing with all other Reporting Persons (as such term is defined in the Schedule 13G referred to below) on behalf of each of them of a statement on Schedule 13G (including amendments thereto) with respect to the shares of |
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| December 16, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. ) PLx Pharma Inc. (Name of Issuer) Common Stock, $0.001 Par Value Per Share (Title of Class of Securities) 72942A107 (CUSIP Number) November 16, 2020 (Date of Event which Requires Filing of this Statement) Check the appropriate box to designate the rule purs |
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| November 30, 2020 |
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 Date of Report (Date of Earliest Event Reported): November 30, 2020 PLx Pharma Inc. (Exact Name of Registrant as Specified in Its Charter) Delaware 001-36351 46-4995704 (State or Other Jurisdiction of Incorporation) (Commission File |
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| November 16, 2020 |
Exhibit 4.1 [FORM OF WARRANT] NEITHER THE ISSUANCE AND SALE OF THE SECURITIES REPRESENTED BY THIS INSTRUMENT NOR THE SECURITIES INTO WHICH THESE SECURITIES ARE EXERCISABLE HAVE BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE “ACT”), OR APPLICABLE STATE SECURITIES LAWS. THE SECURITIES MAY NOT BE OFFERED FOR SALE, SOLD, TRANSFERRED OR ASSIGNED (I) IN THE ABSENCE OF (A) AN EFFECTIVE |
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| November 16, 2020 |
Exhibit 10.2 REGISTRATION RIGHTS AGREEMENT THIS REGISTRATION RIGHTS AGREEMENT (this “Agreement”) is made and entered into as of November [●], 2020, by and among PLx Pharma Inc., a Delaware corporation (the “Company”), and the purchasers set forth on Schedule 1 hereto (each, a “Purchaser”, and collectively, the “Purchasers”), and shall become effective as of the Closing (as defined in the Purchase |
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| November 16, 2020 |
Exhibit 10.3 PLACEMENT AGENCY AGREEMENT November 16, 2020 Raymond James & Associates, Inc. 277 Park Avenue, Suite 410 New York, New York 10172 Ladies and Gentlemen: PLx Pharma Inc., a Delaware corporation (the “Company”), proposes, subject to the terms and conditions of this Placement Agency Agreement (the “Agreement”) and the Purchase Agreement (defined below), to issue and sell to certain invest |
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| November 16, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): November 10, 2020 PLx Pharma Inc. (Exact Name of Registrant as Specified in Its Charter) Delaware 001-36351 46-4995704 (State or other Jurisdiction of Incorporation) (Commission File |
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| November 16, 2020 |
Exhibit 99.1 For Immediate Release PLx Pharma Inc. Reports Third Quarter 2020 Results and Provides Business Update -Announces $18 million private placement- -Submitted sNDAs for VAZALORE 325 mg and 81 mg doses to FDA end of October- -On target for third quarter 2021 commercial launch of VAZALORE- Sparta, New Jersey, November 16, 2020 — PLx Pharma Inc. (NASDAQ: PLXP) (“PLx” or the “Company”), a lat |
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| November 16, 2020 |
Exhibit 99.2 For Immediate Release PLx Pharma Inc. Submits Supplemental New Drug Applications for VAZALORE™ 325 mg and 81 mg to U.S. Food and Drug Administration - FDA sets estimated completion review date for the end of February 2021 - - Targeting launch of VAZALORE for third quarter 2021 – Sparta, New Jersey, November 16, 2020 — PLx Pharma Inc. (NASDAQ: PLXP), a late-stage specialty pharmaceutic |
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| November 16, 2020 |
SECURITIES PURCHASE AGREEMENT THIS SECURITIES PURCHASE AGREEMENT (the “Agreement”), dated as of November 16, 2020, by and among PLx Pharma Inc. |
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| November 13, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark one) ☒ Quarterly Report Under Section 13 or 15(d) of the Securities Exchange Act of 1934 For the Quarterly Period Ended September 30, 2020 Or ☐ Transition Report Under Section 13 or 15(d) of the Securities Exchange Act of 1934 Commission File Number 001-36351 Commission File Number 001-36351 P |
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| October 30, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): October 27, 2020 PLx Pharma Inc. (Exact Name of Registrant as Specified in Its Charter) Delaware 001-36351 46-4995704 (State or Other Jurisdiction of Incorporation) (Commission File N |
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| September 25, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of The Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confide |
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| September 22, 2020 | ||
| September 22, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): September 22, 2020 PLx Pharma Inc. (Exact Name of Registrant as Specified in Its Charter) Delaware 001-36351 46-4995704 (State or Other Jurisdiction of Incorporation) (Commission File |
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| August 14, 2020 |
EX-99.1 2 ex991to8k1157700208142020.htm Exhibit 99.1 PLx Pharma Inc. Reports Second Quarter 2020 Results and Provides Business Update -Bioequivalence study of VAZALORE 325 mg on track with top-line data demonstrating bioequivalence to immediate release aspirin- -Shifting the date of sNDA filings for VAZALORE 325 mg and 81 mg doses earlier to mid-November 2020- -Targeting launch of VAZALORE 325 mg |
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| August 14, 2020 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark one) ☒ Quarterly Report Under Section 13 or 15(d) of the Securities Exchange Act of 1934 For the Quarterly Period Ended June 30, 2020 For the Quarterly Period Ended June 30, 2020 Or ☐ Transition Report Under Section 13 or 15(d) of the Securities Exchange Act of 1934 Commission File Number 001- |
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| August 14, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): August 14, 2020 PLx Pharma Inc. (Exact Name of Registrant as Specified in Its Charter) Delaware 001-36351 46-4995704 (State or Other Jurisdiction of Incorporation) (Commission File Nu |
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| July 6, 2020 |
PLx Pharma Inc. 9 Fishers Lane, Ste. E Sparta, New Jersey 07871 July 6, 2020 VIA EDGAR United States Securities and Exchange Commission Division of Corporation Finance 100 F Street, N.E. Washington, D.C. 20549 Attention: Alan Campbell Re: PLx Pharma Inc. Registration Statement on Form S-3 Filed June 30, 2020 File No. 333-239547 Ladies and Gentlemen: The undersigned Registrant under the above-refer |
