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Bellerophon Therapeutics, Inc. (BLPH) SEC Filing 8-K Material Event for the period ending Thursday, September 30, 2021

Bellerophon Therapeutics, Inc.

CIK: 1600132 Ticker: BLPH
0001600132falseNASDAQ00016001322021-09-302021-09-30

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

WASHINGTON, D.C. 20549

FORM 8-K

(Amendment No. 1)

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 30, 2021

Bellerophon Therapeutics, Inc.

(Exact Name of Registrant as Specified in Charter)

Delaware

    

001-36845

    

47-3116175

(State or Other Jurisdiction of Incorporation)

(Commission
File Number)

(IRS Employer
Identification No.)

184 Liberty Corner Road, Suite 302
Warren, New Jersey

    

07059

(Address of Principal Executive Offices)

(Zip Code)

Registrant’s telephone number, including area code: (908) 574-4770

(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 Stock, $0.01 par value per share

BLPH

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 (§240.12b-2 of this chapter).

Emerging growth company

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

Item 5.02. Departure of Directors or Certain Officers; Election of Directs; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers.

(c)On September 30, 2021, the Board of Directors of Bellerophon Therapeutics, Inc. (the "Company") appointed Nicholas Laccona, the Company's Controller, to serve as the Principal Financial Officer and Principal Accounting Officer of the Company, effective as of September 30, 2021. Mr. Laccona has served as the Controller of the Company since August 2020. Prior to joining the Company, Mr. Laccona served as Senior Manager, Audit at KPMG LLP from December 2014 to August 2020. Prior to KPMG LLP, Mr. Laccona was an auditor with Sobel & Co., LLC. Mr. Laccona holds a Bachelor's degree from the University of Maryland, College Park and is a Certified Public Accountant.

Mr. Laccona did not receive additional compensation upon his appointment as Principal Financial Officer and Principal Accounting Officer of the Company.

Mr. Laccona has no family relationships with any of the executive officers or directors of the Company. There are no arrangements or understandings between Mr. Laccona and any other person pursuant to which she was elected as an officer of the Company.

2

SIGNATURES

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.

BELLEROPHON THERAPEUTICS, INC.

Date: October 6, 2021

By:

/s/ Fabian Tenenbaum

Name: Fabian Tenenbaum
Title: Chief Executive Officer

3

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Inside this 8-K Corporate News

Ticker: BLPH
CIK: 1600132
Form Type: 8-K Corporate News
Accession Number: 0001600132-21-000045
Submitted to the SEC: Wed Oct 06 2021 8:58:39 AM EST
Accepted by the SEC: Wed Oct 06 2021
Period: Thursday, September 30, 2021
Industry: Pharmaceutical Preparations
Events:
  1. Event for Officers

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