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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 Kiromic BioPharma, Inc.
SEC Filings (Chronological Order)
Halaman ini menyediakan daftar lengkap dan kronologis dari Pengajuan SEC, tidak termasuk pengajuan kepemilikan yang kami sediakan di tempat lain.
| March 21, 2025 |
Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year, Bankruptcy or Receivership -12-31 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 21, 2025 KIROMIC BIOPHARMA, INC. |
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| March 17, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 11, 2025 KIROMIC BIOPHARMA, INC. |
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| February 19, 2025 |
As filed with the U.S. Securities and Exchange Commission on February 19, 2025 Table of Contents As filed with the U.S. Securities and Exchange Commission on February 19, 2025 Registration No. 333‑284359 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Amendment No. 1 to Form S-1 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 Kiromic BioPharma, Inc. (Exact name of registrant as specified in its charter) Delaware 2836 46-4762913 (State or other |
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| February 14, 2025 |
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, 2024 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-39619 Kiromic |
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| February 3, 2025 |
Form of the 25% Senior Secured Convertible Promissory Note Exhibit 10.1 THIS NOTE AND THE SHARES OF COMMON STOCK ISSUABLE UPON CONVERSION HEREOF OR UPON THE CONVERSION OF ACCRUED INTEREST AS FURTHER DESCRIBED HEREIN HAVE NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED, OR APPLICABLE STATE SECURITIES LAWS, AND MAY NOT BE SOLD, TRANSFERRED, OR OTHERWISE DISPOSED OF IN THE ABSENCE OF SUCH REGISTRATION OR PURSUANT TO AN EXEMPTION FROM REGISTR |
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| February 3, 2025 |
Form of the 25% Senior Secured Convertible Promissory Note Exhibit 10.1 THIS NOTE AND THE SHARES OF COMMON STOCK ISSUABLE UPON CONVERSION HEREOF OR UPON THE CONVERSION OF ACCRUED INTEREST AS FURTHER DESCRIBED HEREIN HAVE NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED, OR APPLICABLE STATE SECURITIES LAWS, AND MAY NOT BE SOLD, TRANSFERRED, OR OTHERWISE DISPOSED OF IN THE ABSENCE OF SUCH REGISTRATION OR PURSUANT TO AN EXEMPTION FROM REGISTR |
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| February 3, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K/A 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 28, 2025 KIROMIC BIOPHARMA, INC. |
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| February 3, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): January 28, 2025 KIROMIC BIOPHARMA, INC. |
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| January 17, 2025 |
As filed with the U.S. Securities and Exchange Commission on January __, 2025 Table of Contents As filed with the U.S. Securities and Exchange Commission on January , 2025 Registration No. 333‑ UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form S-1 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 Kiromic BioPharma, Inc. (Exact name of registrant as specified in its charter) Delaware 2836 46-4762913 (State or other jurisdiction of incorporati |
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| January 17, 2025 |
EXHIBIT 107 Calculation of Filing Fee Tables S-1 (Form Type) KIROMIC BIOPHRAMA INC. |
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| December 11, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): December 9, 2024 KIROMIC BIOPHARMA, INC. |
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| December 11, 2024 |
Form of the 25% Senior Secured Convertible Promissory Note Exhibit 10.1 THIS NOTE AND THE SHARES OF COMMON STOCK ISSUABLE UPON CONVERSION HEREOF OR UPON THE CONVERSION OF ACCRUED INTEREST AS FURTHER DESCRIBED HEREIN HAVE NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED, OR APPLICABLE STATE SECURITIES LAWS, AND MAY NOT BE SOLD, TRANSFERRED, OR OTHERWISE DISPOSED OF IN THE ABSENCE OF SUCH REGISTRATION OR PURSUANT TO AN EXEMPTION FROM REGISTR |
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| November 8, 2024 |
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 PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2024 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Numbe |
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| November 4, 2024 |
KRBP / Kiromic BioPharma, Inc. / YA II PN, Ltd. - SC 13G/A Passive Investment SC 13G/A 1 tm2427411d2sc13ga.htm SC 13G/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 AMENDMENT NO. 2 TO SCHEDULE 13G Under the Securities Exchange Act of 1934 Kiromic BioPharma, Inc. (Name of Issuer) Common Shares, par value $0.001 per share (Title of Class of Securities) 497634204 (CUSIP Number) September 30, 2024 (Date of Event, which Requires Filing of this Statemen |
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| November 4, 2024 |
EX-99.1 2 tm2427411d2ex99-1.htm EXHIBIT 99.1 EXHIBIT 99.1 JOINT FILING AGREEMENT The undersigned hereby agree that the statement on Schedule 13G with respect to the equity securities of Kiromic BioPharma, Inc. is, and any amendment thereto signed by each of the undersigned shall be, filed on behalf of each of the undersigned pursuant to and in accordance with the provisions of Rule 13d-1(k) promul |
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| November 4, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 1, 2024 KIROMIC BIOPHARMA, INC. |
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| November 4, 2024 |
Exhibit 10.1 EXCHANGE AGREEMENT This Exchange Agreement (this “Agreement”), dated as of November 1, 2024, is made by and between Kiromic BioPharma, Inc., a Delaware corporation (the “Company”), and the holder of the Exchange Securities as set forth below (the “Holder”). WHEREAS, previously on March 28, 2023, the Holder exchanged $8.0 million aggregate principal amount of the Company’s 25% Senior S |
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| September 30, 2024 |
-12-31 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): September 27, 2024 KIROMIC BIOPHARMA, INC. |
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| September 30, 2024 |
Exhibit 10.1 EXCHANGE AGREEMENT This Exchange Agreement (this “Agreement”), dated as of September 27, 2024, is made by and between Kiromic BioPharma, Inc., a Delaware corporation (the “Company”), and the holder of the Exchange Securities as set forth below (the “Holder”). WHEREAS, previously on March 28, 2023, the Holder exchanged $8.0 million aggregate principal amount of the Company’s 25% Senior |
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| September 30, 2024 |
Exhibit 3.1 KIROMIC BIOPHARMA, INC. CERTIFICATE OF DESIGNATION OF PREFERENCES, RIGHTS AND LIMITATIONS OF SERIES E CONVERTIBLE VOTING PREFERRED STOCK PURSUANT TO SECTION 151 OF THE DELAWARE GENERAL CORPORATION LAW KIROMIC BIOPHARMA, INC., a Delaware corporation (the “Corporation”), in accordance with the provisions of Section 103 of the Delaware General Corporation Law (the “DGCL”) does hereby cert |
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| August 9, 2024 |
AMENDMENT NO. 1 TO EXECUTIVE EMPLOYMENT AGREEMENT This Amendment No. 1 (this “Amendment”) to the Executive Employment Agreement dated October 1, 2023 (the “Agreement”) is made and entered into as of August 7, 2024, by and between Kiromic BioPharma, Inc., a Delaware corporation (the “Company”), and Brian Hungerford (“Executive”) (each, a “Party” and collectively, the “Parties”). RECITALS WHEREAS, t |
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| August 9, 2024 |
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 PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2024 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 00 |
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| August 5, 2024 |
25% Senior Secured Convertible Promissory Note, dated August 1, 2024 Exhibit 10.1 THIS NOTE AND THE SHARES OF COMMON STOCK ISSUABLE UPON CONVERSION HEREOF OR UPON THE CONVERSION OF ACCRUED INTEREST AS FURTHER DESCRIBED HEREIN HAVE NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED, OR APPLICABLE STATE SECURITIES LAWS, AND MAY NOT BE SOLD, TRANSFERRED, OR OTHERWISE DISPOSED OF IN THE ABSENCE OF SUCH REGISTRATION OR PURSUANT TO AN EXEMPTION FROM REGISTR |
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| August 5, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 1, 2024 KIROMIC BIOPHARMA, INC. |
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| July 10, 2024 |
25% Senior Secured Convertible Promissory Note Exhibit 10.1 THIS NOTE AND THE SHARES OF COMMON STOCK ISSUABLE UPON CONVERSION HEREOF OR UPON THE CONVERSION OF ACCRUED INTEREST AS FURTHER DESCRIBED HEREIN HAVE NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED, OR APPLICABLE STATE SECURITIES LAWS, AND MAY NOT BE SOLD, TRANSFERRED, OR OTHERWISE DISPOSED OF IN THE ABSENCE OF SUCH REGISTRATION OR PURSUANT TO AN EXEMPTION FROM REGISTR |
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| July 10, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): July 3, 2024 Kiromic BioPharma, Inc. |
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| July 10, 2024 |
First Amendment to 25% Senior Secured Convertible Promissory Note Exhibit 10.2 FIRST AMENDMENT TO 25% SENIOR SECURED CONVERTIBLE PROMISSORY NOTE This FIRST AMENDMENT TO 25% SENIOR SECURED CONVERTIBLE PROMISSORY NOTES (this “Amendment”) is entered into as of July 3, 2024 (the “Amendment Effective Date”), by and among the parties hereto. RECITALS WHEREAS, Kiromic BioPharma, Inc., a Delaware corporation (the “Company”) and S.hield Cap1tal Funding LLC (the “Holder”) |
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| June 28, 2024 |
Submission of Matters to a Vote of Security Holders UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 26, 2024 KIROMIC BIOPHARMA, INC. |
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| June 27, 2024 |
Exchange Agreement dated as of June 21, 2024 between the Company and the Holder Exhibit 10.1 EXCHANGE AGREEMENT This Exchange Agreement (this “Agreement”), dated as of June 21, 2024, is made by and between Kiromic BioPharma, Inc., a Delaware corporation (the “Company”), and the holder of the Exchange Securities as set forth below (the “Holder”). WHEREAS, previously on March 28, 2023, the Holder exchanged $8.0 million aggregate principal amount of the Company’s 25% Senior Secu |
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| June 27, 2024 |
