# EDGAR Filing Document

**Accession Number:** 0001604191
**File Stem:** 0001104659-25-089562
**Filing Date:** 2025-9
**Character Count:** 20681
**Document Hash:** e96a8ec3b018ae92f9063538b5011522
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001104659-25-089562.hdr.sgml**: 20250912

**ACCESSION NUMBER**: 0001104659-25-089562

**CONFORMED SUBMISSION TYPE**: 8-K

**PUBLIC DOCUMENT COUNT**: 13

**CONFORMED PERIOD OF REPORT**: 20250912

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

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

**ITEM INFORMATION**: Financial Statements and Exhibits

**FILED AS OF DATE**: 20250912

**DATE AS OF CHANGE**: 20250912

**FILER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** Entero Therapeutics, Inc.
- **CENTRAL INDEX KEY:** 0001604191
- **STANDARD INDUSTRIAL CLASSIFICATION:** PHARMACEUTICAL PREPARATIONS [2834]
- **ORGANIZATION NAME:** 03 Life Sciences
- **EIN:** 464993860
- **STATE OF INCORPORATION:** DE
- **FISCAL YEAR END:** 1231

**FILING VALUES:**
- **FORM TYPE:** 8-K
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 001-37853
- **FILM NUMBER:** 251311881

**BUSINESS ADDRESS:**
- **STREET 1:** 777 YAMATO ROAD
- **STREET 2:** SUITE 502
- **CITY:** BOCA RATON
- **STATE:** FL
- **ZIP:** 33431
- **BUSINESS PHONE:** 561-589-7020

**MAIL ADDRESS:**
- **STREET 1:** 777 YAMATO ROAD
- **STREET 2:** SUITE 502
- **CITY:** BOCA RATON
- **STATE:** FL
- **ZIP:** 33431

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** First Wave BioPharma, Inc.
- **DATE OF NAME CHANGE:** 20210921

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** AzurRx BioPharma, Inc.
- **DATE OF NAME CHANGE:** 20141103

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** BioPharma d'Azur, Inc.
- **DATE OF NAME CHANGE:** 20140331

?xml version='1.0' encoding='ASCII'?

**UNITED STATES**

**SECURITIES AND EXCHANGE COMMISSION**

**WASHINGTON, DC 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 12, 2025**

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| |
|:---|
| **Entero Therapeutics, Inc.** |
| **(Exact name of registrant as specified in its charter)** |

---

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| | | |
|:---|:---|:---|
| **Delaware** | **001-37853** | **46-4993860** |
| (State or other jurisdiction of<br> incorporation) | (Commission File Number) | (IRS Employer Identification No.) |

---

---

| | |
|:---|:---|
| **777 Yamato Road, Suite 502**<br> **Boca Raton, Florida** | **33431** |
| **(Address of principal executive offices)** | **(Zip Code)** |

---

**Registrant's telephone number, including area code: (561) 589-7020**

**<u>Not Applicable</u>**

(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:

¨ 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<br> registered |
| Common Stock, par value $0.0001 per share | ENTO | Nasdaq Capital Market |

---

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

Emerging growth company ◻

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

**Item 1.01. Entry Into a Material Definitive Agreement**

The information set forth in Item 5.02 below regarding the CEO Agreement (as defined below) is incorporated by reference in this Item 1.01.

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

*Entry into Consulting Agreement for appointment of Jason D. Sawyer as CEO*

 

As previously disclosed on the Current Report on Form 8-K filed with the Securities and Exchange Commission on September 9, 2025, the Company had appointed Mr. Jason D. Sawyer as Interim Chief Executive Officer of the Company. Subsequently, on September 8, 2025, the Company entered into a consulting agreement in connection with Mr. Sawyer's role as interim CEO (the "CEO Agreement"), effective as of September 4, 2025, pursuant to which he will receive compensation of $12,500 per month. The Company will also defend and indemnify Mr. Sawyer in his capacity as Chief Executive Officer of the Company to the fullest extent permitted under the Delaware General Corporation Law ("DGCL") and shall also maintain a policy for indemnifying its officers and directors, including Mr. Sawyer, for all actions permitted under the DGCL taken in good faith pursuit of their duties for the Company. The foregoing description of the CEO Agreement does not purport to be complete and is qualified in its entirety by the terms of the CEO Agreement, which is attached hereto as Exhibit 10.1 and is incorporated herein by reference.

