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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 enVVeno Medical Corporation
SEC Filings (Chronological Order)
Halaman ini menyediakan daftar lengkap dan kronologis dari Pengajuan SEC, tidak termasuk pengajuan kepemilikan yang kami sediakan di tempat lain.
| August 20, 2025 |
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 20, 2025 enVVeno Medical Corporation (Exact name of registrant as specified in its charter) Delaware 001-38325 33-0936180 (State or other jurisdiction (Commission (I.R.S. Emplo |
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| August 20, 2025 |
enVVeno Receives Not-Approvable Letter from the FDA for the VenoValve® Exhibit 99.1 enVVeno Receives Not-Approvable Letter from the FDA for the VenoValve® IRVINE, Calif. – August 20, 2025 – enVVeno Medical Corporation (Nasdaq: NVNO) (“enVVeno” or the “Company”), a company setting new standards of care for the treatment of deep venous disease, today announced that it has received a not-approvable letter from the U.S. Food & Drug Administration (FDA) in response to its |
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| July 31, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2025 OR ☐ TRANSITION REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 001-38325 enVVeno Medical Corporation |
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| July 31, 2025 |
Exhibit 10.1 enVVeno MEDICAL CORPORATION EMPLOYMENT AGREEMENT This Employment Agreement (“Agreement”), effective as of May 16, 2025 (the “Effective Date”), is made by and between enVVeno Medical Corporation (“enVVeno Medical”) and Jennifer Bright (“Executive,” and together with enVVeno Medical, the “Parties”) on the last date set forth next to the signatures below. WHEREAS, enVVeno Medical desires |
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| July 31, 2025 |
Exhibit 99.1 OFFICER INDEMNITY AGREEMENT THIS OFFICER INDEMNITY AGREEMENT (this “Agreement”) is made as of July 26, 2025, by and between enVVeno Medical Corporation, a Delaware corporation (the “Company”), and Jennifer Bright (“Indemnitee”). WHEREAS, the Indemnitee is an officer of the Company and in such capacity or capacities, or otherwise an Agent (as hereinafter defined), is performing a valua |
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| May 20, 2025 |
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 19, 2025 enVVeno Medical Corporation (Exact name of registrant as specified in its charter) Delaware 001-38325 33-0936180 (State or other jurisdiction of incorporation) (Commissio |
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| April 30, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2025 OR ☐ TRANSITION REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 001-38325 enVVeno Medical Corporatio |
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| April 21, 2025 |
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 17, 2025 enVVeno Medical Corporation (Exact name of registrant as specified in its charter) Delaware 001-38325 33-0936180 (State or other jurisdiction of incorporation) (Commiss |
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| April 21, 2025 |
Letter from Marcum dated April 17, 2025 Exhibit 16.1 April 17, 2025 Securities and Exchange Commission 100 F Street, N.E. Washington, DC 20549 Commissioners: We have read the statements made by enVVeno Medical Corp under Item 4.01 of its Form 8-K dated April 17, 2025. We agree with the statements concerning our Firm in such Form 8-K; we are not in a position to agree or disagree with other statements of enVVeno Medical Corp contained th |
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| March 14, 2025 |
ENVVENO MEDICAL CORPORATION 70 Doppler Irvine, California 92618 March 14, 2025 ENVVENO MEDICAL CORPORATION 70 Doppler Irvine, California 92618 March 14, 2025 VIA EDGAR U. |
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| March 12, 2025 |
Exhibit 107 Calculation of Fee Tables Form S-8 (Form Type) enVVeno Medical Corporation (Exact Name of Registrant as Specified in Charter) Table 1: Newly Registered Securities Security Type Security Class Title Fee Calculation Rule or Instruction Amount Registered(1)(2) Proposed Maximum Aggregate Offering Price Per Unit Maximum Aggregate Offering Price Fee Rate Amount of Registration Fee Equity Common Stock (par value $0. |
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| March 12, 2025 |
As filed with the Securities and Exchange Commission on March 11, 2025 Registration No. |
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| March 12, 2025 |
As filed with the Securities and Exchange Commission on March 11, 2025 As filed with the Securities and Exchange Commission on March 11, 2025 Registration No. |
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| February 28, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K/A ☒ 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 UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 001-38325 enVVeno Medical Corporation ( |
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| February 28, 2025 |
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 UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 001-38325 enVVeno Medical Corporation (Ex |
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| February 28, 2025 |
Calculation of Filing Fee Table^ Exhibit 107 Calculation of Filing Fee Tables Form S-3 (Form Type) enVVeno Medical Corporation (Exact Name of Registrant as Specified in its Charter) Table 1: Newly Registered and Carry Forward Securities Security Type Security Class Type(1) Fee Calculation or Carry Forward Rule Amount Registered Proposed Maximum Offering Price Per Unit Maximum Aggregate Offering Price Fee Rate Amount of Registrati |
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| February 28, 2025 |
As filed with the Securities and Exchange Commission on February 28, 2025 Registration No. |
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| February 28, 2025 |
Exhibit 4.5 ENVVENO MEDICAL CORPORATION, as ISSUER and [ ], as INDENTURE TRUSTEE INDENTURE Dated as of [ ] TABLE OF CONTENTS Page ARTICLE I DEFINITIONS AND INCORPORATION BY REFERENCE 1 Section 1.01 Definitions 1 Section 1.02 Other Definitions 4 Section 1.03 Incorporation by Reference of Trust Indenture Act 4 Section 1.04 Rules of Construction 5 ARTICLE II THE SECURITIES 5 Section 2.01 Issuable in |
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| December 26, 2024 |
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 18, 2024 enVVeno Medical Corporation (Exact name of registrant as specified in its charter) Delaware 001-38325 33-0936180 (State or other jurisdiction of incorporation) (Comm |
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| November 19, 2024 |
TABLE OF CONTENTS 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 14 |
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| November 14, 2024 |
NVNO / enVVeno Medical Corporation / PERCEPTIVE ADVISORS LLC - SC 13G/A Passive Investment SC 13G/A 1 d912091dsc13ga.htm SC 13G/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G/A Under the Securities Exchange Act of 1934 (Amendment No. 5)* enVVeno Medical Corporation (Name of Issuer) Common Stock, $0.00001 par value per share (Title of Class of Securities) 29415J 106 (CUSIP Number) September 30, 2024 (Date of Event Which Requires Filing of this Stat |
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| October 31, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ☒ 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 UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 001-38325 enVVeno Medical Corpor |
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| September 30, 2024 |
Entry into a Material Definitive Agreement, 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): September 26, 2024 enVVeno Medical Corporation (Exact name of registrant as specified in its charter) Delaware 001-38325 33-0936180 (State or other jurisdiction of incorporation) (Com |
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| September 30, 2024 |
Exhibit 4.1 PRE-FUNDED COMMON STOCK PURCHASE WARRANT ENVVENO MEDICAL CORPORATION Warrant Shares: Initial Exercise Date: September 30, 2024 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 af |
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| September 30, 2024 |
Filed pursuant to Rule 424(b)(5) Registration Statement No. 333-273546 FINAL PROSPECTUS SUPPLEMENT (To prospectus dated August 23, 2023) 4,206,106 Shares of Common Stock Pre-Funded Warrants to Purchase 79,609 Shares of Common Stock Underwriter Warrants to Purchase 300,001 Shares of Common Stock We are offering 4,206,106 shares of our common stock, par value $0.00001 per share, at a public offering |
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| September 30, 2024 |
Exhibit 4.2 REPRESENTATIVE’S PURCHASE WARRANT ENVVENO MEDICAL CORPORATION Warrant Shares: 300,001 Initial Exercise Date: March 30, 2025 Issue Date: September 30, 2024 This REPRESENTATIVE’S PURCHASE WARRANT (the “Warrant”) certifies that, for value received, American Capital Partners, LLC or its assigns (the “Holder”) is entitled, upon the terms and subject to the limitations on exercise and the co |
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| September 30, 2024 |
Exhibit 1.1 Execution Version SHARES OF COMMON STOCK (OR PRE-FUNDED WARRANTS IN LIEU THEREOF) envveno medical corporation Underwriting Agreement September 26, 2024 Titan Partners Group LLC, a division of American Capital Partners, LLC As the Representative of the several Underwriters listed in Schedule A hereto c/o Titan Partners Group LLC, a division of American Capital Partners, LLC 4 World Trad |
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| September 27, 2024 |
enVVeno Medical Corporation Announces Pricing of $15.0 Million Public Offering Filed Pursuant to Rule 433 Free Writing Prospectus dated September 26, 2024 Relating to Preliminary Prospectus dated September 26, 2024 Registration No. |
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| September 26, 2024 |
Subject to Completion, Dated September 26, 2024 Filed pursuant to Rule 424(b)(5) Registration Statement No. 333-273546 The information contained in this preliminary prospectus supplement and the accompanying prospectus is not complete and may be changed. This preliminary prospectus supplement and the accompanying prospectus are not an offer to sell nor do they seek an offer to buy these securities in any jurisdiction where the offer or sale is |
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| July 31, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ☒ 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 UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 001-38325 enVVeno Medical Corporation |
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| May 10, 2024 |
As filed with the Securities and Exchange Commission on May 9, 2024 As filed with the Securities and Exchange Commission on May 9, 2024 Registration No. |
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| May 10, 2024 |
Exhibit 107 Calculation of Fee Tables Form S-8 (Form Type) enVVeno Medical Corporation (Exact Name of Registrant as Specified in Charter) Table 1: Newly Registered Securities Security Type Security Class Title Fee Calculation Rule or Instruction Amount Registered(1)(2) Proposed Maximum Aggregate Offering Price Per Unit Maximum Aggregate Offering Price Fee Rate Amount of Registration Fee Equity Common Stock (par value $0. |