25% Senior Secured Convertible Promissory Note Exhibit 10.2 THIS NOTE AND THE SHARES OF COMMON STOCK ISSUABLE UPON CONVERSION HEREOF OR UPON THE CONVERSION OF ACCRUED INTEREST AS FURTHER DESCRIBED HEREIN HAVE NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED, OR APPLICABLE STATE SECURITIES LAWS, AND MAY NOT BE SOLD, TRANSFERRED, OR OTHERWISE DISPOSED OF IN THE ABSENCE OF SUCH REGISTRATION OR PURSUANT TO AN EXEMPTION FROM REGISTR |
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| June 27, 2024 |
Exhibit 3.1 CERTIFICATE OF AMENDMENT TO CERTIFICATE OF DESIGNATION OF PREFERENCES, RIGHTS AND LIMITATIONS OF SERIES D CONVERTIBLE VOTING PREFERRED STOCK OF KIROMIC BIOPHARMA, INC. Kiromic Biopharma, Inc., a corporation organized under and existing under the laws of the State of Delaware (the “Corporation”), certifies that: FIRST: The name of the Corporation is Kiromic Biopharma, Inc. The Corporati |
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| June 27, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 21, 2024 KIROMIC BIOPHARMA, INC. |
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| June 7, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 3, 2024 KIROMIC BIOPHARMA, INC. |
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| June 7, 2024 |
Form of the 25% Senior Secured Convertible Promissory Note Exhibit 10.1 THIS NOTE AND THE SHARES OF COMMON STOCK ISSUABLE UPON CONVERSION HEREOF OR UPON THE CONVERSION OF ACCRUED INTEREST AS FURTHER DESCRIBED HEREIN HAVE NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED, OR APPLICABLE STATE SECURITIES LAWS, AND MAY NOT BE SOLD, TRANSFERRED, OR OTHERWISE DISPOSED OF IN THE ABSENCE OF SUCH REGISTRATION OR PURSUANT TO AN EXEMPTION FROM REGISTR |
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| May 21, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 21, 2024 KIROMIC BIOPHARMA, INC. |
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| May 21, 2024 |
Exhibit 99.1 Revolutionizing CAR T-Cell Therapy BioPharma OTCQB: KRBP Kiromic.com May 2024 PAGE | Forward-Looking Statements 2 This presentation contains forward-looking statements that involve substantial risks and uncertainties. Kiromic makes such forward-looking statements pursuant to the safe harbor provisions of the United States Private Securities Litigation Reform Act, Section 21E of the Se |
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| May 20, 2024 |
KRBP / Kiromic BioPharma, Inc. / Ralston Shannon - SC 13D Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. )* Kiromic BioPharma, Inc. (Name of Issuer) Common stock, par value $0.001 per share (Title of Class of Securities) 497634204 (CUSIP Number) Brian Hungerford c/o Kiromic BioPharma Inc. 7707 Fannin, Suite 200 Houston, Texas 77054 (832) 968-4888 (Name, Address |
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| May 20, 2024 |
Exhibit 1: Joint Filing Agreement, dated May 20, 2024 EXHIBIT 1 The undersigned acknowledge and agree that the foregoing statement on Schedule 13D is filed on behalf of each of the undersigned and that all subsequent amendments to such statement on Schedule 13D shall be filed on behalf of each of the undersigned without the necessity of filing additional joint filing statements. |
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| May 17, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☒ Definitive |
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| May 10, 2024 |
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 PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2024 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 0 |
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| May 9, 2024 |
KRBP / Kiromic BioPharma, Inc. / BERSANI PIETRO - SC 13D/A Activist Investment SC 13D/A 1 tm2413933d1sc13da.htm SC 13D/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 1 )* Kiromic BioPharma, Inc. (Name of Issuer) Common stock, par value $0.001 per share (Title of Class of Securities) 497634204 (CUSIP Number) Brian Hungerford c/o Kiromic BioPharma Inc. 7707 Fannin, Suite 200 Housto |
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| May 7, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a party other than the Registrant ☐ Check the appropriate box: ☒ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐ Definitive |
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| May 6, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 1, 2024 KIROMIC BIOPHARMA, INC. |
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| May 6, 2024 |
Form of the 25% Senior Secured Convertible Promissory Note Exhibit 10.1 THIS NOTE AND THE SHARES OF COMMON STOCK ISSUABLE UPON CONVERSION HEREOF OR UPON THE CONVERSION OF ACCRUED INTEREST AS FURTHER DESCRIBED HEREIN HAVE NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED, OR APPLICABLE STATE SECURITIES LAWS, AND MAY NOT BE SOLD, TRANSFERRED, OR OTHERWISE DISPOSED OF IN THE ABSENCE OF SUCH REGISTRATION OR PURSUANT TO AN EXEMPTION FROM REGISTR |
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| April 19, 2024 |
Exhibit 99.1 Revolutionizing CAR T-Cell Therapy BioPharma OTCQB: KRBP Kiromic.com April 2024 PAGE | Forward-Looking Statements 2 This presentation contains forward-looking statements that involve substantial risks and uncertainties. Kiromic makes such forward-looking statements pursuant to the safe harbor provisions of the United States Private Securities Litigation Reform Act, Section 21E of the |
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| April 19, 2024 |
Regulation FD Disclosure, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 19, 2024 KIROMIC BIOPHARMA, INC. |
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| April 10, 2024 |
KIROMIC BIOPHARMA INC. 7707 Fannin Street, Suite 200 Houston, TX 77054 April 8, 2024 KIROMIC BIOPHARMA INC. 7707 Fannin Street, Suite 200 Houston, TX 77054 April 8, 2024 VIA EDGAR United States Securities and Exchange Commission 100 F. Street, NE Washington, DC 20549 Re: Kiromic BioPharma, Inc. Withdrawal of Registration Statement on Form S-1 File No. 333-273022 Dear Ladies and Gentlemen: Pursuant to Rule 477 under the Securities Act of 1933, as amended (the “Securities Act”), Kir |
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| April 5, 2024 |
Form of the 25% Senior Secured Convertible Promissory Note Exhibit 10.1 THIS NOTE AND THE SHARES OF COMMON STOCK ISSUABLE UPON CONVERSION HEREOF OR UPON THE CONVERSION OF ACCRUED INTEREST AS FURTHER DESCRIBED HEREIN HAVE NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED, OR APPLICABLE STATE SECURITIES LAWS, AND MAY NOT BE SOLD, TRANSFERRED, OR OTHERWISE DISPOSED OF IN THE ABSENCE OF SUCH REGISTRATION OR PURSUANT TO AN EXEMPTION FROM REGISTR |
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| April 5, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 2, 2024 KIROMIC BIOPHARMA, INC. |
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| April 2, 2024 |
Exhibit 3.1 KIROMIC BIOPHARMA, INC. CERTIFICATE OF DESIGNATION OF PREFERENCES, RIGHTS AND LIMITATIONS OF SERIES D CONVERTIBLE VOTING PREFERRED STOCK PURSUANT TO SECTION 151 OF THE DELAWARE GENERAL CORPORATION LAW KIROMIC BIOPHARMA, INC., a Delaware corporation (the “Corporation”), in accordance with the provisions of Section 103 of the Delaware General Corporation Law (the “DGCL”) does hereby cert |
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| April 2, 2024 |
Exhibit 10.1 EXCHANGE AGREEMENT This Exchange Agreement (this “Agreement”), dated as of March 28, 2024, is made by and between Kiromic BioPharma, Inc., a Delaware corporation (the “Company”), and the holder of the Exchange Securities as set forth below (the “Holder”). WHEREAS, previously on March 28, 2023, the Holder exchanged $8.0 million aggregate principal amount of the Company’s 25% Senior Sec |
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| April 2, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 28, 2024 KIROMIC BIOPHARMA, INC. |
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| March 21, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K/A Amendment No. 1 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, 2023 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: |
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| March 19, 2024 |
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, 2023 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-39169 Kiromic |
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| March 19, 2024 |
Exhibit 21.1 List of Subsidiaries Name of Subsidiary Jurisdiction GreenPlanet Pharma, Inc United States InSilico Solutions, LLC United States |
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| March 11, 2024 |
Form of the 25% Senior Secured Convertible Promissory Note Exhibit 10.1 THIS NOTE AND THE SHARES OF COMMON STOCK ISSUABLE UPON CONVERSION HEREOF OR UPON THE CONVERSION OF ACCRUED INTEREST AS FURTHER DESCRIBED HEREIN HAVE NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED, OR APPLICABLE STATE SECURITIES LAWS, AND MAY NOT BE SOLD, TRANSFERRED, OR OTHERWISE DISPOSED OF IN THE ABSENCE OF SUCH REGISTRATION OR PURSUANT TO AN EXEMPTION FROM REGISTR |
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| March 11, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 7, 2024 KIROMIC BIOPHARMA, INC. |
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| February 14, 2024 |
Form of the 25% Senior Secured Convertible Promissory Note Exhibit 10.1 THIS NOTE AND THE SHARES OF COMMON STOCK ISSUABLE UPON CONVERSION HEREOF OR UPON THE CONVERSION OF ACCRUED INTEREST AS FURTHER DESCRIBED HEREIN HAVE NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED, OR APPLICABLE STATE SECURITIES LAWS, AND MAY NOT BE SOLD, TRANSFERRED, OR OTHERWISE DISPOSED OF IN THE ABSENCE OF SUCH REGISTRATION OR PURSUANT TO AN EXEMPTION FROM REGISTR |
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| February 14, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 12, 2024 KIROMIC BIOPHARMA, INC. |
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| February 12, 2024 |
US4976342042 / KIROMIC BIOPHARMA INC / YA II PN, Ltd. - SC 13G/A Passive Investment SC 13G/A 1 tm245685d5sc13ga.htm SC 13G/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Amendment No. 1 to SCHEDULE 13G Under the Securities Exchange Act of 1934 Kiromic BioPharma, Inc. (Name of Issuer) Common Stock, with a par value $0.001 per share (Title of Class of Securities) 497634204 (CUSIP Number) December 31, 2023 (Date of Event, which Requires Filing of this Stat |
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| February 12, 2024 |
EX-99.1 2 tm245685d5ex99-1.htm EXHIBIT 99.1 EXHIBIT 99.1 Page 1 JOINT FILING AGREEMENT The undersigned hereby agree that the statement on Schedule 13G with respect to the equity securities of Kiromic BioPharma, Inc. is, and any amendment thereto signed by each of the undersigned shall be, filed on behalf of each of the undersigned pursuant to and in accordance with the provisions of Rule 13d-1(k) |
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| February 8, 2024 |
