# EDGAR Filing Document

**Accession Number:** 0001034842
**File Stem:** 0001104659-23-010536
**Filing Date:** 2023-2
**Character Count:** 7497
**Document Hash:** c291ed92f463106d5040b406ecda2c9f
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001104659-23-010536.hdr.sgml**: 20230203

**ACCESSION NUMBER**: 0001104659-23-010536

**CONFORMED SUBMISSION TYPE**: 8-K

**PUBLIC DOCUMENT COUNT**: 12

**CONFORMED PERIOD OF REPORT**: 20230201

**ITEM INFORMATION**: Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers: Compensatory Arrangements of Certain Officers

**FILED AS OF DATE**: 20230203

**DATE AS OF CHANGE**: 20230203

**FILER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** RIGEL PHARMACEUTICALS INC
- **CENTRAL INDEX KEY:** 0001034842
- **STANDARD INDUSTRIAL CLASSIFICATION:** PHARMACEUTICAL PREPARATIONS [2834]
- **IRS NUMBER:** 943248524
- **STATE OF INCORPORATION:** DE
- **FISCAL YEAR END:** 1231

**FILING VALUES:**
- **FORM TYPE:** 8-K
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 000-29889
- **FILM NUMBER:** 23586482

**BUSINESS ADDRESS:**
- **STREET 1:** 1180 VETERANS BOULEVARD
- **CITY:** SOUTH SAN FRANCISCO
- **STATE:** CA
- **ZIP:** 94080

**MAIL ADDRESS:**
- **STREET 1:** 1180 VETERANS BOULEVARD
- **CITY:** SOUTH SAN FRANCISCO
- **STATE:** CA
- **ZIP:** 94080

?xml version="1.0" encoding="utf-8"?

**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 1, 2023**

**RIGEL PHARMACEUTICALS, INC.**

(Exact name of registrant as specified in its charter)

**Delaware**

(State or other jurisdiction of incorporation)

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| | |
|:---|:---|
| **0-29889** | **94-3248524** |
| (Commission File No.) | (IRS Employer Identification No.) |
| **611 Gateway Boulevard** |  |
| **Suite 900** |  |
| **South San Francisco, CA** | **94080** |
| (Address of principal executive offices) | (Zip Code) |

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Registrant's telephone number, including area code: **(650) 624-1100**

**Not Applicable**

(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))

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| | | |
|:---|:---|:---|
| **Title of Each Class** | **Trading<br> Symbol(s)** | **Name of Each Exchange on Which <br> Registered** |
| **Common Stock, par value $0.001 per share** | **RIGL** | **The Nasdaq Stock Market LLC** |

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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 ◻

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 5.02.** | **Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers.** |

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&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;**(b)**

On February 1, 2023, Wolfgang Dummer, M.D., Ph.D. informed Rigel Pharmaceuticals, Inc. (the "**Company**") of his intention to resign from his position as the Company's Executive Vice President and Chief Medical Officer. Such resignation is expected to be effective as of March 31st, 2023 (the "**Separation Date**"). The Company has initiated a replacement search for a new Chief Medical Officer with substantial hematology-oncology experience. Dr. Dummer has agreed to continue in his role as Executive Vice President and Chief Medical Officer through the Separation Date.

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;**(e)**

Subject to Dr. Dummer's continued services through the Separation Date and in exchange for a full general release of claims and continued compliance with his Employee Confidential Information and Inventions Agreement, Dr. Dummer's resignation will be deemed a Non-COC Qualifying Termination under the terms of the Company's Executive Severance Plan, a copy of which is attached as Exhibit 10.1 to the Company's Quarterly Report on Form 10-Q for the period ended on March 31, 2020.

***Forward-Looking Statements***

*Statements in this report that are not strictly historical in nature constitute "forward-looking statements." Such statements include, but are not limited to the continuation of Dr. Dummer as an employee of the Company and the replacement search for a new Chief Medical Officer with substantial hematology-oncology experience. Any statements contained in this report that are not statements of historical fact may be deemed to be forward-looking statements. Forward-looking statements can be identified by words such as "plan", "potential", "may", "expect", "will", "believe", "intend" and similar expressions in reference to future periods. Forward-looking statements are neither historical facts nor assurances of future performance. Instead, they are based on Rigel's current beliefs, expectations, and assumptions regarding the future of our business, future plans and strategies, projections, anticipated events and trends, the economy and other future conditions, and hence they inherently involve significant risks, uncertainties and changes in circumstances that are difficult to predict and many of which are outside of our control. Therefore, you should not rely on any of these forward-looking statements. Actual results and the timing of events could differ materially from those anticipated in such forward looking statements as a result of these risks and uncertainties, which include, without limitation, risks detailed from time to time in Rigel's reports filed with the Securities and Exchange Commission, including its Quarterly Report on Form 10-Q for the quarter ended September 30, 2022 and subsequent filings. Any forward-looking statement made by us in this report is based only on information currently available to us and speaks only as of the date on which it is made. Rigel does not undertake any obligation to update forward-looking statements, whether written or oral, that may be made from time to time, whether as a result of new information, future developments or otherwise, and expressly disclaims any obligation or undertaking to release publicly any updates or revisions to any forward-looking statements contained herein, except as required by law.*

**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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| | | |
|:---|:---|:---|
| Dated: February 3, 2023 | **RIGEL PHARMACEUTICALS, INC.** | **RIGEL PHARMACEUTICALS, INC.** |
|  | By: | /s/ Ray Furey, J.D. |
|  |  | Ray Furey, J.D. |
|  |  | Executive Vice President, General Counsel and Corporate Secretary |

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