SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
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
Harpoon Therapeutics, Inc.
(Exact name of Registrant as Specified in Its Charter)
(State or Other Jurisdiction
131 Oyster Point Blvd, Suite 300
South San Francisco, California
|(Address of Principal Executive Offices)||(Zip Code)|
(Registrants Telephone Number, Including Area Code)
(Former Name or Former Address, if Changed Since Last Report)
Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions (see General Instructions A.2. below):
Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)
Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)
Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))
Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))
Securities registered pursuant to Section 12(b) of the Act:
Title of each class
Name of each exchange
on which registered
|Common stock, par value $0.0001 per share||HARP||Nasdaq Global Select Market|
Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (§ 230.405 of this chapter) or Rule 12b2 of the Securities Exchange Act of 1934 (§ 240.12b2 of this chapter).
Emerging growth company ☒
If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. ☐
|Item 8.01|| |
On January 11, 2021, Harpoon Therapeutics, Inc. (the Company) issued a press release announcing the closing of its previously announced underwritten public offering of 6,764,704 shares of its common stock, including 882,352 shares sold pursuant to the exercise in full by the underwriters of their option to purchase additional shares. The gross proceeds to the Company were approximately $115.0 million, before deducting underwriting discounts, commissions and offering expenses payable by the Company.
A copy of the Companys press release announcing the closing of the offering is attached hereto as Exhibit 99.1 and is incorporated by reference herein.
|Item 9.01.|| |
Financial Statements and Exhibits.
|99.1||Press release dated January 11, 2021.|
Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.
|HARPOON THERAPEUTICS, INC.|
Gerald McMahon, Ph.D.
President and Chief Executive Officer
Dated: January 11, 2021
Harpoon Therapeutics Announces Closing of Public Offering of Common Stock
Underwriters Fully Exercise Option to Purchase Additional Shares
South San Francisco, Calif., January 11, 2021 Harpoon Therapeutics, Inc. (Nasdaq: HARP) announced today the closing of its underwritten public offering of 6,764,704 shares of its common stock, which includes 882,352 shares sold upon the underwriters full exercise of their option to purchase additional shares, resulting in aggregate gross proceeds of approximately $115.0 million, before deducting underwriting discounts and commissions and offering expenses payable by Harpoon Therapeutics.
SVB Leerink and Piper Sandler acted as joint bookrunning managers for the offering. Baird and Truist Securities acted as co-lead managers for the offering. Roth Capital Partners acted as co-manager for the offering.
The shares of common stock were offered pursuant to a shelf registration statement previously filed with and declared effective by the Securities and Exchange Commission (SEC). The offering is being made only by means of a prospectus supplement and accompanying prospectus, copies of which may be obtained from: SVB Leerink LLC, Attention: Syndicate Department, One Federal Street, 37th Floor, Boston, MA 02110, by telephone at (800) 808-7525, ext. 6132 or by email at firstname.lastname@example.org or Piper Sandler & Co., Attention: Prospectus Department, 800 Nicollet Mall, J12S03, Minneapolis, MN 55402, by telephone at (800) 747-3924 or by email at email@example.com.
This press release shall not constitute an offer to sell, or a solicitation of an offer to buy, nor shall there be any sale of these securities in any state or jurisdiction in which such offer, solicitation or sale would be unlawful prior to registration or qualification under the securities laws of any such state or jurisdiction. Any offer, if at all, will be made only by means of a prospectus supplement and accompanying prospectus, which are a part of the effective registration statement.
Harpoon Therapeutics, Inc.
Chief Financial Officer
Robert H. Uhl