US4976342042 / KIROMIC BIOPHARMA INC / BERSANI PIETRO - SC 13D Activist Investment SC 13D 1 tm245661d1sc13d.htm SC 13D UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. )* Kiromic BioPharma, Inc. (Name of Issuer) Common stock, par value $0.001 per share (Title of Class of Securities) 497634204 (CUSIP Number) Brian Hungerford c/o Kiromic BioPharma Inc. 7707 Fannin, Suite 200 Houston, Texas |
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| January 11, 2024 |
Form of the 25% Senior Secured Convertible Promissory Note Exhibit 10.1 THIS NOTE AND THE SHARES OF COMMON STOCK ISSUABLE UPON CONVERSION HEREOF OR UPON THE CONVERSION OF ACCRUED INTEREST AS FURTHER DESCRIBED HEREIN HAVE NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED, OR APPLICABLE STATE SECURITIES LAWS, AND MAY NOT BE SOLD, TRANSFERRED, OR OTHERWISE DISPOSED OF IN THE ABSENCE OF SUCH REGISTRATION OR PURSUANT TO AN EXEMPTION FROM REGISTR |
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| January 11, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): January 8, 2024 KIROMIC BIOPHARMA, INC. |
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| January 8, 2024 |
SC 13G/A 1 p24-0028sc13ga.htm KIROMIC BIOPHARMA, INC. SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1)* Kiromic Biopharma, Inc. (Name of Issuer) Common Stock, par value $0.001 (Title of Class of Securities) 497634204 (CUSIP Number) December 31, 2023 (Date of event which requires filing of this statement) Check the ap |
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| December 15, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): December 12, 2023 KIROMIC BIOPHARMA, INC. |
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| December 15, 2023 |
Form of the 25% Senior Secured Convertible Promissory Note Exhibit 10.1 THIS NOTE AND THE SHARES OF COMMON STOCK ISSUABLE UPON CONVERSION HEREOF OR UPON THE CONVERSION OF ACCRUED INTEREST AS FURTHER DESCRIBED HEREIN HAVE NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED, OR APPLICABLE STATE SECURITIES LAWS, AND MAY NOT BE SOLD, TRANSFERRED, OR OTHERWISE DISPOSED OF IN THE ABSENCE OF SUCH REGISTRATION OR PURSUANT TO AN EXEMPTION FROM REGISTR |
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| November 14, 2023 |
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 PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2023 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Numbe |
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| November 9, 2023 |
Regulation FD Disclosure, Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 9, 2023 KIROMIC BIOPHARMA, INC. |
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| November 9, 2023 |
Exhibit 99.1 PAGE | 1 Revolutionizing CAR T-Cell Therapy BioPharma OTC PINK: KRBP Kiromic.com NOVEMBER 2023 PAGE | Forward Looking Statements 2 This presentation contains forward-looking statements that involve substantial risks and uncertainties. Kiromic makes such forward-looking statements pursuant to the safe harbor provisions of the United States Private Securities Litigation Reform Act, Sect |
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| November 9, 2023 |
Exhibit 99.2 Kiromic BioPharma Announces Deltacel™ Phase 1 Clinical Trial Enters Patient Recruitment Phase at Beverly Hills Cancer Center Company is Activating Additional Clinical Trial Sites Across the U.S. HOUSTON (November 9, 2023) – Kiromic BioPharma, Inc. (OTC PINK: KRBP) (“Kiromic” or the “Company”), a clinical-stage, fully-integrated biotherapeutics company using its proprietary DIAMOND® ar |
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| November 6, 2023 |
Form of the 25% Senior Secured Convertible Promissory Note Exhibit 10.1 THIS NOTE AND THE SHARES OF COMMON STOCK ISSUABLE UPON CONVERSION HEREOF OR UPON THE CONVERSION OF ACCRUED INTEREST AS FURTHER DESCRIBED HEREIN HAVE NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED, OR APPLICABLE STATE SECURITIES LAWS, AND MAY NOT BE SOLD, TRANSFERRED, OR OTHERWISE DISPOSED OF IN THE ABSENCE OF SUCH REGISTRATION OR PURSUANT TO AN EXEMPTION FROM REGISTR |
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| November 6, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 2, 2023 KIROMIC BIOPHARMA, INC. |
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| October 3, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): October 1, 2023 KIROMIC BIOPHARMA, INC. |
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| October 3, 2023 |
Exhibit 10.1 EXECUTIVE EMPLOYMENT AGREEMENT THIS EXECUTIVE EMPLOYMENT AGREEMENT (the “Agreement”), is effective as of October 1, 2023 (the “Effective Date”) by and between Kiromic Biopharma, Inc., a Delaware corporation (the “Company”), and Brian Hungerford (the “Executive”). Throughout the remainder of the Agreement, the Company and Executive may be individually referred to as a ‘party” or collec |
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| October 2, 2023 |
Form of the 25% Senior Secured Convertible Promissory Note Exhibit 10.1 THIS NOTE AND THE SHARES OF COMMON STOCK ISSUABLE UPON CONVERSION HEREOF OR UPON THE CONVERSION OF ACCRUED INTEREST AS FURTHER DESCRIBED HEREIN HAVE NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED, OR APPLICABLE STATE SECURITIES LAWS, AND MAY NOT BE SOLD, TRANSFERRED, OR OTHERWISE DISPOSED OF IN THE ABSENCE OF SUCH REGISTRATION OR PURSUANT TO AN EXEMPTION FROM REGISTR |
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| October 2, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): September 27, 2023 KIROMIC BIOPHARMA, INC. |
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| September 26, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): September 22, 2023 KIROMIC BIOPHARMA, INC. |
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| September 13, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): September 12, 2023 KIROMIC BIOPHARMA, INC. |
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| September 13, 2023 |
DRAFT #4 Exhibit 99.1 SEPTEMBER 13, 2023 Kiromic BioPharma Common Stock to Begin Trading on the OTC Pink Sheets on September 14 KRBP Suspended from Trading on Nasdaq HOUSTON (September 13, 2023) – Kiromic BioPharma (NASDAQ: KRBP) (“Kiromic” or the “Company”), a clinical-stage, fully-integrated biotherapeutics company using its proprietary DIAMOND® artificial intelligence and data mining platform t |
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| August 29, 2023 |
Form of the 25% Senior Secured Convertible Promissory Note Exhibit 10.1 THIS NOTE AND THE SHARES OF COMMON STOCK ISSUABLE UPON CONVERSION HEREOF OR UPON THE CONVERSION OF ACCRUED INTEREST AS FURTHER DESCRIBED HEREIN HAVE NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED, OR APPLICABLE STATE SECURITIES LAWS, AND MAY NOT BE SOLD, TRANSFERRED, OR OTHERWISE DISPOSED OF IN THE ABSENCE OF SUCH REGISTRATION OR PURSUANT TO AN EXEMPTION FROM REGISTR |
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| August 29, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 25, 2023 KIROMIC BIOPHARMA, INC. |
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| August 15, 2023 |
As filed with the Securities and Exchange Commission on August 15, 2023 As filed with the Securities and Exchange Commission on August 15, 2023 Registration No. |
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| August 15, 2023 |
Exhibit 107 Calculation of Filing Fee Table Form S-8 (Form Type) Kiromic Biopharma, Inc. |
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| August 14, 2023 |
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 PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2023 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 00 |
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| July 27, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): July 27, 2023 KIROMIC BIOPHARMA, INC. |
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| July 27, 2023 |
Form of the 25% Senior Secured Convertible Promissory Note Exhibit 10.1 THIS NOTE AND THE SHARES OF COMMON STOCK ISSUABLE UPON CONVERSION HEREOF OR UPON THE CONVERSION OF ACCRUED INTEREST AS FURTHER DESCRIBED HEREIN HAVE NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED, OR APPLICABLE STATE SECURITIES LAWS, AND MAY NOT BE SOLD, TRANSFERRED, OR OTHERWISE DISPOSED OF IN THE ABSENCE OF SUCH REGISTRATION OR PURSUANT TO AN EXEMPTION FROM REGISTR |
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| July 25, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): July 25, 2023 KIROMIC BIOPHARMA, INC. |
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| July 24, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): July 20, 2023 KIROMIC BIOPHARMA, INC. |
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| July 19, 2023 |
Exhibit 3.1 CERTIFICATE OF AMENDMENT TO CERTIFICATE OF DESIGNATION OF PREFERENCES, RIGHTS AND LIMITATIONS OF SERIES C CONVERTIBLE VOTING PREFERRED STOCK OF KIROMIC BIOPHARMA, INC. Kiromic Biopharma, Inc., a corporation organized under and existing under the laws of the State of Delaware (the “Corporation”), certifies that: FIRST: The name of the Corporation is Kiromic Biopharma, Inc. The Corporati |
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| July 19, 2023 |
Exhibit 10.1 EXCHANGE AGREEMENT This Exchange Agreement (this “Agreement”), dated as of July 18, 2023, is made by and between Kiromic BioPharma, Inc., a Delaware corporation (the “Company”), and the holder of the Exchange Securities as set forth below (the “Holder”). WHEREAS, the Holder holds an aggregate $6 million of the Company’s 25% Senior Secured Convertible Promissory Notes (the “Exchange Se |
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| July 19, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): July 18, 2023 KIROMIC BIOPHARMA, INC. |
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| July 18, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): July 17, 2023 KIROMIC BIOPHARMA, INC. |
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| July 18, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 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 ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e) |
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| July 18, 2023 |
Exhibit 3.1 AMENDMENT TO THE BYLAWS OF KIROMIC BIOPHARMA, INC. (the “Corporation”) Section 1.6 of Article I of the Bylaws of the Corporation (the “Bylaws”), is hereby amended and restated in its entirety as follows: Quorum. Unless otherwise provided by law, the Certificate of Incorporation or these Bylaws, the holders of stock representing one-third (33.33%) of the voting power of all shares of st |
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| June 29, 2023 |
Exhibit 107 Calculation of Filing Fee Tables Form S-1 (Form Type) Kiromic Biopharma, inc. |
