*DJ ImmunoCellular Therapeutics Announces Delisting and Deregistration of Common Stk and Listed Common Stk Warrants
*DJ ImmunoCellular Therapeutics Announces Delisting and Deregistration of Common Stk and Listed Common Stk Warrants
Press Release: ImmunoCellular Therapeutics Announces Delisting and Deregistration of Common Stock and Listed Common Stock Warrants
新聞稿：免疫細胞治療公司宣佈普通股和上市普通股認股權證退市和註銷
ImmunoCellular Therapeutics Announces Delisting and Deregistration of Common Stock and Listed Common Stock Warrants
免疫細胞治療公司宣佈普通股和上市普通股認股權證退市和註銷
Management Team to Transition to Consulting Roles in Effort to Streamline Operations and Manage Expenses
管理團隊將過渡到諮詢角色，以努力簡化運營和管理費用
PR Newswire
美通社
LOS ANGELES, Oct. 15, 2018
洛杉磯，2018年10月15日
LOS ANGELES, Oct. 15, 2018 /PRNewswire/ -- ImmunoCellular Therapeutics, Ltd. ("ImmunoCellular") (NYSE American: IMUC) today notified the NYSE American of its intention to voluntarily withdraw its Common Stock (NYSE American: IMUC) and Listed Common Stock Warrants (NYSE American: IMUC.WS) from listing on the NYSE American. ImmunoCellular intends to file a Form 25, Notification of Removal from Listing and/or Registration under Section 12(b) of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), with the Securities and Exchange Commission (the "SEC") on or about October 25, 2018. The purpose of the Form 25 filing is to effect the voluntary delisting from NYSE American of the Company's outstanding Common Stock and Listed Common Stock Warrants and the deregistration of the Common Stock and Listed Common Stock Warrants under Section 12(b) of the Exchange Act. The Company expects that the Form 25 filing will become effective on or about November 5, 2018. After the effectiveness of the Form 25 filing, the Company also intends to file a Form 15 with the SEC, requesting the suspension of the Company's reporting obligations under Sections 13(a) and 15(d) of the Exchange Act and the deregistration of its Common Stock and Listed Common Stock Warrants under Section 12(g) of the Exchange Act.
洛杉磯，2018年10月15日/美通社/--ImmunoCcell Treateutics，Ltd.(“ImmunoCcell”)(紐約證券交易所美國市場代碼：IMUC)今天通知紐約證券交易所美國證券交易所，它打算自願撤回其普通股(紐約證券交易所美國證券交易所代碼：IMUC)和上市普通股認股權證(紐約證券交易所美國證券交易所代碼：IMUC.WS)在紐約證券交易所美國證券交易所上市。ImmunoCcell打算在2018年10月25日左右向美國證券交易委員會(SEC)提交一份表格25，即根據修訂後的1934年證券交易法(“交易法”)第12(B)條從上市和/或註冊中除名的通知。提交25號表格的目的是根據交易法第12(B)條的規定，自願將公司已發行的普通股和上市普通股認股權證從紐約證券交易所美國證券交易所退市，並取消普通股和上市普通股認股權證的註冊。該公司預計Form 25備案將於2018年11月5日左右生效。在25號表格申請生效後，該公司還打算向證券交易委員會提交15號表格，要求暫停公司根據交易法第13(A)和15(D)條的報告義務，並根據交易法第12(G)條撤銷其普通股和上市普通股認股權證的註冊。
For more than a year, the Company has made assiduous efforts to reduce expenses, streamline operations and conserve resources, while continuing its research programs with collaborators and pursuing a strategic transaction that could be completed within an acceptable timeframe and at terms that could enable ongoing operations. In addition, as previously announced, on June 23, 2017, the Company received notification from the NYSE American that the Company was not in compliance with Section 1003(a)(iii) of the NYSE American Company Guide (requiring stockholders' equity of at least $6 million if that issuer has sustained losses from continuing operations and/or net losses in its five most recent fiscal years). The Company previously submitted a plan of compliance on July 24, 2017, and the NYSE American accepted the plan of compliance on September 8, 2017. The Company has until December 23, 2018 to regain compliance with the standards. However, the board of directors has concluded that the Company faces significant obstacles to its continued operations which cannot be overcome, and has no other alternative than pursuing the delisting and deregistration course and curtailing operations. These obstacles include: the Company's continued weakening financial condition and lack of financing options; the significant challenges in regaining NYSE American listing compliance by the required December 23, 2018 deadline; legal expenses incurred due to litigation; as well as the ongoing listing, legal, administrative and additional accounting costs associated with being a publicly listed company. In connection with the Company's intent to delist and deregister its shares and manage expenses, on October 10, 2018, Dr. Anthony Gringeri notified the Company of his resignation from the Company's board of directors, effective October 15, 2018. On that same date, Dr. Gringeri also provided notice of his resignation as the Company's President and Chief Executive Officer, David Fractor provided notice of his resignation as the Company's Chief Financial Officer and Dr. Steven Swanson provided notice of his resignation as the Company's Senior Vice President, Research, in each case effective October 15, 2018. Thereafter, Dr. Gringeri, Mr. Fractor and Dr. Swanson are expected to serve as consultants to the Company.
