# EDGAR Filing Document

**Accession Number:** 0001600132
**File Stem:** 0001600132-23-000003
**Filing Date:** 2023-1
**Character Count:** 5262
**Document Hash:** f6b1588944e760f4a2fa3a5e987cbc8b
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001600132-23-000003.hdr.sgml**: 20230105

**ACCESSION NUMBER**: 0001600132-23-000003

**CONFORMED SUBMISSION TYPE**: 8-K

**PUBLIC DOCUMENT COUNT**: 12

**CONFORMED PERIOD OF REPORT**: 20230104

**ITEM INFORMATION**: Entry into a Material Definitive Agreement

**FILED AS OF DATE**: 20230105

**DATE AS OF CHANGE**: 20230105

**FILER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** Bellerophon Therapeutics, Inc.
- **CENTRAL INDEX KEY:** 0001600132
- **STANDARD INDUSTRIAL CLASSIFICATION:** PHARMACEUTICAL PREPARATIONS [2834]
- **IRS NUMBER:** 473116175
- **STATE OF INCORPORATION:** DE
- **FISCAL YEAR END:** 1231

**FILING VALUES:**
- **FORM TYPE:** 8-K
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 001-36845
- **FILM NUMBER:** 23509789

**BUSINESS ADDRESS:**
- **STREET 1:** 184 LIBERTY CORNER ROAD, SUITE 302
- **CITY:** WARREN
- **STATE:** NJ
- **ZIP:** 07059
- **BUSINESS PHONE:** 908-574-4770

**MAIL ADDRESS:**
- **STREET 1:** 184 LIBERTY CORNER ROAD, SUITE 302
- **CITY:** WARREN
- **STATE:** NJ
- **ZIP:** 07059

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** Bellerophon Therapeutics LLC
- **DATE OF NAME CHANGE:** 20140213

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**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): January 4, 2023

## Bellerophon Therapeutics, Inc.
(Exact Name of Registrant as Specified in Charter)

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| | | | | |
|:---|:---|:---|:---|:---|
| **Delaware** |  | **001-36845** |  | **47-3116175** |
| (State or Other Jurisdiction of Incorporation) |  | (Commission<br>File Number) |  | (IRS Employer<br>Identification No.) |

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| | | |
|:---|:---|:---|
| **184 Liberty Corner Road, Suite 302Warren, New Jersey** |  | **07059** |
| (Address of Principal Executive Offices) |  | (Zip Code) |

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

(Former Name or Former Address, if Changed Since Last Report)

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

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

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

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

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

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

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| | | |
|:---|:---|:---|
| Title of each class | Trading Symbol(s) | Name of each exchange on which registered |
| **Common Stock, $0.01 par value per share** | **BLPH** | **The** **Nasdaq** **Capital Market** |

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Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (§230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (§240.12b-2 of this chapter).

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

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#### Item 1.01. Entry into a Material Definitive Agreement.
On January 4, 2023, Bellerophon Therapeutics, Inc. ("Bellerophon") entered into a license agreement (the "License Agreement") with Baylor BioSciences, Inc. ("Baylor"), pursuant to which Baylor will receive exclusive rights to develop and commercialize INOpulse within mainland China, Taiwan, Hong Kong and Macau (collectively, "Greater China") for diseases associated with pulmonary hypertension, including the lead indication of fibrotic interstitial lung disease (fILD), as well as PH-Sarcoidosis and PH-COPD. Under the terms of the License Agreement, Bellerophon will receive a license payment of $6 million, payable by Baylor within 90 days, subject to certain closing conditions, including the notification by Bellerophon to Baylor within 45 days that there are no unresolved diligence issues relating the License Agreement. Additionally, Bellerophon is entitled to royalties of 5% on net sales by Baylor resulting from all of the licensed INOpulse indications within Greater China.

The foregoing is a summary of the terms of the License Agreement and is qualified in its entirety by the full text of such agreement, which will be filed as an exhibit to the Company's quarterly report on Form 10-Q for its quarter ended March 31, 2023.

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

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| | | |
|:---|:---|:---|
|  | BELLEROPHON THERAPEUTICS, INC. | BELLEROPHON THERAPEUTICS, INC. |
| Date: January 5, 2023 | By: | /s/ Peter Fernandes |
|  |  | Name: Peter Fernandes<br>Title: Chief Executive Officer |

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