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| May 8, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ☒ 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 UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 001-38325 enVVeno Medical Corporatio |
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| April 24, 2024 |
Exhibit 99.1 Positive 11 Month Topline Efficacy Data Showing Significant Clinical Improvement from enVVeno Medical’s VenoValve® Pivotal Trial to be Presented Today at the 46th Annual Charing Cross Symposium Overall 8.46 Average Revised Venous Clinical Severity Score (rVCSS) Improvement Per Patient for Patients Showing Clinical Meaningful Benefit (rVCSS Improvement ≥ 3 Points) including: 9.29 Point |
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| April 24, 2024 |
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 24, 2024 enVVeno Medical Corporation (Exact name of registrant as specified in its charter) Delaware 001-38325 33-0936180 (State or other jurisdiction (Commission (I.R.S. Employ |
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| March 6, 2024 |
Exhibit 99.1 Positive Topline Efficacy Data Showing Significant Clinical Improvement from enVVeno Medical’s VenoValve® Pivotal Trial to be Presented Today at the VENOUS2024 American Venous Forum Annual Meeting 97% of VenoValve Study Patients Showing Clinical Improvement at Six Months (as Measured by the Revised Venous Clinical Severity Score (rVCSS)) 74% of the Study Patients Showing Clinical Mean |
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| March 6, 2024 |
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): March 6, 2024 enVVeno Medical Corporation (Exact name of registrant as specified in its charter) Delaware 001-38325 33-0936180 (State or other jurisdiction of incorporation) (Commissi |
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| February 29, 2024 |
Exhibit 19.1 ENVVENO MEDICAL CORPORATION INSIDER TRADING POLICY enVVeno Medical Corporation, a Delaware corporation (the “Company”), is committed to the highest standards of ethical business conduct. This Insider Trading Policy (this “Policy”) has been adopted by the Board of Directors of the Company to provide for the standards of the Company on trading and causing the trading of the Company’s se |
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| February 29, 2024 |
Exhibit 99.1 ENVVENO MEDICAL CORPORATION EXECUTIVE COMPENSATION CLAWBACK POLICY Adopted as of November 29, 2023 The Board of Directors (the “Board”) of enVVeno Medical Corporation (the “Company”) has adopted the following executive compensation clawback policy (this “Policy”). This Policy shall supplement any other clawback or compensation recovery policy or policies adopted by the Company or incl |
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| February 29, 2024 |
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 UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 001-38325 enVVeno Medical Corporation (Ex |
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| February 23, 2024 |
NVNO / enVVeno Medical Corporation / PERCEPTIVE ADVISORS LLC - SC 13G/A Passive Investment SC 13G/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G/A Under the Securities Exchange Act of 1934 (Amendment No. 4)* enVVeno Medical Corporation (Name of Issuer) Common Stock, $0.00001 par value per share (Title of Class of Securities) 29415J 106 (CUSIP Number) February 23, 2024 (Date of Event Which Requires Filing of this Statement) Check the appropriate bo |
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| February 23, 2024 |
EX-99.1 EXHIBIT 1 AGREEMENT The persons below hereby agree that the Schedule 13G to which this agreement is attached as an exhibit, as well as all future amendments to such Schedule 13G, shall be filed on behalf of each of them. This agreement is intended to satisfy the requirements of Rule 13d-1(k)(1)(iii) under the Securities Exchange Act of 1934. Date: February 23, 2024 PERCEPTIVE ADVISORS LLC |
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| February 14, 2024 |
NVNO / enVVeno Medical Corporation / Nantahala Capital Management, LLC - SC 13G Passive Investment SC 13G 1 tm243309d29sc13g.htm SC 13G UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* enVVeno Medical Corporation (Name of Issuer) Common Stock, $0.00001 par value (Title of Class of Securities) 29415J106 (CUSIP Number) December 31, 2023 (Date of Event which Requires Filing of this Statement) Check the |
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| February 14, 2024 |
EX-99.1 2 d754772dex991.htm EX-99.1 EXHIBIT 1 AGREEMENT The persons below hereby agree that the Schedule 13G to which this agreement is attached as an exhibit, as well as all future amendments to such Schedule 13G, shall be filed on behalf of each of them. This agreement is intended to satisfy the requirements of Rule 13d-1(k)(1)(iii) under the Securities Exchange Act of 1934. Date: February 14, 2 |
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| February 14, 2024 |
NVNO / enVVeno Medical Corporation / PERCEPTIVE ADVISORS LLC - SC 13G/A Passive Investment SC 13G/A 1 d754772dsc13ga.htm SC 13G/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G/A Under the Securities Exchange Act of 1934 (Amendment No. 3)* enVVeno Medical Corporation (Name of Issuer) Common Stock, $0.00001 par value per share (Title of Class of Securities) 29415J 106 (CUSIP Number) December 31, 2023 (Date of Event Which Requires Filing of this State |
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| December 7, 2023 |
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 5, 2023 enVVeno Medical Corporation (Exact name of registrant as specified in its charter) Delaware 001-38325 33-0936180 (State or other jurisdiction of incorporation) (Commi |
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| November 16, 2023 |
Exhibit 99.1 enVVeno Medical Presents Positive Preliminary Device Related Material Adverse Event (MAE) Data from the VenoValve Pivotal Trial at the 50th Annual VEITH Symposium - No Deaths or Pulmonary Embolisms Occurring During the 30 Day MAE Period - Expected Overall Device-Related Material Adverse Event Rate of 8% for the Fully Enrolled 75 Patient Study - Six (6) DVT Related MAEs IRVINE, Calif. |
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| November 16, 2023 |
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): November 16, 2023 enVVeno Medical Corporation (Exact name of registrant as specified in its charter) Delaware 001-38325 33-0936180 (State or other jurisdiction (Commission (I.R.S. Emp |
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| November 3, 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 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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| November 1, 2023 |
ENVVENO MEDICAL CORPORATION 70 Doppler Irvine, California 92618 November 1, 2023 ENVVENO MEDICAL CORPORATION 70 Doppler Irvine, California 92618 November 1, 2023 VIA EDGAR U. |
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| October 26, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ☒ 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 UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 001-38325 enVVeno Medical Corpor |
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| October 26, 2023 |
As filed with the Securities and Exchange Commission on October 26, 2023 Registration No. |
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| October 26, 2023 |
Exhibit 107 CALCULATION OF REGISTRATION FEE Security Type Security Class Type (1) Fee Calculation or Carry Forward Rule Amount to be Registered Proposed Maximum Aggregate Offering Price per Security Proposed Maximum Aggregate Offering Price Fee Rate Amount of Registration Fee Fees to be paid Equity Common Stock 457 (c) 14,708,942 (1) $ 5. |
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| October 12, 2023 |
Exhibit 4.1 NEITHER THIS SECURITY NOR THE SECURITIES FOR WHICH THIS SECURITY IS EXERCISABLE HAVE BEEN REGISTERED WITH THE SECURITIES AND EXCHANGE COMMISSION OR THE SECURITIES COMMISSION OF ANY STATE IN RELIANCE UPON AN EXEMPTION FROM REGISTRATION UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE “SECURITIES ACT”), AND, ACCORDINGLY, MAY NOT BE OFFERED OR SOLD EXCEPT PURSUANT TO AN EFFECTIVE REGISTR |
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| October 12, 2023 |
Exhibit 10.1 SECURITIES PURCHASE AGREEMENT This Securities Purchase Agreement (this “Agreement”) is dated as of October 6, 2023, between enVVeno Medical Corporation, a Delaware corporation (the “Company”), and each purchaser identified on the signature pages hereto (each, including its successors and assigns, a “Purchaser” and collectively, the “Purchasers”). RECITALS WHEREAS, subject to the terms |
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| October 12, 2023 |
Exhibit 4.3 NEITHER THIS SECURITY NOR THE SECURITIES FOR WHICH THIS SECURITY IS EXERCISABLE HAVE BEEN REGISTERED WITH THE SECURITIES AND EXCHANGE COMMISSION OR THE SECURITIES COMMISSION OF ANY STATE IN RELIANCE UPON AN EXEMPTION FROM REGISTRATION UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE “SECURITIES ACT”), AND, ACCORDINGLY, MAY NOT BE OFFERED OR SOLD EXCEPT PURSUANT TO AN EFFECTIVE REGISTR |
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| October 12, 2023 | ||
| October 12, 2023 |
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 6, 2023 enVVeno Medical Corporation (Exact name of registrant as specified in its charter) Delaware 001-38325 33-0936180 (State or other jurisdiction (Commission (I.R.S. Emplo |
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| October 12, 2023 |
Exhibit 4.4 NEITHER THIS SECURITY NOR THE SECURITIES FOR WHICH THIS SECURITY IS EXERCISABLE HAVE BEEN REGISTERED WITH THE SECURITIES AND EXCHANGE COMMISSION OR THE SECURITIES COMMISSION OF ANY STATE IN RELIANCE UPON AN EXEMPTION FROM REGISTRATION UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE “SECURITIES ACT”), AND, ACCORDINGLY, MAY NOT BE OFFERED OR SOLD EXCEPT PURSUANT TO AN EFFECTIVE REGISTR |
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| October 12, 2023 |
Exhibit 4.2 NEITHER THIS SECURITY NOR THE SECURITIES FOR WHICH THIS SECURITY IS EXERCISABLE HAVE BEEN REGISTERED WITH THE SECURITIES AND EXCHANGE COMMISSION OR THE SECURITIES COMMISSION OF ANY STATE IN RELIANCE UPON AN EXEMPTION FROM REGISTRATION UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE “SECURITIES ACT”), AND, ACCORDINGLY, MAY NOT BE OFFERED OR SOLD EXCEPT PURSUANT TO AN EFFECTIVE REGISTR |
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| October 12, 2023 |
Exhibit 10.3 REGISTRATION RIGHTS AGREEMENT This Registration Rights Agreement (this “Agreement”) is made and entered into as of October 6, 2023, between enVVeno Medical Corporation, a Delaware corporation (the “Company”), and each of the several purchasers signatory hereto (each such purchaser, a “Purchaser” and, collectively, the “Purchasers”). This Agreement is made pursuant to the Securities Pu |
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| August 21, 2023 |
ENVVENO MEDICAL CORPORATION 70 Doppler Irvine, California 92618 August 21, 2023 ENVVENO MEDICAL CORPORATION 70 Doppler Irvine, California 92618 August 21, 2023 VIA EDGAR U. |