一年多來，公司為降低開支、精簡運營和節約資源做出了不懈的努力，同時繼續與合作者進行研究計劃，並尋求在可接受的時間框架內以能夠持續運營的條款完成的戰略交易。此外，正如之前宣佈的那樣，2017年6月23日，公司收到紐約證券交易所美國人的通知，稱公司沒有遵守紐約證券交易所美國公司指南第1003(A)(Iii)節(如果發行人在最近五個會計年度持續運營遭受虧損和/或淨虧損，則要求股東權益至少為600萬美元)。該公司此前於2017年7月24日提交了合規計劃，紐交所美國人於2017年9月8日接受了該合規計劃。該公司必須在2018年12月23日之前重新遵守這些標準。然而，董事會的結論是，本公司繼續經營面臨無法克服的重大障礙，別無選擇，只能繼續進行退市和註銷程序，並削減業務。這些障礙包括：公司持續疲軟的財務狀況和缺乏融資選擇；在2018年12月23日的最後期限前恢復紐約證券交易所美國上市合規性的重大挑戰；因訴訟而產生的法律費用；以及與上市公司相關的持續上市、法律、行政和額外會計成本。關於本公司打算退市和註銷其股票並管理開支，Anthony Gringeri博士於2018年10月10日通知本公司他辭去本公司董事會職務，自2018年10月15日起生效。在同一天, Gringeri博士還提供了辭去公司總裁兼首席執行官的通知，David Fracter博士提供了辭去公司首席財務官的通知，Steven Swanson博士提供了辭去公司研究部高級副總裁的通知，這兩種情況均於2018年10月15日生效。此後，格林格里博士、弗拉泰爾先生和斯旺森博士將擔任該公司的顧問。
As a delisted and deregistered company, ImmunoCellular may continue efforts to pursue opportunities for partnerships, licensing or sale of its anticancer assets and research programs, and monetization of the its dendritic cell-based and Stem-to-T-cell intellectual property, but there can be no assurances that any actions will be taken as a result of these efforts.
作為一家退市和取消註冊的公司，ImmunoCcell可能會繼續努力尋求合作機會，許可或出售其抗癌資產和研究項目，並將其樹突狀細胞知識產權和幹細胞到T細胞知識產權貨幣化，但不能保證這些努力會導致採取任何行動。
The Company anticipates that its Common Stock will be quoted on the OTC market at the time trading in its Common Stock on the NYSE American is suspended following the effectiveness of the Form 25. However, the Company can give no assurance that trading in its stock will continue on the OTC markets or on any other securities exchange or quotation medium. The delisting of the Common Stock from NYSE American could impair the liquidity and market price of the Common Stock. Additionally, the delisting of the Common Stock from a national exchange could materially adversely affect the Company's access to capital markets, and any limitation on market liquidity or reduction in the price of the Common Stock as a result of that delisting could adversely affect the Company's ability to raise capital on terms acceptable to the Company, or at all. If the Company files Forms 15 and 25 and is successful in deregistering its Common Stock prior to the due date for its next periodic report, then the Company will no longer be required to file annual, periodic and current reports with the SEC.