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| June 30, 2020 |
As filed with the Securities and Exchange Commission on June 29, 2020 Registration No. |
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| May 26, 2020 |
DPRX / Dipexium Pharmaceuticals, Inc. / MSD Partners, L.P. Passive Investment SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G (Rule 13d-102) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO § 240.13d-1(b), (c) AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO § 240.13d-2. (Amendment No. )* PLx Pharma Inc. (Name of Issuer) Common Stock, $.001 par value per share (Title of Class of Securities) 72942A107 (CUSIP Number) May 15, 2020 (Date of Even |
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| May 20, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 13D THE SECURITIES EXCHANGE ACT OF 1934 (Amendment No. |
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| May 18, 2020 |
Exhibit 3.1 CERTIFICATE OF DESIGNATIONS, PREFERENCES AND RIGHTS OF SERIES B CONVERTIBLE PREFERRED STOCK OF PLX PHARMA INC. (Pursuant to Section 151 of the Delaware General Corporation Law) PLx Pharma Inc., a corporation organized and existing under the laws of the State of Delaware (the “Company”), hereby certifies that, pursuant to authority vested in the Board of Directors of the Company (the “B |
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| May 18, 2020 |
PLx Pharma Inc. Announces Completion of $8 Million Convertible Preferred Stock Financing Exhibit 99.1 For Immediate Release PLx Pharma Inc. Announces Completion of $8 Million Convertible Preferred Stock Financing SPARTA, N.J., May 18, 2020 — PLx Pharma Inc. (NASDAQ: PLXP) (“PLx” or the “Company”), a late-stage specialty pharmaceutical company initially focused on developing its clinically validated and patent-protected PLxGuard™ delivery system to provide more effective and safer prod |
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| May 18, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): May 15, 2020 PLx Pharma Inc. (Exact Name of Registrant as Specified in Its Charter) Delaware 001-36351 46-4995704 (State or Other Jurisdiction of Incorporation) (Commission File Numbe |
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| May 15, 2020 |
Exhibit 99.1 For Immediate Release PLx Pharma Inc. Reports First Quarter 2020 Results - Company to begin bioequivalence study of VAZALORE 325 mg dose - - sNDA submissions expected by year-end - Sparta, New Jersey, May 15, 2020 — PLx Pharma Inc. (NASDAQ: PLXP) (“PLx” or the “Company”), a late-stage specialty pharmaceutical company initially focused on developing its clinically validated and patent- |
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| May 15, 2020 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark one) ☒ Quarterly Report Under Section 13 or 15(d) of the Securities Exchange Act of 1934 For the Quarterly Period Ended March 31, 2020 Or ☐ Transition Report Under Section 13 or 15(d) of the Securities Exchange Act of 1934 Commission File Number 001-36351 PLx Pharma Inc. (Exact name of registr |
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| May 15, 2020 |
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 Date of Report (Date of Earliest Event Reported): May 15, 2020 PLx Pharma Inc. (Exact Name of Registrant as Specified in Its Charter) Delaware 001-36351 46-4995704 (State or Other Jurisdiction of Incorporation) (Commission File Numbe |
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| May 4, 2020 |
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 Date of Report (Date of Earliest Event Reported): April 28, 2020 PLx Pharma Inc. (Exact Name of Registrant as Specified in Its Charter) Delaware 001-36351 46-4995704 (State or Other Jurisdiction of Incorporation) (Commission File Num |
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| April 24, 2020 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K/A (Amendment No. 1) ☒ Annual Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 For the fiscal year ended December 31, 2019 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 numbe |
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| April 23, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): April 22, 2020 PLx Pharma Inc. (Exact Name of Registrant as Specified in Its Charter) Delaware 001-36351 46-4995704 (State or Other Jurisdiction of Incorporation) (Commission File Num |
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| April 7, 2020 |
DPRX / Dipexium Pharmaceuticals, Inc. DEF 14A - - UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of The Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confide |
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| March 20, 2020 |
DPRX / Dipexium Pharmaceuticals, Inc. PRE 14A - - UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of The Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☒ Preliminary Proxy Statement ☐ Confide |
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| March 13, 2020 |
Exhibit 4.2 THE SECURITIES REPRESENTED HEREBY HAVE NOT 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, AND, ACCORDINGLY, MAY NOT BE TRANSFERRED UNLESS (I) SUCH SECURITIES HAVE BEEN REGISTERED FOR SALE PURSUANT TO THE SECURITIES ACT OF 1933, AS AMENDED, |
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| March 13, 2020 |
DPRX / Dipexium Pharmaceuticals, Inc. DEFA14A - - UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): March 12, 2020 PLx Pharma Inc. (Exact Name of Registrant as Specified in Its Charter) Delaware 001-36351 46-4995704 (State or Other Jurisdiction of Incorporation) (Commission File Num |
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| March 13, 2020 |
Exhibit 99.1 PLx Pharma Inc. Reports Fourth Quarter 2019 Results and Provides Regulatory Update on VAZALORE - Planning a Bioequivalence Study to Support VAZALORE 325 mg sNDA - - Announces $8 Million Convertible Preferred Stock Financing with Park West and MSD Partners - Sparta, New Jersey, March 13, 2020 — PLx Pharma Inc. (NASDAQ: PLXP) (“PLx” or the “Company”), a late-stage specialty pharmaceutic |
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| March 13, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): March 12, 2020 PLx Pharma Inc. (Exact Name of Registrant as Specified in Its Charter) Delaware 001-36351 46-4995704 (State or Other Jurisdiction of Incorporation) (Commission File Num |