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| August 14, 2023 |
As filed with the Securities and Exchange Commission on August 14, 2023 Registration No. |
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| July 31, 2023 |
Calculation of Filing Fee Table^ Exhibit 107 Calculation of Filing Fee Tables Form S-3 (Form Type) enVVeno Medical Corporation (Exact Name of Registrant as Specified in its Charter) Table 1: Newly Registered and Carry Forward Securities Security Type Security Class Type(1) Fee Calculation or Carry Forward Rule Amount Registered Proposed Maximum Offering Price Per Unit Maximum Aggregate Offering Price Fee Rate Amount of Registrati |
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| July 31, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ☒ 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 UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 001-38325 enVVeno Medical Corporation |
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| July 31, 2023 |
Exhibit 4.5 ENVVENO MEDICAL CORPORATION, as ISSUER and [ ], as INDENTURE TRUSTEE INDENTURE Dated as of [ ] TABLE OF CONTENTS Page ARTICLE I DEFINITIONS AND INCORPORATION BY REFERENCE 1 Section 1.01 Definitions 1 Section 1.02 Other Definitions 4 Section 1.03 Incorporation by Reference of Trust Indenture Act 4 Section 1.04 Rules of Construction 5 ARTICLE II THE SECURITIES 5 Section 2.01 Issuable in |
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| July 31, 2023 |
As filed with the Securities and Exchange Commission on July 31, 2023 Registration No. |
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| May 5, 2023 |
Filed Pursuant to Rule 424(b)(3) Registration No. 333- 264361 Prospectus Supplement No. 1 to Reoffer Prospectus of enVVeno Medical Corporation Up to 4,500,000 Shares of Common Stock under the Amended and Restated 2016 Omnibus Incentive Plan This Prospectus Supplement, dated May 5, 2023 (this “Supplement”), supplements the reoffer prospectus filed as part of the Registration Statement on Form S-8 f |
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| April 28, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ☒ 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 UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 001-38325 enVVeno Medical Corporatio |
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| March 2, 2023 |
Exhibit 10.21 HANCOCK JAFFE LABORATORIES, INC. EMPLOYMENT AGREEMENT This Employment Agreement (“Agreement”), dated as of July 29, 2020 (the “Effective Date”), is made by and between Hancock Jaffe Laboratories, Inc. (“Hancock Jaffe”) and Hamed Alavi (“Executive,” and together with Hancock Jaffe, the “Parties”). WHEREAS, Hancock Jaffe desires to employ Executive, and Executive desires to be so emplo |
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| March 2, 2023 |
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 UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 001-38325 enVVeno Medical Corporation (Ex |
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| February 14, 2023 |
EX-99.1 2 d432981dex991.htm EX-99.1 EXHIBIT 1 AGREEMENT The persons below hereby agree that the Schedule 13G to which this agreement is attached as an exhibit, as well as all future amendments to such Schedule 13G, shall be filed on behalf of each of them. This agreement is intended to satisfy the requirements of Rule 13d-1(k)(1)(iii) under the Securities Exchange Act of 1934. Date: February 14, 2 |
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| February 14, 2023 |
NVNO / enVVeno Medical Corporation / PERCEPTIVE ADVISORS LLC - SC 13G/A Passive Investment SC 13G/A 1 d432981dsc13ga.htm SC 13G/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G/A Under the Securities Exchange Act of 1934 (Amendment No. 2)* enVVeno Medical Corporation (Name of Issuer) Common Stock, $0.00001 par value per share (Title of Class of Securities) 29415J 106 (CUSIP Number) December 31, 2022 (Date of Event Which Requires Filing of this State |
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| December 6, 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): November 30, 2022 enVVeno Medical Corporation (Exact name of registrant as specified in its charter) Delaware 001-38325 33-0936180 (State or other jurisdiction (Commission (I.R.S. Emp |
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| November 1, 2022 |
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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| October 27, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2022 OR ? TRANSITION REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 001-38325 enVVeno Medical Corpor |
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| August 3, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2022 OR ? TRANSITION REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 001-38325 enVVeno Medical Corporation |
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| May 11, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q/A (Amendment No. 1) ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2022 OR ? TRANSITION REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 001-38325 enVVen |
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| May 11, 2022 |
enVVeno Medical Corporation 70 Doppler Irvine, California 92618 enVVeno Medical Corporation 70 Doppler Irvine, California 92618 May 11, 2022 VIA EDGAR U. |
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| May 11, 2022 |
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, 2021 OR ? TRANSITION REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 001-38325 enVVeno Med |
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| April 29, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2022 OR ? TRANSITION REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 001-38325 enVVeno Medical Corporatio |
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| April 18, 2022 |
Exhibit 107 Calculation of Fee Tables Form S-8 (Form Type) enVVeno Medical Corporation (Exact Name of Registrant as Specified in Charter) Table 1: Newly Registered Securities Security Type Security Class Title Fee Calculation Rule or Instruction Amount Registered(1)(2) Proposed Maximum Aggregate Offering Price Per Unit Maximum Aggregate Offering Price Fee Rate Amount of Registration Fee Equity Common Stock (par value $0. |
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| April 18, 2022 |
As filed with the Securities and Exchange Commission on April 18, 2022 As filed with the Securities and Exchange Commission on April 18, 2022 Registration No. |
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| March 28, 2022 |
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 UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 001-38325 enVVeno Medical Corporation (Ex |
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| March 28, 2022 |
Exhibit 10.5 AMENDMENT NO. 2 TO ENVVENO MEDICAL CORPORATION 2016 OMNIBUS INCENTIVE PLAN (Effective December 3, 2021) Reference is made to the enVVeno Medical Corporation 2016 Omnibus Incentive Plan (as Amended and Restated Effective April 26, 2018, and as further amended by Amendment No. 1 to the Plan which became effective on December 17, 2020) (the ?Plan?). In accordance with Section 5.2 of the |
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| February 14, 2022 |
NVNO / enVVeno Medical Corporation / PERCEPTIVE ADVISORS LLC - SC 13G/A Passive Investment SC 13G/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G/A Under the Securities Exchange Act of 1934 (Amendment No. 1)* enVVeno Medical Corporation (Name of Issuer) Common Stock, $0.00001 par value per share (Title of Class of Securities) 29415J 106 (CUSIP Number) December 31, 2021 (Date of Event Which Requires Filing of this Statement) Check the appropriate bo |
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| February 14, 2022 |
EXHIBIT 1 AGREEMENT The persons below hereby agree that the Schedule 13G to which this agreement is attached as an exhibit, as well as all future amendments to such Schedule 13G, shall be filed on behalf of each of them. |
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| February 14, 2022 |
NVNO / enVVeno Medical Corporation / CVI Investments, Inc. - SC 13G/A Passive Investment SC 13G/A 1 tm226115d22sc13ga.htm SC 13G/A CUSIP No: 29415J106 SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G (Rule 13d-102) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO § 240.13d-1(b), (c) AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO § 240.13d-2. (Amendment No. 1)* enVVeno Medical Corporation (formerly Hancock Jaffe Laboratories, Inc.) (Name of Issuer) Com |
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| February 11, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 2)* enVVeno Medical Corporation (Name of Issuer) Common Stock, $0.00001 par value per share (Title of Class of Securities) 29415J106 (CUSIP Number) December 31, 2021 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designa |
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| January 19, 2022 |
SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1)* enVVeno Medical Corporation (Name of Issuer) Common Stock, par value $0.00001 (Title of Class of Securities) 29415J106 (CUSIP Number) December 31, 2021 (Date of event which requires filing of this statement) Check the appropriate box to designate the rule pursuant to |
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| December 3, 2021 |
Submission of Matters to a Vote of Security Holders UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 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): November 30, 2021 enVVeno Medical Corporation (Exact name of registrant as specified in its charter) Delaware 001-38325 33-0936180 (State or other jurisdiction (Commission (I.R.S. E |
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| December 1, 2021 |
Submission of Matters to a Vote of Security Holders, Regulation FD Disclosure 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): November 30, 2021 enVVeno Medical Corporation (Exact name of registrant as specified in its charter) Delaware 001-38325 33-0936180 (State or other jurisdiction (Commission (I.R.S. Emp |
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| November 12, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2021 OR ? TRANSITION REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 001-38325 enVVeno Medical Corpor |
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| November 2, 2021 |
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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| October 1, 2021 |
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 29, 2021 enVVeno Medical Corporation (Exact name of registrant as specified in its charter) Delaware 001-38325 33-0936180 (State or other jurisdiction (Commission (I.R.S. Em |
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| October 1, 2021 |
Exhibit 3.1 CERTIFICATE OF AMENDMENT TO THE FIFTH AMENDED AND RESTATED CERTIFICATE OF INCORPORATION OF HANCOCK JAFFE LABORATORIES, INC. The undersigned, for the purposes of amending the Fifth Amended and Restated Certificate of Incorporation of Hancock Jaffe Laboratories, Inc. (the ?Corporation?), a corporation organized and existing under and by virtue of the General Corporation Law of the State |
