Emmaus Life Sciences, Inc 10-K/A, filed Jul 1, 2022
Emmaus Life Sciences, Inc. (EMMA)
About this 10-K/A
Emmaus Life Sciences, Inc filed this 10-K/A on July 1, 2022, covering the fiscal year ended December 31, 2021.
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
FORM
(Amendment No. 1)
For
the fiscal year ended
OR
For the transition period from to
Commission
File Number:
(Exact name of Registrant as specified in its charter)
| 2834 | ||||
| (State or Other Jurisdiction of | (Primary Standard Industrial | (I.R.S. Employer | ||
| Incorporation or Organization) | Classification Code Number) | Identification No.) |
(Address of principal executive offices, including zip code)
(
(Registrant’s telephone number, including area code)
Securities Registered Pursuant to Section 12(b) of the Act
None.
Securities Registered Pursuant to Section 12(g) of the Act:
Common stock purchase warrants
Indicate
by check mark if the registrant is a well-known seasoned issuer, as defined in Rule 405 of the Securities Act. Yes ☐
Indicate
by check mark if the registrant is not required to file reports pursuant to Section 13 or Section 15(d) of the Act. Yes ☐
Indicate
by check mark whether the registrant (1) has filed all reports required to be filed by Section 13 or 15(d) of the Securities
Exchange Act of 1934 during the preceding 12 months (or for such shorter period that the registrant was required to file such reports),
and (2) has been subject to such filing requirements for the past 90 days. Yes ☐
Indicate
by check mark whether the registrant has submitted electronically every Interactive Data File required to be submitted pursuant to Rule 405
of Regulation S-T (§ 232.405 of this chapter) during the preceding 12 months (or for such shorter period that the
registrant was required to submit such files). Yes ☐
Indicate by check mark whether the registrant is a large accelerated filer, an accelerated filer, a non-accelerated filer, a smaller reporting company, or emerging growth company. See the definitions of “large accelerated filer,” “accelerated filer,” “smaller reporting company” and “emerging growth company” in Rule 12b-2 of the Exchange Act:
| Large accelerated filer | ☐ | Accelerated filer | ☐ | ||
| ☒ | Smaller reporting company | ||||
| Emerging growth company |
If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. ☐
Indicate
by check mark whether the registrant has filed a report on and attestation to its management’s assessment of the effectiveness
of its internal control over financial reporting under Section 404(b) of the Sarbanes-Oxley Act (15 U.S.C. 7262(b)) by the registered
public accounting firm that prepared or issued its audit report.
Indicate
by check mark whether the registrant is a shell company (as defined in Rule 12b-2 of the Act). Yes ☐ No
The
aggregate market value of shares of common stock held by non-affiliates of the registrant as of June 30, 2020, the last business
day of the registrant’s most recently completed second fiscal quarter, was $
There
were
Auditor Name:
TABLE OF CONTENTS
| ITEM |
PAGE | |||
| EXPLANATORY NOTE | 1 | |||
| PART IV | ||||
| ITEM 15. | EXHIBITS AND FINANCIAL STATEMENT SCHEDULES | 2 | ||
| SIGNATURES | 3 |
i
EXPLANATORY NOTE
1
PART IV
| ITEM 15. | EXHIBITS AND FINANCIAL STATEMENT SCHEDULES |
| 3. | Exhibits: The exhibits listed in the following “Exhibit Index” are incorporated by reference as part of this Annual Report. |
Exhibit Index
| Exhibit
Number |
Exhibit Description | Form | File No. | Exhibit | Filing Date | |||||
| 10.1 | Purchase and Sale Agreement dated __, 2021 between Emmaus Medical, Inc. and Prestige Capital Finance, LLC. | 8-K | 001-35527 | 10.1 | February 22, 2021 | |||||
| 10.2 | 8-K | 001-35527 | 10.2 | February 22, 2021 |
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SIGNATURES
Pursuant to the requirements of Section 13 or 15(d) of the Securities Exchange Act of 1934, the Registrant has duly caused this report to be signed on its behalf by the undersigned, thereunto duly authorized, in the City of Torrance, California, on July 1, 2022.
| Emmaus Life Sciences, Inc. | |||
| By: | /s/ Yutaka Niihara | ||
| Name: | Yutaka Niihara, M.D., M.P.H. | ||
| Title: | Chairman and Chief Executive Officer | ||
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