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| June 29, 2023 |
As filed with the U.S. Securities and Exchange Commission on June 29, 2023 Table of Contents As filed with the U.S. Securities and Exchange Commission on June 29, 2023 Registration No. 333- UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form S-1 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 Kiromic BioPharma, Inc. (Exact name of Registrant as specified in its charter) Delaware 2836 46-4762913 (State or other jurisdiction of incorporatio |
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| June 27, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 26, 2023 Kiromic BioPharma, Inc. |
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| June 27, 2023 |
Form of the 25% Senior Secured Convertible Promissory Note Exhibit 10.1 THIS NOTE AND THE SHARES OF COMMON STOCK ISSUABLE UPON CONVERSION HEREOF OR UPON THE CONVERSION OF ACCRUED INTEREST AS FURTHER DESCRIBED HEREIN HAVE NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED, OR APPLICABLE STATE SECURITIES LAWS, AND MAY NOT BE SOLD, TRANSFERRED, OR OTHERWISE DISPOSED OF IN THE ABSENCE OF SUCH REGISTRATION OR PURSUANT TO AN EXEMPTION FROM REGISTR |
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| June 16, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 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 ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e) |
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| June 12, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 12, 2023 Kiromic BioPharma, Inc. |
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| May 30, 2023 |
Form of the 25% Senior Secured Convertible Promissory Note Exhibit 10.1 THIS NOTE AND THE SHARES OF COMMON STOCK ISSUABLE UPON CONVERSION HEREOF OR UPON THE CONVERSION OF ACCRUED INTEREST AS FURTHER DESCRIBED HEREIN HAVE NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED, OR APPLICABLE STATE SECURITIES LAWS, AND MAY NOT BE SOLD, TRANSFERRED, OR OTHERWISE DISPOSED OF IN THE ABSENCE OF SUCH REGISTRATION OR PURSUANT TO AN EXEMPTION FROM REGISTR |
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| May 30, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 24, 2023 KIROMIC BIOPHARMA, INC. |
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| May 25, 2023 |
Filed Pursuant to Rule 424(b)(3) Registration No. 333-271950 PROSPECTUS SUPPLEMENT (To Prospectus dated May 19, 2023) KIROMIC BIOPHARMA, INC. This Prospectus Supplement (the “Supplement”) amends the Prospectus dated May 19, 2023 (the “Prospectus”) filed by Kiromic Biopharma, Inc. This Supplement should be read in conjunction with the Prospectus, a copy of which is to be delivered with this Supplem |
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| May 22, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 22, 2023 KIROMIC BIOPHARMA, INC. |
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| May 22, 2023 |
Exhibit 99.1 PAGE | 1 Revolutionizing CAR T-Cell Therapy BioPharma NASDAQ: KRBP Kiromic.com MAY 2023 PAGE | Forward Looking Statements 2 This presentation contains forward-looking statements that involve substantial risks and uncertainties. Kiromic makes such forward-looking statements pursuant to the safe harbor provisions of the United States Private Securities Litigation Reform Act, Section 21E |
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| May 19, 2023 |
KIROMIC BIOPHARMA, INC. Up to 1,302,083 Shares of Common Stock Table of Contents PROSPECTUSFiled Pursuant to Rule 424(b)(3) Registration No. 333-271950 KIROMIC BIOPHARMA, INC. Up to 1,302,083 Shares of Common Stock This prospectus relates to the resale from time to time of up to 1,302,083 shares of common stock, par value $0.001 per share (the “Common Stock”), of Kiromic Biopharma, Inc., a Delaware corporation (“Kiromic”), by YA II PN, LTD, a Cayman Island li |
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| May 17, 2023 |
Kiromic Biopharma, Inc. 7707 Fannin, Suite 140 Houston, TX 77054 Kiromic Biopharma, Inc. 7707 Fannin, Suite 140 Houston, TX 77054 May 17, 2023 VIA EDGAR United States Securities and Exchange Commission 100 F Street, N.E. Washington, D.C. 20549 Attention: Timothy Buchmiller Re: Kiromic Biopharma, Inc. Registration Statement on Form S-1 May 15, 2023 File No. 333-271950 Ladies and Gentlemen: Pursuant to Rule 461 of the General Rules and Regulations under the Secur |
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| May 15, 2023 |
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 PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2023 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 0 |
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| May 15, 2023 |
Exhibit 107 Calculation of Filing Fee Tables Form S-1 (Form Type) Kiromic Biopharma, inc. |
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| May 15, 2023 |
As filed with the U.S. Securities and Exchange Commission on May 15, 2023 Table of Contents As filed with the U.S. Securities and Exchange Commission on May 15, 2023 Registration No. 333- UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form S-1 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 Kiromic BioPharma, Inc. (Exact name of Registrant as specified in its charter) Delaware 2836 46-4762913 (State or other jurisdiction of incorporation |
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| May 12, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 11, 2023 KIROMIC BIOPHARMA, INC. |
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| April 28, 2023 |
Form of the 25% Senior Secured Convertible Promissory Note EX-10.1 2 krbp-20230425xex10d1.htm EX-10.1 Exhibit 10.1 THIS NOTE AND THE SHARES OF COMMON STOCK ISSUABLE UPON CONVERSION HEREOF OR UPON THE CONVERSION OF ACCRUED INTEREST AS FURTHER DESCRIBED HEREIN HAVE NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED, OR APPLICABLE STATE SECURITIES LAWS, AND MAY NOT BE SOLD, TRANSFERRED, OR OTHERWISE DISPOSED OF IN THE ABSENCE OF SUCH REGISTRATI |
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| April 28, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 25, 2023 KIROMIC BIOPHARMA, INC. |
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| April 28, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K/A Amendment No. 1 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, 2022 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: |
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| April 17, 2023 |
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, 2022 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-39169 Kiromic |
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| April 17, 2023 |
Exhibit 21.1 List of Subsidiaries Name of Subsidiary Jurisdiction GreenPlanet Pharma, Inc United States InSilico Solutions, LLC United States |
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| March 31, 2023 |
Exhibit 3.1 KIROMIC BIOPHARMA, INC. CERTIFICATE OF DESIGNATION OF PREFERENCES, RIGHTS AND LIMITATIONS OF SERIES C CONVERTIBLE VOTING PREFERRED STOCK PURSUANT TO SECTION 151 OF THE DELAWARE GENERAL CORPORATION LAW KIROMIC BIOPHARMA, INC., a Delaware corporation (the “Corporation”), in accordance with the provisions of Section 103 of the Delaware General Corporation Law (the “DGCL”) does hereby cert |
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| March 31, 2023 |
Exhibit 10.1 EXCHANGE AGREEMENT This Exchange Agreement (this “Agreement”), dated as of March 28, 2023, is made by and between Kiromic BioPharma, Inc., a Delaware corporation (the “Company”), and the holder of the Exchange Securities as set forth below (the “Holder”). WHEREAS, the Holder holds an aggregate $8 million of the Company’s 25% Senior Secured Convertible Promissory Notes (the “Exchange S |
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| March 31, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 12b-25 Commission File Number: 001-39619 NOTIFICATION OF LATE FILING x Form 10-K ¨ Form 20-F ¨ Form 11-K ¨ Form 10-Q ¨ Form 10-D ¨ Form N-SAR ¨ Form N-CSR For Period Ended: December 31, 2022 ¨ Transition Report on Form 10-K ¨ Transition Report on Form 10-Q ¨ Transition Report on Form 20-F ¨ Transition Report on Form N-SAR |
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| March 31, 2023 |
Form of the 25% Senior Secured Convertible Promissory Note Exhibit 10.2 THIS NOTE AND THE SHARES OF COMMON STOCK ISSUABLE UPON CONVERSION HEREOF OR UPON THE CONVERSION OF ACCRUED INTEREST AS FURTHER DESCRIBED HEREIN HAVE NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED, OR APPLICABLE STATE SECURITIES LAWS, AND MAY NOT BE SOLD, TRANSFERRED, OR OTHERWISE DISPOSED OF IN THE ABSENCE OF SUCH REGISTRATION OR PURSUANT TO AN EXEMPTION FROM REGISTR |
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| March 31, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 28, 2023 Kiromic BioPharma, Inc. |
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| March 17, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 14, 2023 Kiromic BioPharma, Inc. |
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| March 10, 2023 |
Certificate of Amendment to Certificate of Incorporation of Kiromic Biopharma, Inc. Exhibit 3.1 CERTIFICATE OF AMENDMENT to the FOURTH AMENDED AND RESTATED CERTIFICATE OF INCORPORATION of KIROMIC BIOPHARMA, INC. KIROMIC BIOPHARMA, INC. (the “Corporation”), a corporation organized and existing under the General Corporation Law of the State of Delaware (“DGCL”), does hereby certify as follows: 1. The name of the Corporation is Kiromic BioPharma, Inc. The Corporation’s original Cert |
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| March 10, 2023 |
Kiromic BioPharma Announces Reverse Stock Split EX-99.1 3 tm239172d1ex99-1.htm EXHIBIT 99.1 Exhibit 99.1 Kiromic BioPharma Announces Reverse Stock Split HOUSTON (March 10, 2023) – Kiromic BioPharma, Inc. (NASDAQ: KRBP) (“Kiromic” or the “Company”), a clinical-stage fully-integrated biotherapeutics company using its proprietary DIAMOND® artificial intelligence and data mining platform to develop cell therapies with a focus on immune-oncology, an |
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| March 10, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 10, 2023 Kiromic BioPharma, Inc. |
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| March 7, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 7, 2023 Kiromic BioPharma, Inc. |
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| February 27, 2023 |
Form of the 25% Senior Secured Convertible Promissory Note Exhibit 10.1 THIS NOTE AND THE SHARES OF COMMON STOCK ISSUABLE UPON CONVERSION HEREOF OR UPON THE CONVERSION OF ACCRUED INTEREST AS FURTHER DESCRIBED HEREIN HAVE NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED, OR APPLICABLE STATE SECURITIES LAWS, AND MAY NOT BE SOLD, TRANSFERRED, OR OTHERWISE DISPOSED OF IN THE ABSENCE OF SUCH REGISTRATION OR PURSUANT TO AN EXEMPTION FROM REGISTR |