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| September 22, 2021 |
Other Events, 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): September 21, 2021 Hancock Jaffe Laboratories, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38325 33-0936180 (State or other jurisdiction (Commission (I.R. |
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| September 22, 2021 |
Exhibit 99.1 Hancock Jaffe Announces Corporate Rebranding to Reflect Prioritization of its Development Pipeline on Venous Disease Programs ? Hancock Jaffe changing name to enVVeno Medical Corporation and ticker symbol to NASDAQ: NVNO, effective October 1, 2021 ? ? Development strategy to focus on venous disease and advancement of the VenoValve? ? ? Initiated development of second product for the t |
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| September 17, 2021 |
EXHIBIT 1 AGREEMENT The persons below hereby agree that the Schedule 13G to which this agreement is attached as an exhibit, as well as all future amendments to such Schedule 13G, shall be filed on behalf of each of them. |
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| September 17, 2021 |
HJLI / Hancock Jaffe Laboratories Inc / PERCEPTIVE ADVISORS LLC - SC 13G Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* Hancock Jaffe Laboratories, Inc. (Name of Issuer) Common Stock, $0.00001 par value per share (Title of Class of Securities) 41015N 304 (CUSIP Number) September 9, 2021 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to de |
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| September 8, 2021 |
Exhibit 10.1 SECURITIES PURCHASE AGREEMENT This Securities Purchase Agreement (this ?Agreement?) is dated as of September 3, 2021 between Hancock Jaffe Laboratories, Inc., a Delaware corporation (the ?Company?), and each purchaser identified on the signature pages hereto (each, including its successors and assigns, a ?Purchaser? and collectively the ?Purchasers?). WHEREAS, subject to the terms and |
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| September 8, 2021 |
Exhibit 10.2 PLACEMENT AGENCY AGREEMENT September 3, 2021 Ladenburg Thalmann & Co. Inc. 999 Vanderbilt Beach Road, Suite 200 Naples, Florida 34105 Ladies and Gentlemen: Introduction. Subject to the terms and conditions herein (this ?Agreement?), Hancock Jaffe Laboratories, Inc., a Delaware corporation (the ?Company?), hereby agrees to sell up to an aggregate of $20,000,000 of securities of the Com |
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| September 8, 2021 |
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 3, 2021 Hancock Jaffe Laboratories, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38325 33-0936180 (State or other jurisdiction (Commission (I.R.S |
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| September 8, 2021 |
Filed pursuant to Rule 424(b)(5) Registration No. 333-237592 PROSPECTUS SUPPLEMENT (To Prospectus dated April 16, 2020) Hancock Jaffe Laboratories, Inc. 781,615 Shares of Common Stock Pre-Funded Warrants to Purchase up to 1,759,035 Shares of Common Stock Warrants to Purchase 152,439 Shares of Common Stock to the Placement Agent We are offering 781,615 shares of our common stock, par value $0.00001 |
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| September 8, 2021 |
Exhibit 4.2 PLACEMENT AGENT COMMON STOCK PURCHASE WARRANT HANCOCK JAFFE LABORATORIES, inc. Warrant Shares: 152,439 Initial Exercise Date: September 9, 2021 THIS PLACEMENT AGENT COMMON STOCK PURCHASE WARRANT (the ?Warrant?) certifies that, for value received, Ladenburg Thalmann & Co. Inc. or its assigns (the ?Holder?) is entitled, upon the terms and subject to the limitations on exercise and the co |
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| September 8, 2021 |
Exhibit 4.1 PRE-FUNDED COMMON STOCK PURCHASE WARRANT HANCOCK JAFFE LABORATORIES, INC. Warrant Shares: Initial Exercise Date: September , 2021 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 |
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| August 12, 2021 |
Entry into a Material Definitive Agreement, 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): August 12, 2021 Hancock Jaffe Laboratories, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38325 33-0936180 (State or other jurisdiction (Commission (I.R.S. |
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| August 12, 2021 |
Exhibit 10.1 AT THE MARKET OFFERING AGREEMENT August , 2021 Ladenburg Thalmann & Co. Inc. 277 Park Avenue, 26th Floor New York, NY 10172 Ladies and Gentlemen: Hancock Jaffe Laboratories, Inc., a Delaware corporation (the ?Company?), confirms its agreement (this ?Agreement?) with Ladenburg Thalmann & Co. Inc. (the ?Manager?) as follows: 1. Definitions. The terms that follow, when used in this Agree |
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| August 12, 2021 |
Filed pursuant to Rule 424(b)(5) Registration Statement No. 333-237592 Prospectus Supplement (To Prospectus dated April 16, 2020) HANCOCK JAFFE LABORATORIES, INC. Up to $25,000,000 Common Stock We have entered into an At Market Issuance Sales Agreement with Ladenburg Thalmann & Co. Inc. (?Ladenburg?) relating to the sale of our common stock offered by this prospectus supplement and the accompanyin |
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| August 11, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2021 OR ? TRANSITION REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 001-38325 Hancock Jaffe Laboratories, |
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| August 6, 2021 |
Filed Pursuant to Rule 424(b)(3) Registration No. 333-252874 Prospectus Supplement No. 1 to Prospectus of Hancock Jaffe Laboratories, Inc. 4,628,262 Shares of Common Stock This Prospectus Supplement, dated August 6, 2021 (this ?Supplement?), supplements the prospectus filed as part of the Post-Effective Amendment No. 1 on Form S-3 to Form S-1 filed by Hancock Jaffe Laboratories, Inc. (the ?Company |
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| May 26, 2021 |
As filed with the Securities and Exchange Commission on May 26, 2021 As filed with the Securities and Exchange Commission on May 26, 2021 Registration No. |
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| May 12, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q [X] QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2021 OR [ ] TRANSITION REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 001-38325 Hancock Jaffe Laborato |
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| April 30, 2021 |
As filed with the Securities and Exchange Commission on April 30, 2021 Registration No. |
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| March 31, 2021 |
EXHIBIT 21.1 Subsidiaries of Hancock Jaffe Laboratories, Inc. Name Jurisdiction of Operations Hancock Jaffe Laboratories Vascular, Inc. Delaware |
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| March 31, 2021 |
Exhibit 4.21 DESCRIPTION OF THE REGISTRANT?S SECURITIES REGISTERED PURSUANT TO SECTION 12 OF THE SECURITIES EXCHANGE ACT OF 1934, AS AMENDED General Pursuant to our fifth amended and restated certificate of incorporation (as amended, the ?Restated Certificate?), our authorized capital stock consists of a total of Two Hundred Sixty Million (260,000,000) shares, of which Two Hundred Fifty Million (2 |
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| March 31, 2021 |
EXHIBIT 10.18 HANCOCK JAFFE LABORATORIES, INC. EMPLOYMENT AGREEMENT This Employment Agreement (?Agreement?), effective as of January 1, 2020 (the ?Effective Date?), is made by and between Hancock Jaffe Laboratories, Inc. (?Hancock Jaffe?) and Craig Glynn (?Executive,? and together with Hancock Jaffe, the ?Parties?) on the last date set forth next to the signatures below.. WHEREAS, Hancock Jaffe de |
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| March 31, 2021 |
EXHIBIT 10.4 AMENDMENT NO. 1 TO HANCOCK JAFFE LABORATORIES, INC. 2016 OMNIBUS INCENTIVE PLAN (Effective December 17, 2020) Reference is made to the Hancock Jaffe Laboratories, Inc. 2016 Omnibus Incentive Plan (as Amended and Restated Effective April 26, 2018) (the ?Plan?). In accordance with Section 5.2 of the Plan, the Board of Directors of Hancock Jaffe Laboratories, Inc. (the ?Company?) adopted |
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| March 31, 2021 |
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, 2020 OR ? TRANSITION REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 001-38325 Hancock Jaffe Laboratories, Inc |
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| March 31, 2021 |
EXHIBIT 14.1 HANCOCK JAFFE LABORATORIES, INC. CODE OF CONDUCT (As Adopted by the Board of Directors October 31, 2017) 1. Introduction. 1.1 The Board of Directors of Hancock Jaffe Laboratories, Inc. (the ?Company?) has adopted this Code of Conduct (the ?Code?) in order to: (a) promote honest and ethical conduct, including the ethical handling of actual or apparent conflicts of interest; (b) promote |
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| February 24, 2021 |
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): February 18, 2021 Hancock Jaffe Laboratories, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38325 33-0936180 (State or other jurisdiction (Commission (I.R.S |
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| February 19, 2021 |
CUSIP No: 41015N304 SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G (Rule 13d-102) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO § 240.13d-1(b), (c) AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO § 240.13d-2. (Amendment No. )* Hancock Jaffe Laboratories, Inc. (Name of Issuer) Common Stock, $0.00001 par value per share (Title of Class of Securities) 41015N304 ( |
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| February 17, 2021 |
Hancock Jaffe Laboratories, Inc. SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* Hancock Jaffe Laboratories, Inc. (Name of Issuer) Common Stock, par value $0.00001 (Title of Class of Securities) 41015N304 (CUSIP Number) February 9, 2021 (Date of event which requires filing of this statement) Check the appropriate box to designate the rule pursuant |
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| February 12, 2021 |
Hancock Jaffe Laboratories Announces Pricing of Upsized $36 Million Offering Exhibit 99.1 Hancock Jaffe Laboratories Announces Pricing of Upsized $36 Million Offering IRVINE, California, February 9, 2021 - Hancock Jaffe Laboratories, Inc. (Nasdaq: HJLI), a developer of medical devices that restore cardiac and vascular health, today announced the pricing of its upsized underwritten public offering of units for gross proceeds of approximately $36 million, prior to deducting |
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| February 12, 2021 |
Entry into a Material Definitive Agreement, Other Events, 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): February 12, 2021 (February 9, 2021) Hancock Jaffe Laboratories, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38325 33-0936180 (State or other jurisdiction |
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| February 12, 2021 |
Exhibit 99.2 Hancock Jaffe Completes $41 Million Public Offering Capital Raise to Fund VenoValve U.S. Pivotal Trial IRVINE, California, February 11, 2021 ? Hancock Jaffe Laboratories, Inc. (Nasdaq: HJLI), a developer of medical devices that restore cardiac and vascular health, today announced that it has successfully completed a public offering of its securities generating approximately $41.4 mill |