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| March 13, 2020 |
Exhibit 10.1 EXECUTION VERSION PURCHASE AGREEMENT THIS PURCHASE AGREEMENT (“Agreement”) is made as of the 12th day of March, 2020 by and among PLx Pharma Inc., a Delaware corporation (the “Company”), and the Investors set forth on the signature pages affixed hereto (each an “Investor” and collectively the “Investors”). Recitals A. The Company and the Investors are executing and delivering this Agr |
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| March 13, 2020 |
Exhibit 10.2 EXECUTION VERSION REGISTRATION RIGHTS AGREEMENT This Registration Rights Agreement (the “Agreement”) is made and entered into as of this 12th day of March, 2020 by and among PLx Pharma Inc., a Delaware corporation (the “Company”), and the “Investors” named in that certain Purchase Agreement by and among the Company and the Investors (the “Purchase Agreement”). Capitalized terms used h |
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| March 13, 2020 |
Exhibit 10.2 EXECUTION VERSION REGISTRATION RIGHTS AGREEMENT This Registration Rights Agreement (the “Agreement”) is made and entered into as of this 12th day of March, 2020 by and among PLx Pharma Inc., a Delaware corporation (the “Company”), and the “Investors” named in that certain Purchase Agreement by and among the Company and the Investors (the “Purchase Agreement”). Capitalized terms used h |
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| March 13, 2020 |
Form of Certificate of Designations, Preferences and Rights of Series B Convertible Preferred Stock. Exhibit 4.1 CERTIFICATE OF DESIGNATIONS, PREFERENCES AND RIGHTS OF SERIES B CONVERTIBLE PREFERRED STOCK OF PLX PHARMA INC. (Pursuant to Section 151 of the Delaware General Corporation Law) PLx Pharma Inc., a corporation organized and existing under the laws of the State of Delaware (the “Company”), hereby certifies that, pursuant to authority vested in the Board of Directors of the Company (the “B |
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| March 13, 2020 |
Form of Certificate of Designations, Preferences and Rights of Series B Convertible Preferred Stock. Exhibit 4.1 CERTIFICATE OF DESIGNATIONS, PREFERENCES AND RIGHTS OF SERIES B CONVERTIBLE PREFERRED STOCK OF PLX PHARMA INC. (Pursuant to Section 151 of the Delaware General Corporation Law) PLx Pharma Inc., a corporation organized and existing under the laws of the State of Delaware (the “Company”), hereby certifies that, pursuant to authority vested in the Board of Directors of the Company (the “B |
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| March 13, 2020 |
Exhibit 4.2 THE SECURITIES REPRESENTED HEREBY HAVE NOT 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, AND, ACCORDINGLY, MAY NOT BE TRANSFERRED UNLESS (I) SUCH SECURITIES HAVE BEEN REGISTERED FOR SALE PURSUANT TO THE SECURITIES ACT OF 1933, AS AMENDED, |
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| March 13, 2020 |
Press Release, dated March 13, 2020. Exhibit 99.1 PLx Pharma Inc. Reports Fourth Quarter 2019 Results and Provides Regulatory Update on VAZALORE - Planning a Bioequivalence Study to Support VAZALORE 325 mg sNDA - - Announces $8 Million Convertible Preferred Stock Financing with Park West and MSD Partners - Sparta, New Jersey, March 13, 2020 — PLx Pharma Inc. (NASDAQ: PLXP) (“PLx” or the “Company”), a late-stage specialty pharmaceutic |
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| March 13, 2020 |
DPRX / Dipexium Pharmaceuticals, Inc. 10-K - Annual Report - FORM 10-K Table of Contents 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, 2019 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 001-36351 PLx phar |
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| March 13, 2020 |
Exhibit 10.1 EXECUTION VERSION PURCHASE AGREEMENT THIS PURCHASE AGREEMENT (“Agreement”) is made as of the 12th day of March, 2020 by and among PLx Pharma Inc., a Delaware corporation (the “Company”), and the Investors set forth on the signature pages affixed hereto (each an “Investor” and collectively the “Investors”). Recitals A. The Company and the Investors are executing and delivering this Agr |
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| March 13, 2020 |
Exhibit 21.1 Subsidiaries of PLx Pharma Inc. 1. PLx Opco Inc., organized under the laws of Delaware 2. PLx Chile SpA, organized under the laws of Chile |
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| March 13, 2020 |
Description of Registered Securities.* Exhibit 4.4 DESCRIPTION OF THE REGISTRANT’S SECURITIES REGISTERED PURSUANT TO SECTION 12 OF THE SECURITIES EXCHANGE ACT OF 1934 PLx Pharma Inc. (the “Company”) has one class of securities registered under Section 12 of the Securities Exchange Act of 1934, as amended (the “Exchange Act”): its common stock, par value $0.001 per share (“Common Stock”). The following is a summary of the material terms |
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| January 13, 2020 |
Regulation FD Disclosure, Financial Statements and Exhibits 8-K 1 form8k1157700201132020.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): January 13, 2020 PLx Pharma Inc. (Exact Name of Registrant as Specified in Its Charter) Delaware 001-36351 46-4995704 (State or Other Jurisdiction of |
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| January 13, 2020 |
Corporate Presentation Nasdaq: PLXP Confidential Exhibit 99.1 Corporate Presentation Nasdaq: PLXP Confidential Confidential 2 Forward - Looking Statements This presentation includes or incorporates by reference statements that constitute forward - looking statements within the meaning of Section 27 A of the Securities Act of 1933 , as amended, and Section 21 E of the Securities Exchange Act of 1934 , as amended . These statements relate to futur |
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| January 6, 2020 |
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 Date of Report (Date of Earliest Event Reported): January 6, 2020 PLx Pharma Inc. (Exact Name of Registrant as Specified in Its Charter) Delaware 001-36351 46-4995704 (State or Other Jurisdiction of Incorporation) (Commission File Nu |
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| January 6, 2020 |
Exhibit 99.1 PLx Pharma Inc. Provides Regulatory Update on VAZALORE - PLx Aligning with the FDA on Data Requirements for VAZALORE -FDA Approves Labeling for 325 mg - - Expect to Launch VAZALORE in late 2020 - Sparta, New Jersey, January 6, 2020 — PLx Pharma Inc. (NASDAQ: PLXP) (“PLx” or the “Company”), a late-stage specialty pharmaceutical company initially focused on developing its clinically val |