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| February 27, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 21, 2023 Kiromic BioPharma, Inc. |
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| February 23, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant x Filed by a Party other than the Registrant ¨ Check the appropriate box: ¨ Preliminary Proxy Statement ¨ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ¨ Defin |
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| February 16, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐ Defin |
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| January 26, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): January 20, 2023 KIROMIC BIOPHARMA, INC. |
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| January 26, 2023 |
Form of the 25% Senior Secured Convertible Promissory Note EX-10.2 3 krbp-20230120xex10d2.htm EX-10.2 Exhibit 10.2 THIS NOTE AND THE SHARES OF COMMON STOCK ISSUABLE UPON CONVERSION HEREOF OR UPON THE CONVERSION OF ACCRUED INTEREST AS FURTHER DESCRIBED HEREIN HAVE NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED, OR APPLICABLE STATE SECURITIES LAWS, AND MAY NOT BE SOLD, TRANSFERRED, OR OTHERWISE DISPOSED OF IN THE ABSENCE OF SUCH REGISTRATI |
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| January 26, 2023 |
Exhibit 10.1 NOTE PURCHASE AGREEMENT This Note Purchase Agreement, dated as of January , 2023 (this “Agreement”), is entered into by and among Kiromic BioPharma, Inc., a Delaware corporation (the “Company”), and the investor party identified on the signature page hereof (the “Investor” or the “Holder”). RECITALS A.On October 21, 2022 (the “Original issuance Date”), the Company issued to the initia |
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| January 25, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☒ Defin |
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| January 12, 2023 |
SC 13G 1 p23-0088sc13g.htm KIROMIC BIOPHARMA, INC. SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* Kiromic Biopharma, Inc. (Name of Issuer) Common Stock, par value $0.001 (Title of Class of Securities) 497634105 (CUSIP Number) December 31, 2022 (Date of event which requires filing of this statement) Check the approp |
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| December 30, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): December 23, 2022 KIROMIC BIOPHARMA, INC. |
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| December 30, 2022 |
Separation Agreement between Daniel Clark and Kiromic BioPharma, Inc. dated December 27, 2022 EX-10.1 2 krbp-20221223xex10d1.htm EX-10.1 Exhibit 10.1 Corporate Address Fannin South Professional Building, Suite 140 7707 Fannin Street Houston, Texas 77054 t: 832.968.4888 December 27, 2022 Daniel Clark Re:Terms of Separation Dear Mr. Clark: This letter sets forth the terms of the agreement (the “Agreement”) between you and Kiromic BioPharma, Inc. (the “Company”) (you and the Company will be r |
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| December 27, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☒ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐ Defin |
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| December 16, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): December 12, 2022 KIROMIC BIOPHARMA, INC. |
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| December 16, 2022 |
Form of the Amended and Restated 25% Senior Secured Convertible Promissory Note Exhibit 10.1 THIS NOTE AND THE SHARES OF COMMON STOCK ISSUABLE UPON CONVERSION HEREOF OR UPON THE CONVERSION OF ACCRUED INTEREST AS FURTHER DESCRIBED HEREIN HAVE NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED, OR APPLICABLE STATE SECURITIES LAWS, AND MAY NOT BE SOLD, TRANSFERRED, OR OTHERWISE DISPOSED OF IN THE ABSENCE OF SUCH REGISTRATION OR PURSUANT TO AN EXEMPTION FROM REGISTR |
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| December 12, 2022 |
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): December 12, 2022 ? Kiromic BioPharma, Inc. (Exact name of registrant as specified in its charter) ? Delaware 001-39619 46-4762913 (State or other jurisdiction of incorpor |
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| December 12, 2022 |
? ? UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 ? FORM 8-K ? CURRENT REPORT ? Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 ? Date of Report (Date of earliest event reported): December 6, 2022 ? KIROMIC BIOPHARMA, INC. |
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| November 30, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 23, 2022 KIROMIC BIOPHARMA, INC. |
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| November 22, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 16, 2022 KIROMIC BIOPHARMA, INC. |
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| November 14, 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. |
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| November 4, 2022 |
Unregistered Sales of Equity Securities ? 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 31, 2022 KIROMIC BIOPHARMA, INC. (Exact name of registrant as specified in its charter) ? ? ? ? ? Delaware 001-39619 46-4762913 (State or other jurisdiction of incorporation |
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| November 2, 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 27, 2022 KIROMIC BIOPHARMA, INC. (Exact name of registrant as specified in its charter) ? ? ? ? ? Delaware 001-39619 46-4762913 (State or other jurisdiction of incorporation |
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| November 2, 2022 |
AMENDED STIPULATION OF SETTLEMENT AND MUTUAL RELEASE WHEREAS, on July 2, 2021, Sabby Volatility Warrant Master Fund Ltd. |
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| November 2, 2022 |
AMENDED STIPULATION OF SETTLEMENT AND MUTUAL RELEASE WHEREAS, on July 2, 2021, Empery Asset Master, Ltd. |
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| October 27, 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 21, 2022 KIROMIC BIOPHARMA, INC. (Exact name of registrant as specified in its charter) ? ? ? ? ? Delaware 001-39619 46-4762913 (State or other jurisdiction of incorporation |
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| October 27, 2022 |
Exhibit 10.1 THIS NOTE AND THE SHARES OF COMMON STOCK ISSUABLE UPON CONVERSION HEREOF OR UPON THE CONVERSION OF ACCRUED INTEREST AS FURTHER DESCRIBED HEREIN HAVE NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED, OR APPLICABLE STATE SECURITIES LAWS, AND MAY NOT BE SOLD, TRANSFERRED, OR OTHERWISE DISPOSED OF IN THE ABSENCE OF SUCH REGISTRATION OR PURSUANT TO AN EXEMPTION FROM REGISTR |
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| October 20, 2022 |
KRBP / Kiromic Biopharma Inc / YA II PN, Ltd. - SC 13G Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 Kiromic BioPharma, Inc. (Name of Issuer) Common Stock, with a par value $0.001 per share (Title of Class of Securities) 497634105 (CUSIP Number) October 13, 2022 (Date of Event, which Requires Filing of this Statement) Check the appropriate box to designate the rule pursua |
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| October 20, 2022 |
EXHIBIT 99.1 JOINT FILING AGREEMENT The undersigned hereby agree that the statement on Schedule 13G with respect to the equity securities of Kiromic BioPharma, Inc. is, and any amendment thereto signed by each of the undersigned shall be, filed on behalf of each of the undersigned pursuant to and in accordance with the provisions of Rule 13d-1(k) promulgated under the Securities Exchange Act of 19 |
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| October 19, 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 13, 2022 KIROMIC BIOPHARMA, INC. (Exact name of registrant as specified in its charter) ? ? ? ? ? Delaware 001-39619 46-4762913 (State or other jurisdiction of incorporati |
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| October 19, 2022 |
Exhibit 10.1 EXECUTION VERSION STANDBY EQUITY PURCHASE AGREEMENT THIS STANDBY EQUITY PURCHASE AGREEMENT (this ?Agreement?) dated as of October 13, 2022 is made by and between YA II PN, LTD., a Cayman Islands exempt limited partnership (the ?Investor?), and KIROMIC BIOPHARMA, INC., a company incorporated under the laws of the State of Delaware (the ?Company?). WHEREAS, the parties desire that, upon |
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| October 14, 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 10, 2022 KIROMIC BIOPHARMA, INC. (Exact name of registrant as specified in its charter) Delaware 001-39619 46-4762913 (State or other jurisdiction of incorporation) (Commissio |
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| October 14, 2022 |
EXHIBIT 10.3 AS PROVIDED IN THIS NOTE, PAYMENT OF PRINCIPAL, INTEREST AND OTHER AMOUNTS PAYABLE IN RESPECT OF THIS NOTE IS SUBORDINATED AND JUNIOR IN RIGHT OF PAYMENT TO ALL ?SENIOR INDEBTEDNESS? (AS SUCH TERM IS DEFINED IN THIS NOTE). KIROMIC BIOPHARMA, INC. SUBORDINATED CONVERTIBLE PROMISSORY NOTE $[ ] Dated: October [ ], 2022 FOR VALUE RECEIVED, Kiromic BioPharma, Inc., a Delaware corporation ( |
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| October 14, 2022 |
EXHIBIT 10.2 STIPULATION OF SETTLEMENT AND MUTUAL RELEASE WHEREAS, on July 2, 2021, Sabby Volatility Warrant Master Fund Ltd. (?Sabby?) participated in a public offering by Kiromic Biopharma, Inc. (?Kiromic? or the ?Company?) pursuant to which Sabby purchased an aggregate of 500,000 shares of common stock, par value $0.001 per share (?Common Stock?) of Kiromic for $2.5 million (the ?Offering?); WH |
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| October 14, 2022 |
EXHIBIT 10.1 STIPULATION OF SETTLEMENT AND MUTUAL RELEASE WHEREAS, on July 2, 2021, Empery Asset Master, Ltd., Empery Tax Efficient, LP, and Empery Tax Efficient III, LP (collectively, the ?Empery Funds?) participated in a public offering by Kiromic Biopharma, Inc. (?Kiromic? or the ?Company?) pursuant to which the Empery Funds purchased an aggregate of 1,000,000 shares of common stock, par value |
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| September 20, 2022 |
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): September 15, 2022 Kiromic Biopharma, Inc. (Exact name of registrant as specified in its charter) ? ? ? ? ? Delaware 001-39619 46-4762913 (State or other jurisdiction of incorporati |
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| August 23, 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): August 17, 2022 Kiromic BioPharma, Inc. (Exact name of registrant as specified in its charter) ? ? ? ? ? Delaware 001-39619 46-4762913 (State or other jurisdiction of incorporatio |
