8-K

ProMIS Neurosciences Inc. (PMN)

8-K 2022-07-08 For: 2022-07-06
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Added on April 11, 2026

UNITED STATESSECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

FORM 8-K

CURRENT REPORTPursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934


Date of Report (Date of earliest event reported) July 6, 2022


PROMIS NEUROSCIENCES INC.

(Exact name of registrant as specified in its charter)

Canada 001-41429 98-0647155
(State or other jurisdiction (Commission (IRS Employer
of incorporation) File Number) Identification No.)
Suite 200, 1920 Yonge Street, Toronto,Ontario M4S 3E2
(Address of principal executive offices) (Zip Code)

Registrant’s telephone number, including area code (416) 847-6898

N/A

(Former name or former address, if changed since last report.)

Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions (see General Instruction A.2. below):

¨ Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)

¨ Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)

¨ Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))

¨ Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))

Securities registered pursuant to Section 12(b) of the Act:

Title of each class Trading Symbol(s) Name of each exchange on which registered
Common Shares PMN The Nasdaq Capital Market

Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (§230.405 of this chapter or Rule 12b-2 of the Securities Exchange Act of 1934) §140.12b-2 of this chapter).

Emerging growth company x

If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. □

Item 8.01. Other Events

On July 6, 2022, The Nasdaq Stock Market LLC (the “Nasdaq”) approved ProMIS Neurosciences Inc.’s (the “Company”) application to list its common shares on The Nasdaq Capital Market. The Company’s common shares will begin trading on The Nasdaq Capital Market on July 8, 2022 under the symbol “PMN”. On July 8, 2022, the Company issued a press release announcing the Nasdaq listing. A copy of the press release is included as Exhibit 99.1 to this report.

Item 9.01. Financial Statement and Exhibits

(d) Exhibits.

Exhibit Number Description
99.1 Press Release dated July 8, 2022

SIGNATURE

Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.

ProMIS Neurosciences Inc.
(Registrant)
Date July 8, 2022
/s/ Eugene Williams
(Signature)
Name: Eugene Williams
Title: Chairman and Chief Executive Officer
2

Exhibit 99.1


ProMIS Neurosciences to Commence Trading onNasdaq Under the Symbol “PMN”



TORONTO, Ontario and CAMBRIDGE, Massachusetts – July 8^th^, 2022 – ProMIS Neurosciences Inc. (Nasdaq: PMN) (TSX: PMN) (“ProMIS” or the “Company”), a biotechnology company focused on the discovery and development of antibody therapeutics targeting misfolded proteins such as toxic oligomers, implicated in the development of neurodegenerative diseases, today announced that it has received final approval from The Nasdaq Capital Market LLC (“Nasdaq”) to list its common shares (the “Common Shares”) on Nasdaq. The Company’s Common Shares will begin trading on Friday, July 8^th^, 2022, under the symbol “PMN”.

The Company’s Common Shares will continue to trade on the Toronto Stock Exchange (TSX) under the same symbol “PMN” (its current symbol). Concurrent with the listing of ProMIS’ Common Shares on Nasdaq, the Common Shares will cease to be quoted on the OTCQB.

Eugene Williams, Chairman and CEO of ProMIS, said, “The listing of our stock on the Nasdaq represents a significant milestone in our growth as a publicly traded company. Nasdaq is the premier global stock exchange for life science and biotechnology companies. We believe this listing will increase our visibility in the marketplace, improve liquidity, broaden and diversify our shareholder base, and ultimately enhance long-term shareholder value. I would like to thank our shareholders for their support, as well as everyone whose hard work has resulted in making ProMIS a member of the Nasdaq exchange. This transformative step will help facilitate the continued advancement of our pipeline of differentiated therapies targeting misfolded proteins in Alzheimer’s, ALS, and other diseases with significant unmet need.”

About ProMIS Neurosciences Inc.


ProMIS Neurosciences Inc. is a development stage biotechnology company focused on discovering and developing antibody therapeutics selectively targeting toxic oligomers implicated in the development and progression of neurodegenerative diseases, in particular Alzheimer’s disease (AD), amyotrophic lateral sclerosis (ALS) and Parkinson’s disease (PD). The Company’s proprietary target discovery engine is based on the use of two complementary techniques. The Company applies its thermodynamic, computational discovery platform - ProMIS™ and Collective Coordinates - to predict novel targets known as Disease Specific Epitopes on the molecular surface of misfolded proteins. Using this unique approach, the Company is developing novel antibody therapeutics for AD, ALS and PD. ProMIS is headquartered in Toronto, Ontario, with offices in Cambridge, Massachusetts. ProMIS is listed on Nasdaq and the Toronto Stock Exchange under the symbol PMN.


Visit us at www.promisneurosciences.com,follow us on Twitter and LinkedIn

For Investor Relations please contact:

Alpine Equity Advisors

Nicholas Rigopulos, President

nick@alpineequityadv.com

Tel. 617 901-0785


Certain information in this news release constitutesforward-looking statements and forward-looking information (collectively, ‎‎"forward-looking information") withinthe meaning of applicable securities laws. In some cases, but not necessarily in all cases, forward-looking information can be identifiedby the ‎use of forward-looking terminology such as "plans", "targets", "expects" or "does notexpect", "is expected", "an opportunity exists", ‎‎"is positioned", "estimates", "intends", "assumes", "anticipates" or "does not anticipate" or "believes", or variationsof such words and ‎phrases or state that certain actions, events or results "may", "could", "would", "might", "will" or "will be taken", "occur" or "be ‎achieved". In addition, anystatements that refer to expectations, projections or other characterizations of future events or ‎circumstances contain forward-lookinginformation. ‎Specifically, this news release contains forward-looking information relating to the continued trading of the Company’sCommon Shares on the TSX. Forward-looking information is necessarily based on a number of opinions, ‎assumptions and estimates.Important factors that could cause actual results and financial condition to differ materially from those indicated in the forward-lookinginformation include, among others, the factors discussed throughout the "Risk Factors" section of the Company’s RegistrationStatement on Form 10 available on www.sec.gov and the Company's most recently filed annual information form available on www.SEDAR.com.Except as required by applicable securities laws, the Company undertakes no obligation to publicly update any forward-looking information,whether written or oral, that may be made from time to time, whether as a result of new information, future developments or otherwise.