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| November 8, 2019 |
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 Date of Report (Date of Earliest Event Reported): November 8, 2019 PLx Pharma Inc. (Exact Name of Registrant as Specified in Its Charter) Delaware 001-36351 46-4995704 (State or Other Jurisdiction of Incorporation) (Commission File N |
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| November 8, 2019 |
EX-99.1 2 ex991to8k1157700211082019.htm Exhibit 99.1 PLx Pharma Inc. Reports Third Quarter 2019 Results -Company on track for sNDA submission to the FDA by year-end- Sparta, New Jersey, November 8, 2019 — PLx Pharma Inc. (NASDAQ: PLXP) (“PLx” or the “Company”), a late-stage specialty pharmaceutical company initially focused on developing its clinically validated and patent-protected PLxGuard™ deli |
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| November 8, 2019 |
PLXP / PLx Pharma Inc. 10-Q - Quarterly Report - FORM 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark one) ☒ Quarterly Report Under Section 13 or 15(d) of the Securities Exchange Act of 1934 For the Quarterly Period Ended September 30, 2019 Or ☐ Transition Report Under Section 13 or 15(d) of the Securities Exchange Act of 1934 Commission File Number 001-36351 PLx Pharma Inc. (Exact name of reg |
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| August 19, 2019 |
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 Date of Report (Date of Earliest Event Reported): August 15, 2019 PLx Pharma Inc. (Exact Name of Registrant as Specified in Its Charter) Delaware 001-36351 46-4995704 (State or Other Jurisdiction of Incorporation) (Commission File Nu |
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| August 9, 2019 |
PLXP / PLx Pharma Inc. 10-Q - Quarterly Report - FORM 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark one) ☒ Quarterly Report Under Section 13 or 15(d) of the Securities Exchange Act of 1934 For the Quarterly Period Ended June 30, 2019 Or ☐ Transition Report Under Section 13 or 15(d) of the Securities Exchange Act of 1934 Commission File Number 001-36351 PLx Pharma Inc. (Exact name of registra |
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| August 9, 2019 |
Exhibit 10.1 17 CFR 240.24b-2, confidential information has been omitted in places marked “[***]” and has been filed separately with the Securities and Exchange Commission pursuant to a Confidential Treatment Application filed with the Commission. Manufacturing Services Agreement Effective Date: June 28, 2019 PARTIES PATHEON PHARMACEUTICALS INC. a corporation existing under the laws of the State o |
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| July 2, 2019 |
PLXP / PLx Pharma Inc. DEF 14A - - UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of The Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confide |
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| May 10, 2019 |
PLXP / PLx Pharma Inc. 10-Q Quarterly Report FORM 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark one) ☒ Quarterly Report Under Section 13 or 15(d) of the Securities Exchange Act of 1934 For the Quarterly Period Ended March 31, 2019 Or ☐ Transition Report Under Section 13 or 15(d) of the Securities Exchange Act of 1934 Commission File Number 001-36351 PLx Pharma Inc. (Exact name of registr |
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| April 3, 2019 |
PLXP / PLx Pharma Inc. CORRESP JMP Securities LLC 600 Montgomery Street, Suite 1100 San Francisco, California 94111 April 3, 2019 Via EDGAR transmission and Facsimile U. |
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| April 2, 2019 |
PLXP / PLx Pharma Inc. CORRESP PLx Pharma Inc. 8285 El Rio Street, Suite 130 Houston, Texas 77054 April 2, 2019 VIA EDGAR United States Securities and Exchange Commission Division of Corporation Finance Mail Stop 4720 100 F Street, N.E. Washington, D.C. 20549 Attention: Sonia Bednarowski Re: PLx Pharma Inc. Registration Statement on Form S-3 Filed March 25, 2019 File No. 333-230478 Ladies and Gentlemen: The undersigned Registra |
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| April 2, 2019 |
PLXP / PLx Pharma Inc. FORM 10-K/A (Annual Report) Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K/A (Amendment No. 1) ☒ Annual Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 For the fiscal year ended December 31, 2018 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 numbe |
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| April 2, 2019 |
PLXP / PLx Pharma Inc. CORRESP PLx Pharma Inc. 8285 El Rio Street, Suite 130 Houston, Texas 77054 April 2, 2019 VIA EDGAR United States Securities and Exchange Commission Division of Corporation Finance Mail Stop 4720 100 F Street, N.E. Washington, D.C. 20549 Attention: Sonia Bednarowski Re: PLx Pharma Inc. Registration Statement on Form S-3 Filed March 27, 2019 File No. 333-230550 Ladies and Gentlemen: The undersigned Registra |
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| March 27, 2019 |
As filed with the Securities and Exchange Commission on March 27, 2019 Registration No. |
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| March 26, 2019 |
March 26, 2019 VIA EDGAR – FORM DEL AM Securities and Exchange Commission Division of Corporation Finance 100 F Street, N. |
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| March 25, 2019 |
Entry into a Material Definitive Agreement, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): March 25, 2019 PLx Pharma Inc. (Exact name of registrant as specified in its charter) Delaware 001-36351 46-4995704 (State or Other Jurisdiction of Incorporation) (Commission File Num |
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| March 25, 2019 |
As filed with the Securities and Exchange Commission on March 25, 2019 Registration No. |
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| March 25, 2019 |
Exhibit 1.2 PLx Pharma Inc. Common Stock EQUITY DISTRIBUTION AGREEMENT Dated: March 25, 2019 TABLE OF CONTENTS SECTION 1. Description of Securities. SECTION 2. Placements. SECTION 3. Sale of Placement Securities by the Placement Agent SECTION 4. Suspension of Sales SECTION 5. Representations and Warranties. SECTION 6. Sale and Delivery to the Placement Agent; Settlement. SECTION 7. Covenants of th |
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| March 25, 2019 |