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| February 10, 2021 |
Filed Pursuant to Rule 424(b)(4) Registration File Nos. 333-251528 333-252874 Prospectus 5,142,856 Units consisting of up to 5,142,856 Shares of Common Stock and Warrants to Purchase 2,571,428 Shares of Common Stock (and Shares of Common Stock issuable upon exercise of the Warrants) We are offering up to 5,142,856 units (the “Units”), with each Unit consisting of one (1) share of common stock, par |
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| February 8, 2021 |
As filed with the Securities and Exchange Commission on February 8, 2021 Registration No. |
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| February 5, 2021 |
Hancock Jaffe Laboratories, Inc. 70 Doppler Irvine, California 92618 February 5, 2021 VIA EDGAR Securities and Exchange Commission Division of Corporation Finance 100 F Street, N.E. Washington, DC 20549 Attention: Margaret Schwartz Re: Hancock Jaffe Laboratories, Inc. Registration Statement on Form S-1 File No. 333-251528 Ladies and Gentlemen: Pursuant to Rule 461 under the Securities Act of 1933, |
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| February 5, 2021 |
As filed with the Securities and Exchange Commission on February 5, 2021 Registration No. |
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| February 5, 2021 | ||
| February 5, 2021 |
February 5, 2021 Securities and Exchange Commission Division of Corporation Finance 100 F Street, N. |
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| February 4, 2021 |
Hancock Jaffe Laboratories, Inc. 70 Doppler Irvine, California 92618 February 4, 2021 VIA EDGAR Securities and Exchange Commission Division of Corporation Finance 100 F Street, N.E. Washington, DC 20549 Attention: Margaret Schwartz Re: Hancock Jaffe Laboratories, Inc. Registration Statement on Form S-1 File No. 333-251528 Ladies and Gentlemen: On February 3, 2021, Hancock Jaffe Laboratories, Inc. |
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| February 3, 2021 |
Hancock Jaffe Laboratories, Inc. 70 Doppler Irvine, California 92618 February 3, 2021 VIA EDGAR Securities and Exchange Commission Division of Corporation Finance 100 F Street, N.E. Washington, DC 20549 Attention: Margaret Schwartz Re: Hancock Jaffe Laboratories, Inc. Registration Statement on Form S-1 File No. 333-251528 Ladies and Gentlemen: Pursuant to Rule 461 under the Securities Act of 1933, |
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| February 3, 2021 |
February 3, 2021 Securities and Exchange Commission Division of Corporation Finance 100 F Street, N. |
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| February 3, 2021 |
As filed with the Securities and Exchange Commission on February 2, 2021 Registration No. |
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| February 3, 2021 |
Exhibit 4.20 WARRANT AGENT AGREEMENT This WARRANT AGENT AGREEMENT (this “Warrant Agreement”) dated as of February , 2021 (the “Issuance Date”) is between Hancock Jaffe Laboratories, Inc., a company incorporated under the laws of the State of Delaware (the “Company”), and VStock Transfer, LLC (the “Warrant Agent”). WHEREAS, pursuant to the terms of that certain Underwriting Agreement (“Underwriting |
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| January 29, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1)* Hancock Jaffe Laboratories, Inc. (Name of Issuer) Common Stock, $0.00001 par value per share (Title of Class of Securities) 41015N106 (CUSIP Number) December 31, 2020 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to de |
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| January 29, 2021 | ||
| January 28, 2021 |
Form of Warrant Agency Agreement (including Form of Warrant Certificate) * Exhibit 4.20 WARRANT AGENT AGREEMENT This WARRANT AGENT AGREEMENT (this “Warrant Agreement”) dated as of January , 2021 (the “Issuance Date”) is between Hancock Jaffe Laboratories, Inc., a company incorporated under the laws of the State of Delaware (the “Company”), and VStock Transfer, LLC (the “Warrant Agent”). WHEREAS, pursuant to the terms of that certain Underwriting Agreement (“Underwriting |
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| January 28, 2021 |
As filed with the Securities and Exchange Commission on January 28, 2021 Registration No. |
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| January 28, 2021 |
Form of Underwriting Agreement.** EX-1.1 4 ex1-1.htm Exhibit 1.1 SHARES OF COMMON STOCK, AND WARRANTS (EXERCISABLE FOR SHARES OF COMMON STOCK) OF HANCOCK JAFFE LABORATORIES, INC. UNDERWRITING AGREEMENT , 2021 Ladenburg Thalmann & Co. Inc. As the Representative of the Several underwriters, if any, named in Schedule I hereto 999 Vanderbilt Beach Road, Suite 200 Naples, Florida 34108 Ladies and Gentlemen: The undersigned, Hancock Jaf |
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| January 20, 2021 |
Hancock Jaffe Laboratories, Inc. SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1)* Hancock Jaffe Laboratories, Inc. (Name of Issuer) Common Stock, $0.00001 par value (Title of Class of Securities) 41015N304 (CUSIP Number) December 31, 2020 (Date of event which requires filing of this statement) Check the appropriate box to designate the rule pursuan |
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| December 21, 2020 |
Power of Attorney (previously filed) As filed with the Securities and Exchange Commission on December 18, 2020 Registration No. |
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| December 21, 2020 |
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 17, 2020 Hancock Jaffe Laboratories, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38325 33-0936180 (State or other jurisdiction (Commission (I.R.S |
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| December 21, 2020 |
Exhibit 99.1 Hancock Jaffe Deemed Compliant With All Nasdaq Continued Listing Requirements Company Regains Compliance with Nasdaq Minimum Bid Requirement IRVINE, California, December 21, 2020 – Hancock Jaffe Laboratories, Inc. (Nasdaq: HJLI), a developer of medical devices that restore cardiac and vascular health, today announced that the Company has received formal notification from the Nasdaq He |
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| December 18, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 1)* Hancock Jaffe Laboratories, Inc. (Name of Issuer) Common Stock, par value $0.00001 per share (Title of Class of Securities) 41015N106 (CUSIP Number) Fatboy Capital, LP 9611 North US Highway One Box 390 Sebastian, FL 32958 (973) 426-0300 (Name, Address an |
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| December 16, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. )* Hancock Jaffe Laboratories, Inc. (Name of Issuer) Common Stock, par value $0.00001 per share (Title of Class of Securities) 41015N106 (CUSIP Number) Fatboy Capital, LP 9611 North US Highway One Box 390 Sebastian, FL 32958 (973) 426-0300 (Name, Address and |
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| December 16, 2020 |
EXHIBIT A JOINT FILING AGREEMENT Hancock Jaffe Laboratories, Inc. In accordance with Rule 13d-1(k) under the Securities Exchange Act of 1934, as amended, the undersigned hereby confirm the agreement by and among them to the joint filing on behalf of them of the Statement on Schedule 13D and any and all further amendments thereto, with respect to the securities of the above referenced issuer, and t |
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| December 2, 2020 |
Exhibit 3.1 CERTIFICATE OF AMENDMENT TO THE FIFTH AMENDED AND RESTATED CERTIFICATE OF INCORPORATION OF HANCOCK JAFFE LABORATORIES, INC. Hancock Jaffe Laboratories, Inc. (the “Corporation”), a corporation duly organized and existing under the General Corporation Law of the State of Delaware (the “DGCL”), does hereby certify that: 1. The name of the Corporation is: Hancock Jaffe Laboratories, Inc. 2 |
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| December 2, 2020 |
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): November 30, 2020 Hancock Jaffe Laboratories, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38325 33-0936180 (State or other jurisdiction (Commission (I.R.S |
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| November 27, 2020 |
Hancock Jaffe Laboratories, Inc. 70 Doppler Irvine, California 92618 November 27, 2020 VIA EDGAR U.S. Securities and Exchange Commission Division of Corporate Finance 100 F Street, N.E. Mail Stop 4628 Washington, DC 20549 Attn: Alan Campbell Re: Hancock Jaffe Laboratories, Inc. Registration Statement on Form S-1 Filed November 6, 2020 File No. 333-249942 Dear Mr. Campbell: Pursuant to Rule 461 und |
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| November 24, 2020 |
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): November 24, 2020 Hancock Jaffe Laboratories, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38325 33-0936180 (State or other jurisdiction (Commission (I.R.S |
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| November 24, 2020 |
As filed with the Securities and Exchange Commission on November 24, 2020 Registration No. |
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| November 17, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 12b-25 NOTIFICATION OF LATE FILING (Check One): ? Form 10-K ? Form 20-F ? Form 11-K ? Form 10-Q ? Form 10-D ? Form N-SAR ? Form N-CSR For Period Ended: September 30, 2020 ? Transition Report on Form 10-K ? Transition Report on Form 20-F ? Transition Report on Form 11-K ? Transition Report on Form 10-K ? Transition Report |
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| November 17, 2020 |
10-Q 1 form10-q.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q [X] QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2020 OR [ ] TRANSITION REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 001-3832 |
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| November 13, 2020 |
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 [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)) [X] Defini |
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| November 6, 2020 |
As filed with the Securities and Exchange Commission on November 6, 2020 Registration No. |
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| October 20, 2020 |
CORRESP 1 filename1.htm Hancock Jaffe Laboratories, Inc. 70 Doppler Irvine, California 92618 October 20, 2020 VIA EDGAR U.S. Securities and Exchange Commission Division of Corporate Finance 100 F Street, N.E. Mail Stop 4628 Washington, DC 20549 Attn: Abby Adams Re: Hancock Jaffe Laboratories, Inc. Registration Statement on Form S-3 Filed September 17, 2020 File No. 333-248865 Dear Ms. Adams: Pursu |
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| October 15, 2020 |
SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* Hancock Jaffe Laboratories, Inc. (Name of Issuer) Common Stock, $0.00001 par value (Title of Class of Securities) 41015N106 (CUSIP Number) October 7, 2020 (Date of event which requires filing of this statement) Check the appropriate box to designate the rule pursuant t |
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| October 8, 2020 |