該公司預計，其普通股將在紐約證券交易所美國交易所(NYSE American)的普通股在25號表格生效後暫停交易時在場外交易市場(OTC Market)上市。然而，該公司不能保證其股票將繼續在場外市場或任何其他證券交易所或報價媒介進行交易。普通股從紐約證交所美國交易所退市可能會削弱普通股的流動性和市場價格。此外，普通股從全國性交易所退市可能會對公司進入資本市場造成重大不利影響，而因退市而對市場流動性的任何限制或普通股價格的降低可能會對公司以公司可以接受的條款籌集資金的能力產生不利影響，或者根本不影響。如果公司提交了15號和25號表格，並在下次定期報告截止日期之前成功註銷了普通股的註冊，那麼公司將不再需要向證券交易委員會提交年度報告、定期報告和當前報告。
Forward-Looking Statements for ImmunoCellular Therapeutics
關於免疫細胞治療的前瞻性陳述
This press release contains certain forward-looking statements, including statements regarding ImmunoCellular's intentions and current expectations concerning, among other things, statements regarding the Company's ability to delist its Common Stock and Listed Common Stock Warrants from the NYSE American and deregister its Common Stock and Listed Common Stock Warrants under the Exchange Act, the continuation of Dr. Gringeri, Mr. Fractor and Dr. Swanson as consultants to the Company and the Company's ability to enter into and complete any strategic sale of its assets. Forward-looking statements are not guarantees of future performance and are subject to a number of risks and uncertainties, including the availability of resources to continue to develop ImmunoCellular's product candidates and the uncertain timing of completion and success of clinical trials. Additional risks and uncertainties are described under the heading "Risk Factors" in ImmunoCellular's quarterly report on Form 10-Q for the period ended June 30, 2018 and subsequent filings with the Securities and Exchange Commission. Except as required by law, ImmunoCellular undertakes no obligation to update or revise any forward-looking statements, whether as a result of new information, future events or otherwise.
本新聞稿包含某些前瞻性陳述，包括有關免疫細胞公司的意圖和當前預期的陳述，這些陳述涉及除其他事項外，有關公司根據交易法從紐約證券交易所美國交易所退市其普通股和上市普通股認股權證以及取消其普通股和上市普通股認股權證註冊的能力、繼續擔任公司顧問的格林格里博士、弗雷泰爾先生和斯旺森博士的陳述，以及該公司進行和完成其資產的任何戰略性出售的能力的陳述。前瞻性陳述不是對未來業績的保證，會受到許多風險和不確定因素的影響，包括繼續開發ImmunoCcell候選產品的資源的可用性以及臨牀試驗完成和成功的不確定時間。在截至2018年6月30日的10-Q表格季度報告以及隨後提交給證券交易委員會的文件中，額外的風險和不確定因素在“風險因素”標題下進行了描述。除非法律要求，否則免疫細胞公司不承擔更新或修改任何前瞻性陳述的義務，無論是由於新信息、未來事件還是其他原因。
Contact:
聯繫方式：
ImmunoCellular Therapeutics, Ltd.
免疫細胞治療有限公司
Jane Green
簡·格林
(267) 457-3734 direct
(267)457-3734直撥
(415) 652-4819 mobile
(415)652-4819移動電話
jane@jmgcomm.com
郵箱：jane@jmgcomm.com
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SOURCE ImmunoCellular Therapeutics, Ltd.
來源：免疫細胞治療有限公司
/Web site: http://imuc.com
網址：http://imuc.com
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October 15, 2018 16:05 ET (20:05 GMT)
2018年10月15日東部時間16：05(格林尼治標準時間20：05)
*DJ ImmunoCellular Therapeutics Announces Delisting and Deregistration of Common Stk and Listed Common Stk Warrants
*DJ ImmunoCcell Treeutics宣佈Common StK和上市Common StK認股權證退市和註銷
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