PLX PHARMA INC. as Trustee Dated as of __________, 20__ Debt Securities CROSS-REFERENCE TABLE(1) Exhibit 4.3 PLX PHARMA INC. Issuer AND as Trustee INDENTURE Dated as of , 20 Debt Securities CROSS-REFERENCE TABLE(1) SECTION OF TRUST INDENTURE ACT OF 1939, AS AMENDED SECTION(S) OF INDENTURE 310(a) 7.9 310(b) 7.8 311(a) 7.13 311(b) 7.13 312(a) 5.1, 5.2(a) 312(b) 5.2(b) 312(c) 5.2(c) 313(a) 5.4 313(b) 5.4 313(c) 5.4 313(d) 5.4 314(a) 5.3, 14.12 314(c) 14.7(a) 314(e) 14.7(b) 315(a) 7.1 315(b) 7.14 |
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| March 8, 2019 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): March 6, 2019 PLx Pharma Inc. (Exact name of registrant as specified in its charter) Delaware 001-36351 46-4995704 (State or Other Jurisdiction of Incorporation) (Commission File Numb |
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| March 8, 2019 |
Exhibit 99.1 For Immediate Release PLx Pharma Inc. Reports Fourth Quarter 2018 Results – Company Completes Successful $15 Million Financing – Houston, Texas, March 8, 2019 — PLx Pharma Inc. (NASDAQ: PLXP) (“PLx” or the “Company”), a late-stage specialty pharmaceutical company initially focused on developing its clinically validated and patent-protected PLxGuard™ delivery system to provide more eff |
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| March 8, 2019 |
Amendment to Employment Agreement with Efthymios Deliargyris, dated March 7, 2019.* Exhibit 21.1 Subsidiaries of PLx Pharma Inc. 1. PLx Opco Inc., organized under the laws of Delaware 2. PLx Chile SpA, organized under the laws of Chile |
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| March 8, 2019 |
PLXP / PLx Pharma Inc. FORM 10-K (Annual Report) Table of Contents 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, 2018 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 001-36351 PLx phar |
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| March 8, 2019 |
Exhibit 10.18 AMENDMENT TO EMPLOYMENT AGREEMENT This AMENDMENT TO EMPLOYMENT AGREEMENT (the “Amendment”) is made and entered into as of March 7, 2019 (the “Effective Date”), by and between Natasha Giordano (the “Executive”) and PLx Pharma Inc., a Delaware corporation (the “Company”), for the purpose of amending that one certain Employment Agreement, dated October 1, 2015 (the “Agreement”), by and |
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| March 8, 2019 |
Exhibit 10.22 AMENDMENT TO AMENDED AND RESTATED EMPLOYMENT AGREEMENT This AMENDMENT TO AMENDED AND RESTATED EMPLOYMENT AGREEMENT (the “Amendment”) is made and entered into as of March 7, 2019 (the “Effective Date”), by and between Michael J. Valentino (the “Executive”) and PLx Pharma Inc., a Delaware corporation (the “Company”), for the purpose of amending that one certain Amended and Restated Emp |
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| March 8, 2019 |
Exhibit 10.21 AMENDMENT TO EMPLOYMENT AGREEMENT This AMENDMENT TO EMPLOYMENT AGREEMENT (the “Amendment”) is made and entered into as of March 7, 2019 (the “Effective Date”), by and between Efthymios Deliargyris, MD, FACC, FESC, FSCAI (the “Executive”) and PLx Pharma Inc., a Delaware corporation (the “Company”), for the purpose of amending that one certain Employment Agreement, dated August 29, 201 |
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| March 8, 2019 |
Exhibit 10.19 AMENDMENT TO EMPLOYMENT AGREEMENT This AMENDMENT TO EMPLOYMENT AGREEMENT (the “2019 Amendment”) is made and entered into as of March 7, 2019 (the “Effective Date”), by and between Rita O’Connor (the “Executive”) and PLx Pharma Inc., a Delaware corporation (the “Company”), for the purpose of amending that one certain Employment Agreement, dated May 1, 2017 (the “Agreement”), and the A |
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| March 8, 2019 |
Exhibit 10.20 AMENDMENT TO EMPLOYMENT AGREEMENT This AMENDMENT TO EMPLOYMENT AGREEMENT (the “Amendment”) is made and entered into as of March 16, 2018, by and between Rita O’Connor (the “Executive”) and PLx Pharma Inc., a Delaware corporation (the “Company”) for the purpose of amending that one certain Employment Agreement, dated May 1, 2017, by and between the parties (the “Agreement”). NOW, THER |
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| March 1, 2019 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 13D THE SECURITIES EXCHANGE ACT OF 1934 (Amendment No. |
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| February 20, 2019 |
PLx Pharma Inc. Announces Completion of $15 Million Convertible Preferred Stock Financing Exhibit 99.1 For Immediate Release PLx Pharma Inc. Announces Completion of $15 Million Convertible Preferred Stock Financing Houston, Texas, February 20, 2019 — PLx Pharma Inc. (NASDAQ: PLXP) (“PLx” or the “Company”), a late-stage specialty pharmaceutical company focused on commercializing two patent-protected products, Vazalore™ 325 mg and Vazalore™ 81 mg (referred to together as “Vazalore”™), an |
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| February 20, 2019 |
Exhibit 3.1 CERTIFICATE OF AMENDMENT TO THE AMENDED CERTIFICATE OF INCORPORATION OF PLX PHARMA INC. Pursuant to Section 242 of the General Corporation Law of the State of Delaware It is hereby certified that: 1.The name of the corporation is: PLx Pharma Inc. (the “Corporation”). The original Certificate of Incorporation of the Corporation was filed with the Secretary of the State of Delaware on Ja |
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| February 20, 2019 |
Exhibit 3.2 CERTIFICATE OF DESIGNATIONS, PREFERENCES AND RIGHTS OF SERIES A CONVERTIBLE PREFERRED STOCK OF PLX PHARMA INC. (Pursuant to Section 151 of the Delaware General Corporation Law) PLx Pharma Inc., a corporation organized and existing under the laws of the State of Delaware (the “Company”), hereby certifies that, pursuant to authority vested in the Board of Directors of the Company by Arti |
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| February 20, 2019 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): February 19, 2019 PLx Pharma Inc. (Exact name of registrant as specified in its charter) Delaware 001-36351 46-4995704 (State or Other Jurisdiction of Incorporation) (Commission File |
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| February 20, 2019 |
Exhibit 3.3 AMENDED AND RESTATED CERTIFICATE OF DESIGNATIONS, PREFERENCES AND RIGHTS OF SERIES A CONVERTIBLE PREFERRED STOCK OF PLX PHARMA INC. Pursuant to Section 151 of the Delaware General Corporation Law PLX PHARMA INC., a corporation organized and existing under the laws of the State of Delaware (the “Company”), hereby certifies as follows: FIRST: The name of the corporation is: PLx Pharma In |
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| February 14, 2019 |