Exhibit 10.2 PLACEMENT AGENCY AGREEMENT October 7 2020 Ladenburg Thalmann & Co. Inc. 999 Vanderbilt Beach Road, Suite 200 Naples, Florida 34105 Ladies and Gentlemen: Introduction. Subject to the terms and conditions herein (this “Agreement”), Hancock Jaffe Laboratories, Inc., a Delaware corporation (the “Company”), hereby agrees to sell up to an aggregate of $5,099,999.32 of securities of the Comp |
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| October 8, 2020 |
Exhibit 10.1 SECURITIES PURCHASE AGREEMENT This Securities Purchase Agreement (this “Agreement”) is dated as of October 7, 2020 between Hancock Jaffe Laboratories, Inc., a Delaware corporation (the “Company”), and each purchaser identified on the signature pages hereto (each, including its successors and assigns, a “Purchaser” and collectively the “Purchasers”). WHEREAS, subject to the terms and c |
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| October 8, 2020 |
EX-4.1 2 ex4-1.htm Exhibit 4.1 NEITHER THIS SECURITY NOR THE SECURITIES FOR WHICH THIS SECURITY IS EXERCISABLE HAVE BEEN REGISTERED WITH THE SECURITIES AND EXCHANGE COMMISSION OR THE SECURITIES COMMISSION OF ANY STATE IN RELIANCE UPON AN EXEMPTION FROM REGISTRATION UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE “SECURITIES ACT”), AND, ACCORDINGLY, MAY NOT BE OFFERED OR SOLD EXCEPT PURSUANT TO A |
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| October 8, 2020 |
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 7, 2020 Hancock Jaffe Laboratories, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38325 33-0936180 (State or other jurisdiction (Commission (I.R.S. |
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| October 8, 2020 |
Hancock Jaffe Laboratories, Inc. 9,532,709 Shares of Common Stock Filed pursuant to Rule 424(b)(5) Registration No. 333-237592 PROSPECTUS SUPPLEMENT (To Prospectus dated April 16, 2020) Hancock Jaffe Laboratories, Inc. 9,532,709 Shares of Common Stock We are offering 9,532,709 shares of our common stock, par value $0.00001 per share, or Common Stock, pursuant to this prospectus supplement and accompanying prospectus at a price per share equal to $0.41. In a conc |
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| October 5, 2020 |
S-3/A 1 forms-3a.htm As filed with the Securities and Exchange Commission on October 5, 2020 Registration No. 333-248865 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Amendment No. 1 to FORM S-3 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 Hancock Jaffe Laboratories, Inc. (Exact name of registrant as specified in its charter) Delaware 33-0936180 (State or other |
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| September 17, 2020 |
Power of Attorney (previously included in Part II of this Registration Statement) As filed with the Securities and Exchange Commission on September 17, 2020 Registration No. |
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| September 16, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or Section 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): September 15, 2020 HANCOCK JAFFE LABORATORIES, INC. (Exact name of registrant as specified in its charter) Delaware 001-38325 33-0936180 (State or other jurisdiction of incorp |
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| September 16, 2020 |
Exhibit 3.1 |
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| August 19, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT 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 ☐ Confiden |
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| August 14, 2020 |
10-Q 1 form10-q.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q [X] QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2020 OR [ ] TRANSITION REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 001-38325 Han |
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| August 12, 2020 |
DEF 14A 1 formdef14a.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT 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 P |
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| August 10, 2020 |
Hancock Jaffe Laboratories, Inc. 70 Doppler Irvine, CA 92618 August 10, 2020 VIA EDGAR U.S. Securities and Exchange Commission Division of Corporation Finance Office of Life Sciences 100 F Street, N.E. Washington, D.C. 20549 Attention: Laura Crotty Re: Hancock Jaffe Laboratories, Inc. Preliminary Proxy Statement on Schedule 14A Filed July 24, 2020 File No. 001-38325 Dear Ms. Crotty, Hancock Jaffe |
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| August 7, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 OMB APPROVAL OMB Number 3235-0101 Expires: June 30, 2020 Estimated average burden hours per response 1.00 FORM 144 SEC USE ONLY NOTICE OF PROPOSED SALE OF SECURITIES PURSUANT TO RULE 144 UNDER THE SECURITIES ACT OF 1933 DOCUMENT SEQUENCE NO. ATTENTION: Transmit for filing 3 copies of this form concurrently with either placing |
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| July 30, 2020 |
SC 13G 1 ea124758-sc13gintrahancock.htm SCHEDULE 13G UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* Hancock Jaffe Laboratories, Inc. (Name of Issuer) Common Stock, $0.00001 par value per share (Title of Class of Securities) 41015N106 (CUSIP Number) July 21, 2020 (Date of Event Which Requires Filing of |
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| July 24, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT 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 ☐ Confiden |
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| July 21, 2020 |
Exhibit 4.1 WARRANT AGENT AGREEMENT This WARRANT AGENT AGREEMENT (this “Warrant Agreement”) dated as of July 20, 2020 (the “Issuance Date”) is between Hancock Jaffe Laboratories, Inc., a company incorporated under the laws of the State of Delaware (the “Company”), and VStock Transfer, LLC (the “Warrant Agent”). WHEREAS, pursuant to the terms of that certain Underwriting Agreement (“Underwriting Ag |
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| July 21, 2020 |
Hancock Jaffe Laboratories Announces Pricing of $5.6 Million Offering Exhibit 99.1 Hancock Jaffe Laboratories Announces Pricing of $5.6 Million Offering IRVINE, California., July 17, 2020 – Hancock Jaffe Laboratories, Inc. (Nasdaq: HJLI), a developer of medical devices that restore cardiac and vascular health, today announced the pricing of a $5.6 million offering, which consisted of an underwritten public offering of units and a private placement of units for gross |
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| July 21, 2020 |
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 17, 2020 Hancock Jaffe Laboratories, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38325 33-0936180 (State or other jurisdiction (Commission (I.R.S. Em |
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| July 21, 2020 |
Exhibit 99.2 Hancock Jaffe Laboratories Announces Closings of $6.2 Million Offerings Including Full Exercise of Over-Allotment Option IRVINE, California, July 21, 2020 – Hancock Jaffe Laboratories, Inc. (Nasdaq: HJLI), a developer of medical devices that restore cardiac and vascular health, today announced the closings of an underwritten public offering, the full exercise of the underwriter’s over |
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| July 21, 2020 |
Exhibit 3.1 CERTIFICATE OF DESIGNATIONS OF HANCOCK JAFFE LABORATORIES, INC. SERIES C CONVERTIBLE PREFERRED STOCK THE UNDERSIGNED, the Chief Executive Officer of Hancock Jaffe Laboratories, Inc., a Delaware corporation (hereinafter called the “Corporation”), DOES HEREBY CERTIFY that the following resolution has been duly adopted by the Board of Directors of the Corporation on July 20, 2020: RESOLVE |
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| July 20, 2020 |
Filed Pursuant to Rule 424(b)(4) Registration No. 333-239658 Prospectus 12,500,000 Units Consisting of Shares of Common Stock and Warrants to Purchase Shares of Common Stock (and Shares of Common Stock issuable upon exercise of the Warrants) We are offering 12,500,000 units (the “Units”), with each Unit consisting of one (1) share of common stock, par value $0.00001 per share (the “Shares”), and o |
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| July 16, 2020 |
Form of Certificate of Designations for Series C Convertible Preferred Stock* Exhibit 3.3 CERTIFICATE OF DESIGNATIONS OF HANCOCK JAFFE LABORATORIES, INC. SERIES C CONVERTIBLE PREFERRED STOCK THE UNDERSIGNED, the President and Chief Executive Officer of Hancock Jaffe Laboratories, Inc., a Delaware corporation (hereinafter called the “Corporation”), DOES HEREBY CERTIFY that the following resolution has been duly adopted by the Board of Directors of the Corporation on [ ], 202 |
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| July 16, 2020 |
Exhibit 10.54 REGISTRATION RIGHTS AGREEMENT This Registration Rights Agreement (the “Agreement”) is made and entered into as of this day of , 2020 (the “Closing Date”) by and among Hancock Jaffe Laboratories, Inc., a Delaware corporation (the “Company”), the “Buyers” named in that certain Securities Purchase Agreement by and among the Company and the Buyers (the “Purchase Agreement”) and Ladenburg |
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| July 16, 2020 |
Exhibit 4.18 COMMON STOCK PURCHASE WARRANT HANCOCK JAFFE LABORATORIES, INC. [NEITHER THIS SECURITY NOR THE SECURITIES FOR WHICH THIS SECURITY IS EXERCISABLE HAVE BEEN REGISTERED WITH THE SECURITIES AND EXCHANGE COMMISSION OR THE SECURITIES COMMISSION OF ANY STATE IN RELIANCE UPON AN EXEMPTION FROM REGISTRATION UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE “SECURITIES ACT”), AND, ACCORDINGLY, M |
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| July 16, 2020 |
As filed with the Securities and Exchange Commission on July 16, 2020 Registration No. |
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| July 16, 2020 |
Form of Lock-Up and Voting Agreement* Exhibit 4.19 LOCK-UP AND VOTING AGREEMENT This Lock-Up and Voting Agreement (this “Lock-Up and Voting Agreement”) is being delivered to you in connection with an understanding by and between Hancock Jaffe Laboratories, Inc., a Delaware corporation (the “Company”), and the person or persons named on the signature pages hereto (collectively, the “Holder”). Reference is hereby made to the public offe |
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| July 16, 2020 |
Exhibit 10.53 SECURITIES PURCHASE AGREEMENT This SECURITIES PURCHASE AGREEMENT (the “Agreement”) is dated as of the [] day of July, 2020, by and between Hancock Jaffe Laboratories, Inc., a Delaware corporation (the Company”), and each individual or entity named on the Schedule of Buyers attached hereto (each such individual or entity, individually, a “Buyer” and all of such individuals or entities |
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| July 16, 2020 |
Exhibit 4.17 WARRANT AGREEMENT This Warrant Agreement (“Warrant Agreement”) is made as of July [], 2020, by and between Hancock Jaffe Laboratories, Inc., a Delaware corporation, with offices at 70 Doppler, Irvine, California 92618 (the “Company”), and VStock Transfer, LLC, with offices at 18 Lafayette Place, Woodmere, New York (the “Warrant Agent”). WHEREAS, the Company is engaged in its initial p |
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| July 15, 2020 |