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| August 19, 2022 |
KIROMIC BIOPHARMA, INC. 7707 Fannin, Suite 140 Houston, TX 77054 KIROMIC BIOPHARMA, INC. 7707 Fannin, Suite 140 Houston, TX 77054 August 19, 2022 VIA EDGAR U.S. Securities and Exchange Commission 100 F Street, N.E. Washington, DC 20549 Re: Kiromic Biopharma, Inc. Registration Statement on Form S-1 (File No. 333-265860) Request for Withdrawal of Registration Statement Ladies and Gentlemen: Reference is made to the Registration Statement on Form S-1 (File No. 333 |
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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. |
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| July 25, 2022 |
Exhibit 107 Calculation of Filing Fee Table Form S-8 (Form Type) Kiromic Biopharma, Inc. |
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| July 25, 2022 |
As filed with the Securities and Exchange Commission on July 25, 2022 As filed with the Securities and Exchange Commission on July 25, 2022 Registration No. |
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| July 15, 2022 |
FWP 1 tm2215611d9fwp.htm FWP Filed pursuant to Rule 433 of the Securities Act of 1933 Issuer Free Writing Prospectus dated July 15, 2022 Relating to the Preliminary Prospectus dated July 13, 2022 Registration Statement File No. 333-265860 PAGE | 1 Revolutionizing CAR - T Therapy BioPharma NASDAQ: KRBP Kiromic.com JULY 2022 PAGE | 2 Forward Looking Statements This presentation contains forward - lo |
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| July 14, 2022 |
Filed pursuant to Rule 433 of the Securities Act of 1933 Issuer Free Writing Prospectus dated July 14, 2022 Relating to the Preliminary Prospectus dated July 14, 2022 Registration Statement File No. |
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| July 13, 2022 |
Form of Representative’s Warrant Exhibit 4.4 THE REGISTERED HOLDER OF THIS PURCHASE WARRANT BY ITS ACCEPTANCE HEREOF, AGREES THAT IT WILL NOT SELL, TRANSFER OR ASSIGN THIS PURCHASE WARRANT EXCEPT AS HEREIN PROVIDED AND THE REGISTERED HOLDER OF THIS PURCHASE WARRANT AGREES THAT IT WILL NOT SELL, TRANSFER, ASSIGN, PLEDGE OR HYPOTHECATE THIS PURCHASE WARRANT FOR A PERIOD OF ONE HUNDRED EIGHTY DAYS FOLLOWING THE EFFECTIVE DATE (DEFIN |
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| July 13, 2022 |
As filed with the Securities and Exchange Commission on July 13, 2022. TABLE OF CONTENTS As filed with the Securities and Exchange Commission on July 13, 2022. |
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| July 13, 2022 |
Exhibit 4.1 COMMON STOCK PURCHASE WARRANT KIROMIC BIOPHARMA, INC. Warrant Shares: Initial Exercise Date: , 2022 Issue Date: , 2022 CUSIP: ISIN: THIS COMMON STOCK PURCHASE WARRANT (the ?Warrant?) certifies that, for value received, or its assigns (the ?Holder?) is entitled, upon the terms and subject to the limitations on exercise and the conditions hereinafter set forth, at any time on or after , |
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| July 13, 2022 |
Exhibit 4.3 Execution Version PRE-FUNDED COMMON STOCK PURCHASE WARRANT KIROMIC BIOPHARMA, INC. Warrant Shares: Issue Date: , 2022 THIS PRE-FUNDED COMMON STOCK PURCHASE WARRANT (the ?Warrant?) certifies that, for value received, or its assigns (the ?Holder?) is entitled, upon the terms and subject to the limitations on exercise and the conditions hereinafter set forth, at any time on or after the I |
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| July 13, 2022 |
Form of Underwriting Agreement Exhibit 1.1 Execution Version UNDERWRITING AGREEMENT between KIROMIC BIOPHARMA, INC. and THINKEQUITY LLC as Representative of the Several Underwriters KIROMIC BIOPHARMA, INC. UNDERWRITING AGREEMENT New York, New York [•], 2022 ThinkEquity LLC As Representative of the several Underwriters named on Schedule 1 attached hereto 17 State Street, 41st Fl New York, NY 10004 Ladies and Gentlemen: The under |
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| July 13, 2022 |
Form of Warrant Agent Agreement Exhibit 4.2 Execution Version WARRANT AGENT AGREEMENT WARRANT AGENT AGREEMENT (this ?Warrant Agreement?) dated as of , 2022 (the ?Issuance Date?) between Kiromic BioPharma, Inc., a company incorporated under the laws of the State of Delaware (the ?Company?), and VStock Transfer, LLC (the ?Warrant Agent?). RECITALS WHEREAS, pursuant to the terms of that certain Underwriting Agreement (?Underwriting |
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| July 12, 2022 |
Exhibit 10.1 EXECUTIVE EMPLOYMENT AGREEMENT THIS EXECUTIVE EMPLOYMENT AGREEMENT (the ?Agreement?), is effective as of July 11, 2022 (the ?Effective Date?) by and between Kiromic Biopharma, Inc., a Delaware corporation (the ?Company?), and Dr. Leonardo Mirandola (the ?Executive?). Throughout the remainder of the Agreement, the Company and Executive may be individually referred to as a ?party? or co |
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| July 12, 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): July 11, 2022 Kiromic BioPharma, Inc. (Exact name of registrant as specified in its charter) Delaware 001-39619 46-4762913 (State or other jurisdiction of incorporation) (Commission F |
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| June 28, 2022 |
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): June 22, 2022 Kiromic BioPharma, Inc. (Exact name of registrant as specified in its charter) ? ? ? ? ? ? ? ? ? ? Delaware 001-39619 46-4762913 (State or other jurisdiction of incorp |
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| June 27, 2022 |
Exhibit 107 Calculation of Filing Fee Table Form S-1 (Form Type) Kiromic Biopharma, Inc. |
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| June 27, 2022 |
As filed with the Securities and Exchange Commission on June 27, 2022. Table of Contents As filed with the Securities and Exchange Commission on June 27, 2022. |
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| June 27, 2022 |
Form of Confidential Information, Inventions, Non-Solicitation and Non-Competition Agreement ? Exhibit 10.21 CONFIDENTIAL INFORMATION, INVENTIONS, NON-SOLICITATION AND NON-COMPETITION AGREEMENT In consideration of my employment by Kiromic Biopharma Inc., and its subsidiaries, parents, affiliates, successors and assigns (together, ?Kiromic? or the ?Company?) and the compensation now and later paid to me, I hereby enter into this Employee Confidential Information, Inventions, Non Solicitati |
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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. |
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| May 13, 2022 |
? Kiromic BioPharma Reports First Quarter 2022 Financial Results and Recent Corporate Highlights ? Recent Corporate Highlights Include: ? ? New Leadership Appointed at the Company, Board of Director Level ? ? Completed Studies to Further Optimize Potency and Validity of the ALEXIS Gamma Delta T (GDT) Cell Platform ? ? Progressed a Master Cell Bank Strategy for Retro-viral Vector (RVV) Production ? ? Enhanced Kiromic?s Diamond AI? Mediated Pooled Donor Gamma Delta T Cell Banking Technology ? ? Expansion and Redesign of In-house cGMP Manufacturing Facility ? ? DIAMOND?AI 2. |
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| May 13, 2022 |
Financial Statements and Exhibits, Results of Operations and Financial Condition ? UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 13, 2022 KIROMIC BIOPHARMA, INC. |
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| May 11, 2022 |
Exhibit 10.1 FIRST AMENDMENT TO EXECUTIVE EMPLOYMENT AGREEMENT ? This FIRST AMENDMENT TO EXECUTIVE EMPLOYMENT AGREEMENT (this ?Amendment?) is entered into by and between KIROMIC BIOPHARMA, INC., a Delaware corporation (the ?Company?), and PIETRO BERSANI (the ?Executive?), effective as of May 10, 2022 (the ?Effective Date?). ? RECITALS: ? WHEREAS, the Company and the Executive entered into that cer |
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| May 11, 2022 |
Exhibit 10.2 FIRST AMENDMENT TO EXECUTIVE EMPLOYMENT AGREEMENT ? This FIRST AMENDMENT TO EXECUTIVE EMPLOYMENT AGREEMENT (this ?Amendment?) is entered into by and between KIROMIC BIOPHARMA, INC., a Delaware corporation (the ?Company?), and DANIEL CLARK (the ?Executive?), effective as of May 10, 2022 (the ?Effective Date?). ? RECITALS: ? WHEREAS, the Company and the Executive entered into that certa |
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| May 11, 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): May 10, 2022 Kiromic BioPharma, Inc. (Exact name of registrant as specified in its charter) ? ? ? ? ? Delaware 001-39619 46-4762913 (State or other jurisdiction of incorporation) (C |
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| May 3, 2022 |
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): April 4, 2022 Kiromic BioPharma, Inc. (Exact name of registrant as specified in its charter) ? ? ? ? ? Delaware 001-39619 46-4762913 (State or other jurisdiction of incorporation) ? |
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| May 3, 2022 |
Letter of Deloitte & Touche LLP dated May 3, 2022. ? Bagby St. Suite 4500 TX, 77002 USA ? +1 (713) 982-4077 ? ? Deloitte & Touche LLP 1111 Bagby St. Suite 4500 Houston, TX, 77002 USA ? Tel: +1 (713) 982-4077 www.deloitte.com ? May 3, 2022 ? Securities and Exchange Commission 100 F Street, N.E. Washington, D.C. 20549-7561 Dear Sirs/Madams: We have read Item 4.01 of Kiromic BioPharma, Inc?s Form 8-K dated May 3, 2022, and have the following comments |
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| April 29, 2022 |
DEF 14A 1 tmb-20220622xdef14a.htm DEF 14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (Rule 14a-101) Schedule 14A Information Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use |
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| April 11, 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): April 11, 2022 Kiromic BioPharma, Inc. (Exact name of registrant as specified in its charter) ? ? ? ? ? ? ? ? ? ? ? Delaware 001-39619 46-4762913 (State or other jurisdiction of i |
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| April 11, 2022 |
Exhibit 99.1 PAGE | 1 Revolutionizing CAR - T Therapy BioPharma NASDAQ: KRBP Kiromic.com April 2022 PAGE | 2 Forward Looking Statements This presentation contains forward - looking statements that involve substantial risks and uncertainties .. We make such forward - looking statements pursuant to the safe harbor provisions of the U .. S .. Private Securities Litigation Reform Act, Section 21 E of |
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| April 8, 2022 |