PLx Pharma Inc. Announces Adjournment of Special Meeting of Stockholders Exhibit 99.1 For Immediate Release PLx Pharma Inc. Announces Adjournment of Special Meeting of Stockholders Houston, Texas, February 14, 2019 — PLx Pharma Inc. (NASDAQ: PLXP) (“PLx” or the “Company”), a late-stage specialty pharmaceutical company focused on commercializing two patent-protected products, Vazalore™ 325 mg and Vazalore™ 81 mg (referred to together as “Vazalore”™), announced today tha |
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| February 14, 2019 |
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 Date of Report (Date of Earliest Event Reported): February 14, 2019 PLx Pharma Inc. (Exact name of registrant as specified in its charter) Delaware 001-36351 46-4995704 (State or Other Jurisdiction of Incorporation) (Commission File |
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| February 13, 2019 |
PLXP / PLx Pharma Inc. DEFA14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of The Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confide |
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| January 10, 2019 |
PLXP / PLx Pharma Inc. DEF 14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of The Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confide |
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| January 7, 2019 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): January 7, 2019 PLx Pharma Inc. (Exact name of registrant as specified in its charter) Delaware 001-36351 46-4995704 (State or Other Jurisdiction of Incorporation) (Commission File Nu |
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| January 7, 2019 | ||
| December 31, 2018 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 13D THE SECURITIES EXCHANGE ACT OF 1934 (Amendment No. |
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| December 26, 2018 |
PLXP / PLx Pharma Inc. PRE 14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of The Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☒ Preliminary Proxy Statement ☐ Confide |
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| December 21, 2018 |
PLx Pharma Inc. Announces $15 Million Convertible Preferred Stock Financing Exhibit 99.1 For Immediate Release PLx Pharma Inc. Announces $15 Million Convertible Preferred Stock Financing Houston, Texas, December 20, 2018 — PLx Pharma Inc. (NASDAQ: PLXP) (“PLx” or the “Company”), a late-stage specialty pharmaceutical company focused on commercializing two patent-protected products, Vazalore™ 325 mg and Vazalore™ 81 mg (referred to together as “Vazalore”™), announced today |
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| December 21, 2018 |
Exhibit 10.2 REGISTRATION RIGHTS AGREEMENT This Registration Rights Agreement (the “Agreement”) is made and entered into as of this 20th day of December, 2018 by and among PLx Pharma Inc., a Delaware corporation (the “Company”), and the “Investors” named in that certain Purchase Agreement by and among the Company and the Investors (the “Purchase Agreement”). Capitalized terms used herein have the |
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| December 21, 2018 |
Exhibit 4.2 THE SECURITIES REPRESENTED HEREBY HAVE NOT 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, AND, ACCORDINGLY, MAY NOT BE TRANSFERRED UNLESS (I) SUCH SECURITIES HAVE BEEN REGISTERED FOR SALE PURSUANT TO THE SECURITIES ACT OF 1933, AS AMENDED, |
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| December 21, 2018 |
Exhibit 10.1 PURCHASE AGREEMENT THIS PURCHASE AGREEMENT (“Agreement”) is made as of the 20th day of December, 2018 by and among PLx Pharma Inc., a Delaware corporation (the “Company”), and the Investors set forth on the signature pages affixed hereto (each an “Investor” and collectively the “Investors”). Recitals A. The Company and the Investors are executing and delivering this Agreement in relia |
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| December 21, 2018 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): December 20, 2018 PLx Pharma Inc. (Exact name of registrant as specified in its charter) Delaware 001-36351 46-4995704 (State or Other Jurisdiction of Incorporation) (Commission File |
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| December 21, 2018 |
Form of Certificate of Designations, Preferences and Rights of Series A Convertible Preferred Stock. Exhibit 4.1 CERTIFICATE OF DESIGNATIONS, PREFERENCES AND RIGHTS OF SERIES A CONVERTIBLE PREFERRED STOCK OF PLX PHARMA INC. (Pursuant to Section 151 of the Delaware General Corporation Law) PLx Pharma Inc., a corporation organized and existing under the laws of the State of Delaware (the “Company”), hereby certifies that, pursuant to authority vested in the Board of Directors of the Company by Arti |
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| November 9, 2018 |
PLXP / PLx Pharma Inc. FORM 10-Q (Quarterly Report) 10-Q 1 plxp2018093010q.htm FORM 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark one) ☒ Quarterly Report Under Section 13 or 15(d) of the Securities Exchange Act of 1934 For the Quarterly Period Ended September 30, 2018 Or ☐ Transition Report Under Section 13 or 15(d) of the Securities Exchange Act of 1934 Commission File Number 001-363 |
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| November 9, 2018 |
Exhibit 10.1 PLx Pharma Inc. 2018 Incentive Plan Article 1 Establishment and Purpose 1.1 Establishment of the Plan. PLx Pharma Inc., a Delaware corporation (the “Company”), hereby establishes an incentive compensation plan (the “Plan”), as set forth in this document. 1.2 Purpose of the Plan. The purpose of the Plan is to promote the success and enhance the value of the Company by linking the perso |
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| September 19, 2018 |
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 Date of Report (Date of Earliest Event Reported): September 13, 2018 PLx Pharma Inc. (Exact name of registrant as specified in its charter) Delaware 001-36351 46-4995704 (State or Other Jurisdiction of Incorporation) (Commission File |
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| August 31, 2018 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): August 29, 2018 PLx Pharma Inc. (Exact name of registrant as specified in its charter) Delaware 001-36351 46-4995704 (State or Other Jurisdiction of Incorporation) (Commission File Nu |
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| August 31, 2018 |