LADENBURG THALMANN & CO. INC. 999 Vanderbilt Beach Road, Suite 200 Naples, Florida 34108 July 15, 2020 VIA EDGAR U.S. Securities and Exchange Commission Division of Corporation Finance 100 F Street, N.E. Washington, D.C. 20549 Re: Hancock Jaffe Laboratories, Inc. Registration Statement on Form S-1 (File No. 333-239658) originally filed July 2, 2020, as amended. Requested Date: July 16, 2020 Reques |
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| July 15, 2020 |
Hancock Jaffe Laboratories, Inc. 70 Doppler Irvine, California 92618 July 15, 2020 VIA EDGAR U.S. Securities and Exchange Commission Division of Corporate Finance 100 F Street, N.E. Mail Stop 4628 Washington, DC 20549 Attn: Christopher Edwards Re: Hancock Jaffe Laboratories, Inc. Registration Statement on Form S-1 Filed July 13, 2020 File No. 333-239658 Dear Mr. Edwards: Pursuant to Rule 461 under |
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| July 13, 2020 |
Form of Warrant to Purchase Common Stock* Exhibit 4.18 NEITHER THIS SECURITY NOR THE SECURITIES FOR WHICH THIS SECURITY IS EXERCISABLE HAVE BEEN REGISTERED WITH THE SECURITIES AND EXCHANGE COMMISSION OR THE SECURITIES COMMISSION OF ANY STATE IN RELIANCE UPON AN EXEMPTION FROM REGISTRATION UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE “SECURITIES ACT”), AND, ACCORDINGLY, MAY NOT BE OFFERED OR SOLD EXCEPT PURSUANT TO AN EFFECTIVE REGIST |
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| July 13, 2020 |
Exhibit 4.17 WARRANT AGREEMENT This Warrant Agreement (“Warrant Agreement”) is made as of July [], 2020, by and between Hancock Jaffe Laboratories, Inc., a Delaware corporation, with offices at 70 Doppler, Irvine, California 92618 (the “Company”), and VStock Transfer, LLC, with offices at 18 Lafayette Place, Woodmere, New York (the “Warrant Agent”). WHEREAS, the Company is engaged in its initial p |
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| July 13, 2020 |
Form of Lock-Up and Voting Agreement* EX-10.53 5 ex4-19.htm Exhibit 4.19 LOCK-UP AND VOTING AGREEMENT This Lock-Up and Voting Agreement (this “Lock-Up and Voting Agreement”) is being delivered to you in connection with an understanding by and between Hancock Jaffe Laboratories, Inc., a Delaware corporation (the “Company”), and the person or persons named on the signature pages hereto (collectively, the “Holder”). Reference is hereby m |
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| July 13, 2020 |
As filed with the Securities and Exchange Commission on July 13, 2020 Registration No. |
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| July 13, 2020 |
Form of Underwriting Agreement* Exhibit 1.1 [ ] SHARES of Common Stock, AND [ ] Warrants (exercisable for [ ] shares of common stock) of HANCOCK JAFFE LABORATORIES, INC. UNDERWRITING AGREEMENT [ ], 2020 Ladenburg Thalmann & Co. Inc. As the Representative of the Several underwriters, if any, named in Schedule I hereto 999 Vanderbilt Beach Road, Suite 200 Naples, Florida 34108 Ladies and Gentlemen: The undersigned, Hancock Jaffe L |
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| July 13, 2020 | ||
| July 9, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 OMB APPROVAL OMB Number 3235-0101 Expires: June 30, 2020 Estimated average burden hours per response 1.00 FORM 144 SEC USE ONLY NOTICE OF PROPOSED SALE OF SECURITIES PURSUANT TO RULE 144 UNDER THE SECURITIES ACT OF 1933 DOCUMENT SEQUENCE NO. ATTENTION: Transmit for filing 3 copies of this form concurrently with either placing |
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| July 2, 2020 |
S-1 1 forms-1.htm As filed with the Securities and Exchange Commission on July 2, 2020 Registration No. 333- UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM S-1 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 Hancock Jaffe Laboratories, Inc. (Exact name of registrant as specified in its charter) Delaware 3841 33-0936180 (State or jurisdiction of incorporation o |
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| June 22, 2020 |
Hancock Jaffe Laboratories, Inc. 70 Doppler Irvine, California 92618 June 22, 2020 VIA EDGAR U.S. Securities and Exchange Commission Division of Corporate Finance 100 F Street, N.E. Mail Stop 4628 Washington, DC 20549 Attn: Tim Buchmiller Re: Hancock Jaffe Laboratories, Inc. Registration Statement on Form S-1 Filed June 15, 2020 File No. 333-239195 Dear Mr. Buchmiller: Pursuant to Rule 461 under t |
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| June 15, 2020 |
Consent of Counsel to the Registrant (included in Exhibit 5.4) Exhibit 5.4 1345 AVENUE OF THE AMERICAS, 11th FLOOR NEW YORK, NEW YORK 10105 TELEPHONE: (212) 370-1300 FACSIMILE: (212) 370-7889 www.egsllp.com June 15, 2020 Hancock Jaffe Laboratories, Inc. 70 Doppler Irvine, California 92618 Re: Registration Statement on Form S-1 Ladies and Gentlemen: We have acted as counsel for Hancock Jaffe Laboratories, Inc., a Delaware corporation (the “Company”), in connec |
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| June 15, 2020 |
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 15, 2020 Hancock Jaffe Laboratories, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38325 33-0936180 (State or other jurisdiction (Commission (I.R.S. Em |
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| June 15, 2020 |
As filed with the Securities and Exchange Commission on June 15, 2020 Registration No. |
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| June 11, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* Hancock Jaffe Laboratories, Inc. (Name of Issuer) Common Stock, $0.00001 par value per share (Title of Class of Securities) 41015N106 (CUSIP Number) June 1, 2020 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designat |
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| June 8, 2020 |
Form 144 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 OMB APPROVAL OMB Number 3235-0101 Expires: June 30, 2020 Estimated average burden hours per response 1.00 FORM 144 SEC USE ONLY NOTICE OF PROPOSED SALE OF SECURITIES PURSUANT TO RULE 144 UNDER THE SECURITIES ACT OF 1933 DOCUMENT SEQUENCE NO. ATTENTION: Transmit for filing 3 copies of this form concurrently with either |
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| June 8, 2020 |
10-Q 1 form10-q.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q [X] QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2020 OR [ ] TRANSITION REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 001-38325 Ha |
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| June 3, 2020 |
Form of Placement Agency Agreement EX-10.2 5 ex10-2.htm Exhibit 10.2 April 24, 2020 Hancock Jaffe Laboratories, Inc. 70 Doppler Irvine, CA 92618 Attn: Robert A. Berman, Chief Executive Officer Dear Mr. Berman: This letter (the “Agreement”) constitutes the agreement between Spartan Capital Securities, LLC (“Spartan” or the “Placement Agent”) and Hancock Jaffe Laboratories, Inc. (the “Company”), that Spartan shall serve as the exclus |
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| June 3, 2020 |
Hancock Jaffe Laboratories, Inc. 2,930,402 Shares of Common Stock Filed pursuant to Rule 424(b)(5) Registration No. 333-237592 PROSPECTUS SUPPLEMENT (To Prospectus dated April 16, 2020) Hancock Jaffe Laboratories, Inc. 2,930,402 Shares of Common Stock We are offering 2,930,402 shares of our Common Stock, par value $0.00001 per share, or Common Stock, pursuant to this prospectus supplement and accompanying prospectus at a price per share equal to $0.33. In a conc |
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| June 3, 2020 |
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 1, 2020 Hancock Jaffe Laboratories, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38325 33-0936180 (State or other jurisdiction (Commission (I.R.S. Emp |
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| June 3, 2020 |
EX-10.1 4 ex10-1.htm Exhibit 10.1 SECURITIES PURCHASE AGREEMENT This Securities Purchase Agreement (this “Agreement”) is dated as of June 1, 2020, between Hancock Jaffe Laboratories, Inc., a Delaware corporation (the “Company”), and each purchaser identified on the signature pages hereto (each, including its successors and assigns, a “Purchaser” and collectively the “Purchasers”). WHEREAS, subject |
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| June 3, 2020 |
EX-4.1 2 ex4-1.htm Exhibit 4.1 NEITHER THIS SECURITY NOR THE SECURITIES FOR WHICH THIS SECURITY IS EXERCISABLE HAVE BEEN REGISTERED WITH THE SECURITIES AND EXCHANGE COMMISSION OR THE SECURITIES COMMISSION OF ANY STATE IN RELIANCE UPON AN EXEMPTION FROM REGISTRATION UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE “SECURITIES ACT”), AND, ACCORDINGLY, MAY NOT BE OFFERED OR SOLD EXCEPT PURSUANT TO A |
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| May 15, 2020 |
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 15, 2020 Hancock Jaffe Laboratories, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38325 33-0936180 (State or other jurisdiction (Commission (I.R.S. Emp |
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| May 8, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 OMB APPROVAL OMB Number 3235-0101 Expires: June 30, 2020 Estimated average burden hours per response 1.00 FORM 144 SEC USE ONLY NOTICE OF PROPOSED SALE OF SECURITIES PURSUANT TO RULE 144 UNDER THE SECURITIES ACT OF 1933 DOCUMENT SEQUENCE NO. ATTENTION: Transmit for filing 3 copies of this form concurrently with either placing |
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| April 28, 2020 |
Hancock Jaffe Laboratories, Inc. 1,886,793 Shares of Common Stock Filed pursuant to Rule 424(b)(5) Registration No. 333-237592 PROSPECTUS SUPPLEMENT (To Prospectus dated April 16, 2020) Hancock Jaffe Laboratories, Inc. 1,886,793 Shares of Common Stock We are offering 1,886,793 shares of our Common Stock, par value $0.00001 per share, or Common Stock, pursuant to this prospectus supplement and accompanying prospectus at a price per share equal to $0.405. In a con |
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| April 28, 2020 |
Exhibit 10.1 SECURITIES PURCHASE AGREEMENT This Securities Purchase Agreement (this “Agreement”) is dated as of April 24, 2020, between Hancock Jaffe Laboratories, Inc., a Delaware corporation (the “Company”), and each purchaser identified on the signature pages hereto (each, including its successors and assigns, a “Purchaser” and collectively the “Purchasers”). WHEREAS, subject to the terms and c |
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| April 28, 2020 |
Exhibit 10.2 April 24, 2020 Hancock Jaffe Laboratories, Inc. 70 Doppler Irvine, CA 92618 Attn: Robert A. Berman, Chief Executive Officer Dear Mr. Berman: This letter (the “Agreement”) constitutes the agreement between Spartan Capital Securities, LLC (“Spartan” or the “Placement Agent”) and Hancock Jaffe Laboratories, Inc. (the “Company”), that Spartan shall serve as the exclusive placement agent f |
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| April 28, 2020 |
Exhibit 4.1 NEITHER THIS SECURITY NOR THE SECURITIES FOR WHICH THIS SECURITY IS EXERCISABLE HAVE BEEN REGISTERED WITH THE SECURITIES AND EXCHANGE COMMISSION OR THE SECURITIES COMMISSION OF ANY STATE IN RELIANCE UPON AN EXEMPTION FROM REGISTRATION UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE “SECURITIES ACT”), AND, ACCORDINGLY, MAY NOT BE OFFERED OR SOLD EXCEPT PURSUANT TO AN EFFECTIVE REGISTR |
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| April 28, 2020 |