Kiromic BioPharma Reports Fourth Quarter and Full-Year 2021 Financial Results and Recent Corporate Highlights Highlights Include Company?s Progress in the Following Areas: ?Advances in the Research, Development, and Manufacturing Processes of the ALEXIS Gamma Delta T cell Platform ?Key Hires in Research & Development, Clinical Translational Medicine and Clinical Trial Preparation ?Completion of Approximately 90% of In-house cGMP Facility Expansion and Redesign ?Launch of DIAMOND? Artificial Intelligence (AI) 2. |
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| April 8, 2022 |
Financial Statements and Exhibits, Results of Operations and Financial Condition ? UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 8, 2022 KIROMIC BIOPHARMA, INC. |
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| April 8, 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 Numbe |
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| April 8, 2022 |
Exhibit 21.1 List of Subsidiaries Name of Subsidiary Jurisdiction GreenPlanet Pharma, Inc United States InSilico Solutions, LLC ? United States ? |
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| April 8, 2022 |
Exhibit 4.1 DESCRIPTION OF SECURITIES Kiromic BioPharma, Inc (?Company?, ?we?, ?us? and ?our?) has one class of securities registered under Section 12 of the Securities Exchange Act of 1934, as amended, namely our common stock, par value $0.001 per share. The following is a summary of the rights of our common and of certain provisions of our Amended and Restated Certificate of Incorporation (?Cert |
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| April 1, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 12b-25 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 12b-25 NOTIFICATION OF LATE FILING SEC FILE NUMBER 001-39169 CUSIP NUMBER 497634105 (Check One): x Form 10-K ? Form 20-F ? Form 11-K ? Form 10-Q ? Form 10D ? Form N-SAR ? Form N-CSR For Period Ended: December 31, 2021 ? Transition Report on Form 10-K ? Transition Report on Form 20-F ? Transition Report on Form 11-K ? Tran |
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| March 24, 2022 |
Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing ? UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 18, 2022 KIROMIC BIOPHARMA, INC. |
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| March 11, 2022 |
Financial Statements and Exhibits, Results of Operations and Financial Condition ? UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 11, 2022 KIROMIC BIOPHARMA, INC. |
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| March 11, 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. |
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| March 11, 2022 |
? Kiromic BioPharma Provides Business Update and Reports Third Quarter 2021 Financial Results ? Quarter Updates Include Company?s Progress in the Following Areas: ? Expansion of DIAMOND? AI Platform to More than 1. |
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| February 16, 2022 |
Exhibit 10.3 ? ? EXECUTIVE EMPLOYMENT AGREEMENT THIS EXECUTIVE EMPLOYMENT AGREEMENT (the ?Agreement?), is effective as of February 14, 2022 (the ?Effective Date?) by and between Kiromic Biopharma, Inc., a Delaware corporation (the ?Company?), and Dan Clark (the ?Executive?). Throughout the remainder of the Agreement, the Company and Executive may be individually referred to as a ?party? or collect |
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| February 16, 2022 |
EX-10.1 2 krbp-20220210xex10d1.htm EX-10.1 Exhibit 10.1 Corporate Address Fannin South Professional Building, Suite 140 7707 Fannin Street Houston, Texas 77054 t: 832.968.4888 Transition and Consulting Agreement February 9, 2022 Gianluca Rotino Dear Mr. Rotino: Kiromic BioPharma, Inc., a Delaware corporation (the “Company”), is pleased to offer this Transition and Consulting Agreement (this “Agree |
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| February 16, 2022 |
Exhibit 10.5 KIROMIC BIOPHARMA, INC. OFFICER INDEMNIFICATION AGREEMENT This INDEMNIFICATION AGREEMENT (“Agreement”) is made as of February 14, 2022 by and between Kiromic Biopharma, Inc., a Delaware corporation (the “Company”), and Dan Clark (“Indemnitee”). This Agreement supersedes and replaces any and all previous agreements between the Company and Indemnitee covering the subject matter of this |
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| February 16, 2022 |
EX-10.2 3 krbp-20220210xex10d2.htm EX-10.2 Building, Suite 140 7707 Fannin Street Houston, Texas 77054 t: 832.968.4888 Exhibit 10.2 Corporate Address Fannin South Professional Building, Suite 140 7707 Fannin Street Houston, Texas 77054 t: 832.968.4888 Modification to Employment Agreement February 9, 2022 Scott Dahlbeck Dear Scott: Reference is made to your Employment Agreement with Kiromic BioPhar |
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| February 16, 2022 |
? UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 ? FORM 8-K ? CURRENT REPORT ? Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 ? Date of Report (Date of earliest event reported): February 10, 2022 ? KIROMIC BIOPHARMA, INC. |
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| February 16, 2022 |
Exhibit 10.4 CONFIDENTIAL INFORMATION, INVENTIONS, NON-SOLICITATION AND NON-COMPETITION AGREEMENT In consideration of my employment by Kiromic Biopharma Inc., and its subsidiaries, parents, affiliates, successors and assigns (together, ?Kiromic? or the ?Company?) and the compensation now and later paid to me, I hereby enter into this Confidential Information, Inventions, Non Solicitation and Non C |
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| February 2, 2022 |
EX-10.2 3 krbp-20220127xex10d2.htm EX-10.2 Exhibit 10.2 CONFIDENTIAL INFORMATION, INVENTIONS, NON-SOLICITATION AND NON-COMPETITION AGREEMENT In consideration of my employment by Kiromic Biopharma Inc., and its subsidiaries, parents, affiliates, successors and assigns (together, “Kiromic” or the “Company”) and the compensation now and later paid to me, I hereby enter into this Employee Confidential |
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| February 2, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): January 27, 2022 KIROMIC BIOPHARMA, INC. |
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| February 2, 2022 |
Exhibit 10.3 KIROMIC BIOPHARMA, INC. OFFICER INDEMNIFICATION AGREEMENT This INDEMNIFICATION AGREEMENT (?Agreement?) is made as of January 27, 2022 by and between Kiromic Biopharma, Inc., a Delaware corporation (the ?Company?), and Pietro Bersani (?Indemnitee?). This Agreement supersedes and replaces any and all previous agreements between the Company and Indemnitee covering the subject matter of t |
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| February 2, 2022 |
KIROMIC BIOPHARMA, INC. CHARTER OF THE DISCLOSURE COMMITTEE Adopted as of January 10, 2022 Exhibit 99.1 KIROMIC BIOPHARMA, INC. CHARTER OF THE DISCLOSURE COMMITTEE Adopted as of January 10, 2022 This Disclosure Committee Charter (the “Charter”) has been adopted by Kiromic BioPharma, Inc. (the “Company”). From time to time, the Disclosure Committee (the “Committee”) shall review and reassess this Charter and recommend any proposed changes to the Audit Committee of the Board of Directors |
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| February 2, 2022 |
EX-10.1 2 krbp-20220127xex10d1.htm EX-10.1 Exhibit 10.1 EXECUTIVE EMPLOYMENT AGREEMENT THIS EXECUTIVE EMPLOYMENT AGREEMENT (the “Agreement”), is effective as of January 27, 2022 (the “Effective Date”) by and between Kiromic Biopharma, Inc., a Delaware corporation (the “Company”), and Mr. Pietro Bersani (the “Executive”). Throughout the remainder of the Agreement, the Company and Executive may be i |
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| January 13, 2022 |
SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1)* Kiromic BioPharma, Inc. (Name of Issuer) Common Stock, par value $0.001 (Title of Class of Securities) 497634105 (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 |
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| December 21, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 ? FORM 8-K ? CURRENT REPORT ? Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 ? Date of Report (Date of earliest event reported): December 20, 2021 ? KIROMIC BIOPHARMA, INC. |
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| December 10, 2021 |
EX-10.1 2 krbp-20211206xex10d1.htm EX-10.1 Corporate Address Fannin South Professional Building, Suite 140 7707 Fannin Street Houston, Texas 77054 t: 832.968.4888 December 6, 2021 Mr. Ignacio Nunez Re: Terms of Separation Dear Mr. Nunez: This letter confirms the agreement (“Agreement”) between you and Kiromic BioPharma, Inc. (the “Company”) concerning the terms of your separation and offers you th |
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| December 10, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): December 6, 2021 KIROMIC BIOPHARMA, INC. |
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| December 7, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 ? FORM 8-K ? CURRENT REPORT ? Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 ? Date of Report (Date of earliest event reported): December 3, 2021 ? KIROMIC BIOPHARMA, INC. |
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| November 24, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 ? FORM 8-K ? CURRENT REPORT ? Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 ? Date of Report (Date of earliest event reported): November 18, 2021 ? KIROMIC BIOPHARMA, INC. |
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| November 24, 2021 |
Kiromic Biopharma Announces Receipt of Notice from Nasdaq Regarding Late Filing of Quarterly Report on Form 10-Q HOUSTON, November 24, 2021 ? Kiromic BioPharma, Inc. |
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| November 19, 2021 |
Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT ? Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 17, 2021 ? KIROMIC BIOPHARMA, INC. |
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| November 19, 2021 |
Exhibit 99.1 Bioinformatics to Identify Optimal Solid Tumor Targets and Improve Antigen Selection Maurizio Chiriva Internati,DBSc, PhDs CEO and President, Kiromic BioPharma Associate Professor, The University of Texas, MD Anderson Cancer Center Houston, Texas [email protected] Confidential Property of Kiromic Biopharma Forward Looking Statements Confidential Property of Kiromic Biopharma This p |
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| November 16, 2021 |
NT 10-Q 1 tm2132926d1nt10q.htm NT 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 12b-25 NOTIFICATION OF LATE FILING SEC FILE NUMBER 001-39169 CUSIP NUMBER (Check One): ¨ Form 10-K ¨ Form 20-F ¨ Form 11-K x x Form 10-Q ¨ Form 10D 497634105 ¨ Form N-SAR ¨ Form N-CSR For Period Ended: September 30, 2021 ¨ Transition Report on Form 10-K ¨ Transition Report on Form 20 |