Exhibit 10.1 EMPLOYMENT AGREEMENT This EMPLOYMENT AGREEMENT (the “Agreement”) is made and entered into as of August 29, 2018, by and between Efthymios Deliargyris, MD, FACC, FESC, FSCAI (the “Executive”) and PLx Pharma Inc., a Delaware corporation (the “Company”). WHEREAS, the Company desires to employ the Executive on the terms and conditions set forth herein; and WHEREAS, the Executive desires t |
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| August 10, 2018 |
PLXP / PLx Pharma Inc. DEF 14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of The Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confide |
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| August 10, 2018 |
PLXP / PLx Pharma Inc. FORM 10-Q (Quarterly Report) Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark one) ☒ Quarterly Report Under Section 13 or 15(d) of the Securities Exchange Act of 1934 For the Quarterly Period Ended June 30, 2018 Or ☐ Transition Report Under Section 13 or 15(d) of the Securities Exchange Act of 1934 Commission File Number 001-36351 PLx Pharma Inc. (Exact name of registra |
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| August 10, 2018 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): August 10, 2018 PLx Pharma Inc. (Exact name of registrant as specified in its charter) Delaware 001-36351 46-4995704 (State or Other Jurisdiction of Incorporation) (Commission File Nu |
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| August 10, 2018 | ||
| August 6, 2018 |
Exhibit 16.1 United States Securities and Exchange Commission Office of the Chief Accountant 100 F Street, N.E. Washington, D.C. 20549 Ladies and Gentleman: We have read the statements under Item 4.01 in the Form 8-K dated August 6, 2018, of PLx Pharma Inc. (the “Company’’) to be filed with the Securities and Exchange Commission and we agree with such statements therein as related to our firm. We |
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| August 6, 2018 |
Financial Statements and Exhibits, Changes in Registrant's Certifying Accountant UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): August 6, 2018 PLx Pharma Inc. (Exact name of registrant as specified in its charter) Delaware 001-36351 46-4995704 (State or Other Jurisdiction of Incorporation) (Commission File Num |
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| May 11, 2018 |
PLXP / PLx Pharma Inc. FORM 10-Q (Quarterly Report) Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark one) ☒ Quarterly Report Under Section 13 or 15(d) of the Securities Exchange Act of 1934 For the Quarterly Period Ended March 31, 2018 Or ☐ Transition Report Under Section 13 or 15(d) of the Securities Exchange Act of 1934 Commission File Number 001-36351 PLx Pharma Inc. (Exact name of registr |
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| April 27, 2018 |
PLXP / PLx Pharma Inc. FORM 10-K/A (Annual Report) Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K/A (Amendment No. 1) ☒ Annual Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 For the fiscal year ended December 31, 2017 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file numbe |
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| March 23, 2018 |
Exhibit 21.1 Subsidiaries of PLx Pharma Inc. 1. PLx Opco Inc., organized under the laws of Delaware 2. PLx Chile SpA, organized under the laws of Chile 3. Dipexium Pharmaceuticals Ireland Limited, organized under the laws of Ireland |
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| March 23, 2018 |
PLXP / PLx Pharma Inc. FORM 10-K (Annual Report) Table of Contents 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, 2017 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number 001-36351 PLx phar |
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| March 23, 2018 |
PLx Pharma Inc. Reports Fourth Quarter and Full Year 2017 Results Exhibit 99.1 For Immediate Release PLx Pharma Inc. Reports Fourth Quarter and Full Year 2017 Results Houston, Texas, March 23, 2018 — PLx Pharma Inc. (NASDAQ:PLXP) (“PLx” or the “Company”), a late-stage specialty pharmaceutical company focused on commercializing two patent-protected products, Aspertec™ 325 mg and Aspertec™ 81 mg (referred to together as “Aspertec”™), announced today certain financ |
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| March 23, 2018 |
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 Date of Report (Date of Earliest Event Reported): March 23, 2018 PLx Pharma Inc. (Exact name of registrant as specified in its charter) Delaware 001-36351 46-4995704 (State or Other Jurisdiction of Incorporation) (Commission File Num |
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| January 8, 2018 |
DPRX / Dipexium Pharmaceuticals, Inc. EX 99.1 - CORPORATE PRESENTATION (Current Report) Confidential Corporate Presentation Nasdaq: PLXP 2 Forward-Looking Statements This presenta,on includes or incorporates by reference statements that cons,tute forward-‐looking statements within the meaning of Sec,on 27A of the Securi,es Act of 1933, as amended, and Sec,on 21E of the Securi,es Act of 1934, as amended. |
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| January 8, 2018 |
Regulation FD Disclosure, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): January 8, 2018 PLx Pharma Inc. (Exact name of registrant as specified in its charter) Delaware 001-36351 46-4995704 (State or Other Jurisdiction of Incorporation) (Commission File Nu |
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| November 20, 2017 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 13D THE SECURITIES EXCHANGE ACT OF 1934 (Amendment No. |
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| November 9, 2017 |
PLXP / PLx Pharma Inc. FORM 10-Q (Quarterly Report) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark one) ☒ Quarterly Report Under Section 13 or 15(d) of the Securities Exchange Act of 1934 For the Quarterly Period Ended September 30, 2017 Or ☐ Transition Report Under Section 13 or 15(d) of the Securities Exchange Act of 1934 Commission File Number 001-36351 PLx Pharma Inc. (Exact name of registrant as specifi |
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| October 27, 2017 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): October 26, 2017 PLx Pharma Inc. (Exact Name of Registrant as Specified in Charter) Delaware 001-36351 46-4995704 (State or Other Jurisdiction of Incorporation) (Commission File Numbe |
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| September 28, 2017 |
Regulation FD Disclosure, Financial Statements and Exhibits plxp201709268k.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 September 28, 2017 Date of Report (Date of earliest event reported) PLx Pharma Inc. (Exact name of registrant as specified in its charter) Delaware 001-36351 46-4995704 (State or other jurisdiction of incorporation |