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 24, 2020 Hancock Jaffe Laboratories, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38325 33-0936180 (State or other jurisdiction (Commission (I.R.S. E |
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| April 20, 2020 |
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): April 14 , 2020 Hancock Jaffe Laboratories, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38325 33-0936180 (State or other jurisdiction (Commission (I.R.S. |
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| April 15, 2020 |
CORRESP 1 filename1.htm Hancock Jaffe Laboratories, Inc. 70 Doppler Irvine, California 92618 April 15, 2020 VIA EDGAR U.S. Securities and Exchange Commission Division of Corporate Finance 100 F Street, N.E. Mail Stop 4628 Washington, DC 20549 Attn: Ada D. Sarmento Re: Hancock Jaffe Laboratories, Inc. Registration Statement on Form S-3 Filed April 7, 2020 File No. 333- 237592 Dear Ms. Sarmento: Pur |
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| April 10, 2020 |
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 6, 2020 Hancock Jaffe Laboratories, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38325 33-0936180 (State or other jurisdiction (Commission (I.R.S. Em |
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| April 7, 2020 |
Exhibit 4.4 HANCOCK JAFFE LABORATORIES, INC., as ISSUER and [ ], as INDENTURE TRUSTEE INDENTURE Dated as of [ ] TABLE OF CONTENTS Page ARTICLE I DEFINITIONS AND INCORPORATION BY REFERENCE 1 Section 1.01 Definitions 1 Section 1.02 Other Definitions 4 Section 1.03 Incorporation by Reference of Trust Indenture Act 4 Section 1.04 Rules of Construction 5 ARTICLE II THE SECURITIES 5 Section 2.01 Issuabl |
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| April 7, 2020 |
HJLI / Hancock Jaffe Laboratories, Inc. S-3 - - As filed with the Securities and Exchange Commission on April 7, 2020 Registration No. |
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| April 3, 2020 |
8-K 1 form8-k.htm 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): March 30, 2020 Hancock Jaffe Laboratories, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38325 33-0936180 (State or other jurisdiction (Co |
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| March 25, 2020 |
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): March 20, 2020 Hancock Jaffe Laboratories, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38325 33-0936180 (State or other jurisdiction (Commission (I.R.S. E |
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| March 18, 2020 |
HJLI / Hancock Jaffe Laboratories, Inc. 10-K - Annual Report - 10-K 1 form10-k.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K [X] ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2019 OR [ ] TRANSITION REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 001-38325 Hancock |
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| March 5, 2020 |
HJLI / Hancock Jaffe Laboratories, Inc. 144 - - Form 144 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 OMB APPROVAL OMB Number 3235-0101 Expires: June 30, 2020 Estimated average burden hours per response 1.00 FORM 144 SEC USE ONLY NOTICE OF PROPOSED SALE OF SECURITIES PURSUANT TO RULE 144 UNDER THE SECURITIES ACT OF 1933 DOCUMENT SEQUENCE NO. ATTENTION: Transmit for filing 3 copies of this form concurrently with either |
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| March 2, 2020 |
Exhibit 10.1 SECURITIES PURCHASE AGREEMENT This SECURITIES PURCHASE AGREEMENT (the “Agreement”) is dated as of the 25th day of February 2020, by and between Hancock Jaffe Laboratories, Inc., a Delaware corporation (the Company”), and each individual or entity named on the Schedule of Buyers attached hereto (each such individual or entity, individually, a “Buyer” and all of such individuals or enti |
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| March 2, 2020 |
Exhibit 4.1 THIS WARRANT AND THE UNDERLYING SECURITIES HAVE NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE “SECURITIES ACT”), OR THE SECURITIES LAWS OF ANY STATE OF THE UNITED STATES. THE SECURITIES MAY NOT BE SOLD, OFFERED FOR SALE, PLEDGED, HYPOTHECATED, TRANSFERRED OR ASSIGNED IN THE ABSENCE OF AN EFFECTIVE REGISTRATION STATEMENT FOR THE SECURITIES UNDER APPLICABLE SECURI |
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| March 2, 2020 |
Unregistered Sales of Equity Securities, 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): February 25, 2020 Hancock Jaffe Laboratories, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38325 33-0936180 (State or other jurisdiction (Commission (I.R.S |
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| December 11, 2019 |
Submission of Matters to a Vote of Security Holders 8-K 1 form8-k.htm 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 6, 2019 Hancock Jaffe Laboratories, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38325 33-0936180 (State or other jurisdiction ( |
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| October 31, 2019 |
HJLI / Hancock Jaffe Laboratories, Inc. 10-Q - Quarterly Report - 10-Q 1 form10-q.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q [X] QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2019 OR [ ] TRANSITION REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 001-3832 |
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| October 28, 2019 |
HJLI / Hancock Jaffe Laboratories, Inc. DEF 14A - - DEF 14A 1 formdef14a.htm 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 [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 Rul |
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| October 25, 2019 |
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): October 24, 2019 Hancock Jaffe Laboratories, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38325 33-0936180 (State or other jurisdiction (Commission (I.R.S. |
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| October 25, 2019 | ||
| October 25, 2019 |
Presentation at the 20th Congress of Asian Society for Vascular Surgery |
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| October 18, 2019 |
Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing 8-K 1 form8-k.htm 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 14, 2019 Hancock Jaffe Laboratories, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38325 33-0936180 (State or other jurisdiction ( |
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| September 17, 2019 |
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 13, 2019 Hancock Jaffe Laboratories, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38325 33-0936180 (State or other jurisdiction (Commission (I.R. |
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| August 5, 2019 |
HJLI / Hancock Jaffe Laboratories, Inc. 144 - - Form 144 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 OMB APPROVAL OMB Number 3235-0101 Expires: June 30, 2020 Estimated average burden hours per response 1.00 FORM 144 SEC USE ONLY NOTICE OF PROPOSED SALE OF SECURITIES PURSUANT TO RULE 144 UNDER THE SECURITIES ACT OF 1933 DOCUMENT SEQUENCE NO. ATTENTION: Transmit for filing 3 copies of this form concurrently with either |
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| August 5, 2019 |
HJLI / Hancock Jaffe Laboratories, Inc. 10-Q - Quarterly Report - UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q [X] QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2019 OR [ ] TRANSITION REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 001-38325 Hancock Jaffe Laborator |
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| August 1, 2019 |
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 1, 2019 (July 26, 2019) Hancock Jaffe Laboratories, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38325 33-0936180 (State or other jurisdiction (Comm |
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| August 1, 2019 |
EXHIBIT 10.1 HANCOCK JAFFE LABORATORIES, INC. EMPLOYMENT AGREEMENT This Employment Agreement (“Agreement”), dated July 26, 2019 (the “Effective Date”), is made by and between Hancock Jaffe Laboratories, Inc. (“Hancock Jaffe”) and Marc H. Glickman (“Executive,” and together with Hancock Jaffe, the “Parties”). WHEREAS, Hancock Jaffe and Executive enterred into an Employment Agreement dated July 22, |
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| July 26, 2019 |
Principle Investigator Dr. Jorge Hernando Ulloa Reports New 90 Day VenoValve Data at the Second Annual Society of Vascular and Endovascular Surgery Congress of Central America and the Caribbean Reflux Now at Normal Levels in All Four VenoValve Patients IRVINE, California., July 26, 2019 – Hancock Jaffe Laboratories, Inc. (Nasdaq: HJLI, HJLIW), a developer of medical devices that restore cardiac an |
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| July 26, 2019 | ||
| July 26, 2019 |
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): July 26, 2019 Hancock Jaffe Laboratories, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38325 33-0936180 (State or other jurisdiction (Commission (I.R.S. Em |
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| June 13, 2019 |
3,615,622 Shares of Common Stock 424B4 1 form424b4.htm Prospectus Filed Pursuant to Rule 424(b)(4) Registration No. 333-232035 3,615,622 Shares of Common Stock We are offering up to 3,615,622 shares of common stock, par value $0.00001 per share (the “Shares”), for $1.07 per Share. Our common stock is currently traded on the Nasdaq Capital Market under the symbol “HJLI”. The closing price of our common stock on the Nasdaq Capital |
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| June 10, 2019 |
HJLI / Hancock Jaffe Laboratories, Inc. CORRESP - - CORRESP 1 filename1.htm HANCOCK JAFFE LABORATORIES, INC. 70 Doppler Irvine, California 92618 June 10, 2019 VIA EDGAR U.S. Securities and Exchange Commission Office of Financial Services 100 F Street, N.E. Mail Stop 4628 Washington, DC 20549 Attn: Tom Jones Re: Hancock Jaffe Laboratories, Inc. Registration Statement on Form S-1 Filed June 7, 2019 File No. 333-232035 Dear Mr. Jones: Pursuant to Rule |
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| June 7, 2019 |
Placement agency AGREEMENT June , 2019 Alexander Capital, L.P. 17 State Street New York, New York 10004 Ladies and Gentlemen: This Placement Agency Agreement (this “Agreement”) constitutes the agreement between Hancock Jaffe Laboratories, Inc., a Delaware corporation (the “Company”), and Alexander Capital, L.P. (the “Placement Agent”) in connection with the proposed offering (the “Offering”) by th |
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| June 7, 2019 |
HJLI / Hancock Jaffe Laboratories, Inc. S-1 - Registration Statement - S-1 1 forms-1.htm As filed with the U.S. Securities and Exchange Commission on June 7, 2019 Registration No. 333- UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM S-1 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 Hancock Jaffe Laboratories, Inc. (Exact name of registrant as specified in its charter) Delaware 3841 33-0936180 (State or jurisdiction of incorporat |
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| June 7, 2019 |
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 7, 2019 Hancock Jaffe Laboratories, Inc. (Exact name of registrant as specified in its charter) Delaware 001-38325 33-0936180 (State or other jurisdiction (Commission (I.R.S. Emp |