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| October 29, 2021 |
Kiromic BioPharma, Now Clinical Stage, Reports Significant Progression Free Survival Benefit in Metastatic Pancreatic Cancer Patient Treated with KiroVax/BSK01, Company?s Phase 1 Cell Therapy Cancer Vaccine Candidate for Solid Tumors - Discovered by, and Validation of, Kiromic?s Proprietary DIAMOND? Artificial Intelligence Platform ? ? Progression Free Survival of 7 months after Treatment with KiroVAX/BSK01 and Chemotherapy Versus 3. |
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| October 29, 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 October 29, 2021 (October 25, 2021) Date of Report (Date of earliest event reported) KIROMIC BIOPHARMA, INC. ? (Exact Name of Registrant as Specified in its Charter) Delaware 001-39619 46-4762913 (State or other jurisdiction of incor |
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| October 8, 2021 |
Regulation FD Disclosure, Financial Statements and Exhibits ? ? ? UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): October 8, 2021 KIROMIC BIOPHARMA, INC. |
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| October 8, 2021 |
Exhibit 99.1 PAGE | 1 Revolutionizing Solid Tumor Allogeneic Cell Therapy BioPharma October 2021 NASDAQ: KRBP PAGE | 2 Forward Looking Statements This press release contains forward-looking statements that involve substantial risks and uncertainties. We make such forward-looking statements pursuant to the safe harbor provisions of the U.S. Private Securities Litigation Reform Act, Section 21E of t |
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| October 5, 2021 |
? UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 ? FORM 8-K CURRENT REPORT ? Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 ? Date of Report (Date of earliest event reported): September 29, 2021 ? KIROMIC BIOPHARMA, INC. |
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| August 13, 2021 |
Kiromic BioPharma Reports Second Quarter 2021 Financial Results and Operating Highlights Exhibit 99.1 Kiromic BioPharma Reports Second Quarter 2021 Financial Results and Operating Highlights Kiromic Operating Highlights of 2Q-2021 Clinical Trials Updates IND Applications Re-Submissions of two IND applications for ALEXIS product candidates: - ALEXIS-PRO-1: Off-the-Shelf, Allogenic CAR-T expressing chPD1 for Solid Tumors (IV admin.) - ALEXIS-ISO-1: Off-the-Shelf, Allogenic CAR-T express |
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| August 13, 2021 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 13, 2021 KIROMIC BIOPHARMA, INC. |
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| August 13, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q Table of Contents ? UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| August 4, 2021 |
Exhibit 99.1 Confidential Property of Kiromic Biopharma Allogenic Off the Shelf CAR T Cell Therapy Maurizio Chiriva Internati,DBSc, PhDs CEO and President, Kiromic BioPharma Associate Professor, The University of Texas, MD Anderson Cancer Center Houston, Texas [email protected] Confidential Property of Kiromic Biopharma Outline 2 1. To validate if MSLN isoform 2 (IsoMSLN) is specifically expres |
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| August 4, 2021 |
Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 ? FORM 8-K ? CURRENT REPORT ? Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 ? Date of Report (Date of earliest event reported): July 29, 2021 ? KIROMIC BIOPHARMA, INC. |
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| July 28, 2021 |
Kiromic announces the acquisition of InSilico Solutions leveraging on Bioinformatics and Artificial Intelligence to advance clinical development on its outpatient allogeneic CAR-T for solid tumors Houston, Texas, July 26th, 2021 /Business Wire/ - Kiromic Biopharma, Inc. |
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| July 28, 2021 |
Financial Statements and Exhibits, Completion of Acquisition or Disposition of Assets, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 ? FORM 8-K ? CURRENT REPORT ? Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 ? Date of Report (Date of earliest event reported): July 26, 2021 ? KIROMIC BIOPHARMA, INC. |
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| July 15, 2021 |
As filed with the Securities and Exchange Commission on July 15, 2021 S-8 1 tm2118321d10s8.htm FORM S-8 As filed with the Securities and Exchange Commission on July 15, 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 KIROMIC BIOPHARMA, INC. (Exact name of registrant as specified in its charter) Delaware 46-4762913 (State or other jurisdiction of incorp |
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| July 15, 2021 |
Kiromic BioPharma, Inc. 2021 Omnibus Equity Incentive Plan Exhibit 4.1 KIROMIC BIOPHARMA, INC. 2021 OMNIBUS EQUITY INCENTIVE PLAN Section 1. Purpose of Plan. The name of the Plan is the Kiromic BioPharma, Inc. 2021 Omnibus Equity Incentive Plan. The purposes of the Plan are to (i) provide an additional incentive to selected employees, directors and independent contractors of the Company or its Affiliates whose contributions are essential to the growth and |
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| July 8, 2021 |
EX-10.1 2 tmb-20210701xex10d1.htm EX-10.1 Exhibit 10.1 EMPLOYMENT AGREEMENT EMPLOYMENT AGREEMENT (this “Employment Agreement”), dated as of July 1, 2021 between Kiromic BioPharma, Inc., a Delaware corporation (the “Company”) and Michael Ryan, an individual (the “Executive”). BACKGROUND The Company wishes to secure the services of the Executive as Chief Technology Officer of the Company (with such |
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| July 8, 2021 |
Entry into a Material Definitive Agreement, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 ? FORM 8-K ? CURRENT REPORT ? Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 ? Date of Report (Date of earliest event reported): July 1, 2021 ? KIROMIC BIOPHARMA, INC. |
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| July 6, 2021 |
SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* Kiromic BioPharma, Inc. (Name of Issuer) Common Stock, par value $0.001 (Title of Class of Securities) 497634105 (CUSIP Number) June 29, 2021 (Date of event which requires filing of this statement) Check the appropriate box to designate the rule pursuant to which this |
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| June 30, 2021 |
Submission of Matters to a Vote of Security Holders UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 ? FORM 8-K ? CURRENT REPORT ? Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 ? Date of Report (Date of earliest event reported): June 25, 2021 ? KIROMIC BIOPHARMA, INC. |
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| June 30, 2021 |
TABLE OF CONTENTS ?Filed Pursuant to Rule 424(b)(4)? ?Registration No. 333-257427? 8,000,000 Shares Common Stock Kiromic BioPharma, Inc. ? We are offering 8,000,000 shares of our common stock on a firm commitment basis. The public offering price of our shares is $5.00 per share. Our common stock is listed on the Nasdaq Capital Market under the symbol ?KRBP? and, on June 29, 2021, the last reported |
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| June 25, 2021 |
Filed pursuant to Rule 433 of the Securities Act of 1933 Issuer Free Writing Prospectus dated June 25, 2021 Relating to the Preliminary Prospectus dated June 25, 2021 Registration Statement File No. |
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| June 25, 2021 |
Form of Representative’s Warrant Exhibit 4.1 THE REGISTERED HOLDER OF THIS PURCHASE WARRANT BY ITS ACCEPTANCE HEREOF, AGREES THAT IT WILL NOT SELL, TRANSFER OR ASSIGN THIS PURCHASE WARRANT EXCEPT AS HEREIN PROVIDED AND THE REGISTERED HOLDER OF THIS PURCHASE WARRANT AGREES THAT IT WILL NOT SELL, TRANSFER, ASSIGN, PLEDGE OR HYPOTHECATE THIS PURCHASE WARRANT FOR A PERIOD OF ONE HUNDRED EIGHTY DAYS FOLLOWING THE DATE OF THE UNDERWRIT |
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| June 25, 2021 |
Kiromic Biopharma, Inc. 7707 Fannin, Suite 140 Houston, TX 77054 Kiromic Biopharma, Inc. 7707 Fannin, Suite 140 Houston, TX 77054 June 25, 2021 VIA EDGAR United States Securities and Exchange Commission 100 F Street, N.E. Washington, D.C. 20549 Attention: Christine Westbrook Re: Kiromic Biopharma, Inc. (CIK: 0001792581) Registration Statement on Form S-1 Ladies and Gentlemen: Pursuant to Rule 461 of the General Rules and Regulations under the Securities Act of |
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| June 25, 2021 |
Exhibit 10.11 ? FIFTH AMENDMENT TO LEASE AGREEMENT ? THIS FIFTH AMENDMENT (the ?Fifth Amendment?) is made and entered into as of the Effective Date set forth on the signature page (the ?Effective Date?) by and between CAMBRIDGE PROPERTIES (herein referred to as ?Lessor?) and KIROMIC BIOPHARMA, INC, (herein referred to as ?Lessee?) on the following terms and conditions, and thus; ? WITNESSETH ? WHE |
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| June 25, 2021 |
Form of Underwriting Agreement Exhibit 1.1 ? ? ? ? ? ? ? UNDERWRITING AGREEMENT between KIROMIC BIOPHARMA, INC. and THINKEQUITY A DIVISION OF FORDHAM FINANCIAL MANAGEMENT, INC. as Representative of the Several Underwriters ? ? ? ? ? -1- ? ? KIROMIC BIOPHARMA, INC. UNDERWRITING AGREEMENT New York, New York June , 2021 ThinkEquity A Division of Fordham Financial Management, Inc. As Representative of the several Underwriters named |
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| June 25, 2021 |
As filed with the Securities and Exchange Commission on June 25, 2021. Table of Contents As filed with the Securities and Exchange Commission on June 25, 2021. |
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| June 25, 2021 |
June 25, 2021 VIA EDGAR Securities and Exchange Commission Division of Corporation Finance 100 F Street, N. |
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| June 25, 2021 |
Exhibit 10.12 SIXTH AMENDMENT TO LEASE AGREEMENT THIS SIXTH AMENDMENT (the “Sixth Amendment”) is made and entered into as of the Effective Date set forth on the signature page (the “Effective Date”) by and between CAMBRIDGE PROPERTIES (herein referred to as “Lessor”) and KIROMIC BIOPHARMA, INC, (herein referred to as “Lessee”) on the following terms and conditions, and thus; WITNESSETH WHEREAS, Le |
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| June 17, 2021 |
EX-2.1 2 tmb-20210614xex2d1.htm EX-2.1 MEMBERSHIP INTEREST PURCHASE AGREEMENT MEMBERSHIP INTEREST PURCHASE AGREEMENT, dated as of June 14 , 2021 (the “Agreement”), among KIROMIC BIOPHARMA, INC., a Delaware corporation (the “Buyer”), IN SILICO SOLUTIONS, LLC, a limited liability company organized under the laws of the Commonwealth of Virginia (the “Company”) and Michael Ryan (the “Seller”). RECITAL |