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| September 28, 2017 |
PLx Pharma Inc. September 2017 Corporate Presentation Image Exhibit Exhibit 99.1 |
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| September 19, 2017 |
ex10-1.htm Exhibit 10.1 Amendment To AMENDED AND RESTATED EMPLOYMENT AGREEMENT This Amendment to Amended and Restated Employment Agreement (this ?Amendment?) is entered into between PLx Opco Inc., a Delaware corporation, formerly known as PLx Pharma Inc. (?Company?), and Gary Mossman (?Executive?) for the purpose of amending that one certain Amended and Restated Employment Agreement dated May 13, |
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| September 19, 2017 |
ex99-1.htm Exhibit 99.1 PLx Pharma Hires Key Commercial Executives in Preparation for Future Launch of Aspertec Industry Veterans Will Support Manufacturing and Trade Sales HOUSTON, TX, September 19, 2017 — PLx Pharma Inc. (NASDAQ:PLXP) (“PLx” or the “Company”), a late-stage specialty pharmaceutical company focused on commercializing two patent-protected products, Aspertec™ 325 mg and Aspertec™ 81 |
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| September 19, 2017 |
8-K 1 plxp201709198k.htm FORM 8-K 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 15, 2017 Date of Report (Date of earliest event reported) PLx Pharma Inc. (Exact name of registrant as specified in its charter) Delaware 001-36351 46-4995704 (State or other jurisdiction o |
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| August 14, 2017 |
Financial Statements and Exhibits plxp201708138ka.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K/A (Amendment No. 1) CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 June 9, 2017 Date of Report (Date of earliest event reported) PLx Pharma Inc. (Exact name of registrant as specified in its charter) Delaware 001-36351 46-4995704 (State or other jurisdiction o |
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| August 14, 2017 |
ex10-1.htm Exhibit 10.1 AMENDED AND RESTATED PATENT LICENSE AGREEMENT BETWEEN THE BOARD OF REGENTS OF THE UNIVERSITY OF TEXAS SYSTEM AND PLX PHARMA INC. DATED DECEMBER 11, 2009 TABLE OF CONTENTS 1. EFFECTIVE DATE 3 2. DEFINITIONS 4 3. WARRANTY: SUPERIOR RIGHTS 6 4. LICENSE 7 5. PAYMENTS AND REPORTS 9 6. COMMON STOCK: EQUITY OWNERSHIP AND PLX BOARD RIGHTS 12 7. TERM AND TERMINATION 12 8. INFRINGEME |
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| August 14, 2017 |
AMENDMENT NUMBER ONE TO AGREEMENT ex10-2.htm Exhibit 10.2 AMENDMENT NUMBER ONE TO AGREEMENT This is the first amendment (“Amendment No. 1”) to the AMENDED AND RESTATED PATENT LICENSE AGREEMENT (the “License Agreement”), between The Board of Regents of The University of Texas System (“Board”) on behalf of The University of Texas Health Science Center at Houston (“UTHSC-H”) and PLx Pharma Inc., a Texas corporation with its principal |
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| August 11, 2017 |
Exhibit 3.3 AMENDED AND RESTATED CERTIFICATE OF INCORPORATION OF PLX PHARMA INC. (reflecting Amendments filed April 18, 2017 and April 19, 2017) The undersigned, for the purposes of forming a corporation for conducting the business and promoting the purposes hereinafter stated, under the provisions and subject to the requirements of the laws of the State of Delaware (particularly Chapter 1, Title |
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| August 11, 2017 |
PLXP / PLx Pharma Inc. FORM 10-Q (Quarterly Report) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark one) ☒ Quarterly Report Under Section 13 or 15(d) of the Securities Exchange Act of 1934 For the Quarterly Period Ended June 30, 2017 Or ☐ Transition Report Under Section 13 or 15(d) of the Securities Exchange Act of 1934 Commission File Number 001-36351 PLx Pharma Inc. (Exact name of registrant as specified in |
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| August 10, 2017 |
ex10-1.htm Exhibit 10.1 LOAN AND SECURITY AGREEMENT THIS LOAN AND SECURITY AGREEMENT (this ?Agreement?) dated as of August 9, 2017 (the ?Effective Date?) between SILICON VALLEY BANK, a California corporation (?Bank?), and PLx Pharma Inc., a Delaware corporation and PLX OPCO INC., a Delaware corporation (each a ?Co-Borrower? and collectively ?Co-Borrowers?), provides the terms on which Bank shall l |
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| August 10, 2017 |
Dipexium Pharmaceuticals FORM 8-K (Current Report/Significant Event) plxp201707318k.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 August 9, 2017 Date of Report (Date of earliest event reported) PLx Pharma Inc. (Exact name of registrant as specified in its charter) Delaware 001-36351 46-4995704 (State or other jurisdiction of incorporation) (C |
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| August 10, 2017 |
ex4-1.htm Exhibit 4.1 THIS WARRANT AND THE SHARES ISSUABLE HEREUNDER HAVE NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE ?ACT?), OR THE SECURITIES LAWS OF ANY STATE AND, EXCEPT AS SET FORTH IN SECTIONS 5.3 AND 5.4 BELOW, MAY NOT BE OFFERED, SOLD, PLEDGED OR OTHERWISE TRANSFERRED UNLESS AND UNTIL REGISTERED UNDER SAID ACT AND LAWS OR, IN THE OPINION OF LEGAL COUNSEL IN FORM A |
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| June 22, 2017 |
PLXP / PLx Pharma Inc. / ZIMMERMAN RONALD - SCHEDULE 13G/A Passive Investment zimmer20170622sc13ga.htm CUSIP: 25456J104 13G 1 of 5 SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1) PLx Pharma Inc. (Name of Issuer) Common Stock, $0.001 par value per share (Title of Class of Securities) 25456J104 (CUSIP Number) June 14, 2017 (Date of Event Which Requires Filing of this Statement) Check the approp |
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| June 19, 2017 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* PLx Pharma Inc. (Name of Issuer) Common Stock, $0.001 par value per share (Title of Class of Securities) 72942A107 (CUSIP Number) June 9, 2017 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant |
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| June 12, 2017 |
ex10-3.htm Exhibit 10.3 AMENDMENT NUMBER TWO TO AGREEMENT This is the second amendment (?Amendment No. 2?) to the AMENDED AND RESTATED PATENT LICENSE AGREEMENT (the ?License Agreement?), between The Board of Regents of The University of Texas System (?Board?) on behalf of The University of Texas Health Science Center at Houston (?UTHSC-H?) and PLx Pharma Inc., a Texas corporation with its principa |