**Item 9.01. Financial Statements and Exhibits.** 

*(d) Exhibits.*

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| | |
|:---|:---|
| **Exhibit<br> No.** | **Description** |
| [10.1](tm2525441d2_ex10-1.htm) | [Consulting Agreement dated September 8, 2025 between Company and Access Alternative Group S.A. for appointment of Jason D. Sawyer as Chief Executive Officer of the Company.](tm2525441d2_ex10-1.htm) |
| 104 | Cover Page Interactive Data File (embedded within the Inline XBRL document). |

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**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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| | | |
|:---|:---|:---|
|  | **Entero Therapeutics, Inc.** | **Entero Therapeutics, Inc.** |
| September 12, 2025 | By: | /s/ Jason D. Sawyer |
|  | Name: | Jason D. Sawyer |
|  | Title: | Interim Chief Executive Officer |

---

## Exhibit 10.1

**Exhibit 10.1**

**CONSULTING AGREEMENT FOR NON-EMPLOYEE CHIEF EXECUTIVE OFFICER**

This CONSULTING AGREEMENT (this "Agreement") dated September 8, 2025 and effective as of September 4, 2025 ("Effective Date"), is made and entered into between Entero Therapeutics, Inc. (a Delaware Corporation) (the "Company"), and Access Alternative Group S.A., a Bahamian corporation (the "Consultant").

WHEREAS, the Company desires to engage the Consultant to provide certain consulting services described on **Exhibit A** (the "Services") to the Company pursuant to the terms and conditions of this Agreement;

WHEREAS, the Consultant has designated Jason D. Sawyer, General Manager of the Consultant (the "Designee"), to perform the Services as non-employee interim Chief Executive Officer;

WHEREAS, the Board of Directors of the Company (the "Board") has appointed the Designee, to serve as the interim Chief Executive Officer of the Company, upon the terms and subject to the conditions hereinafter set forth; and

WHEREAS, the Designee has the necessary skills and qualifications to serve as the interim Chief Executive Officer and has agreed to serve as such, upon the terms and subject to the conditions hereinafter set forth.

NOW, THEREFORE, in consideration of the above premises and for other good and valuable consideration, the receipt and sufficiency of which hereby are acknowledged, the parties hereto agree as follows:

1. <u>Independent Consultant.</u> 

During the term of this Agreement, Consultant will perform the Services in a diligent and professional matter, and in compliance with all applicable laws and regulations. The Company, through the action of its Board, hereby engages the Consultant, and the Consultant will serve the Company, as a consultant. During the term of this Agreement, the Designee will serve as the non-employee interim chief executive officer ("CEO") of the Company. The Company confirms that the Designee has been duly appointed as the CEO and will remain as an executive officer of the Company during the term of this Agreement.

2. <u>Duties, Term, and Compensation.</u> The Consultant's term of engagement, compensation and
provisions for payment thereof are detailed in the attached **Exhibit B**, which may be amended in writing from time to time by the
Consultant and agreed to by the Company, and which collectively are hereby incorporated by reference.

3. <u>Expenses.</u> The Company will reimburse the Consultant for all reasonable business expenses Consultant
incurs in conducting his duties hereunder, pursuant to the Company's usual expense reimbursement policies, but in no event later
than ninety (90) days after the end of the calendar month following the month in which such expenses were incurred by the Consultant;
provided that the Consultant supplies the appropriate substantiation for such expenses no later than the end of the calendar month following
the month in which such expenses were incurred by the Consultant.

4. <u>Confidentiality.</u> The Consultant acknowledges that during the engagement it will have access
to and become acquainted with various trade secrets, inventions, innovations, processes, information, records and specifications owned
or licensed by the Company and/or used by the Company in connection with the operation of its business including, without limitation,
the Company's business and product processes, methods, customer lists, accounts and procedures. The Consultant agrees that it will
not disclose any of the aforesaid, directly or indirectly, or use any of them in any manner, either during the term of this Agreement
or at any time thereafter, except as required in the course of this engagement with the Company. All files, records, documents, blueprints,
specifications, information, letters, notes, media lists, original artwork/creative, notebooks, and similar items relating to the business
of the Company, whether prepared by the Consultant or otherwise coming into the Consultant's possession, shall remain the exclusive
property of the Company. The Consultant shall not retain any copies of the foregoing without the Company's prior written permission.
Upon the expiration or earlier termination of this Agreement, or whenever requested by the Company, the Consultant shall immediately deliver
to the Company all such files, records, documents, specifications, information, and other items in his possession or under his control.
The Consultant confirms that all restrictions in Section 4 are reasonable and valid, and any defenses to the strict enforcement thereof
by the Company are waived by the Consultant. The provisions of this Section shall survive any termination of this Agreement.

5. <u>Conflicts of Interest; Performance of Duties.</u> The Consultant represents that it is free to
enter into this Agreement, and that this engagement does not violate the terms of any agreement between the Consultant, any of its personnel
or owners and any third party. Further, the Consultant, in rendering the Services, shall not utilize any invention, discovery, development,
improvement, innovation, or trade secret in which it does not have a proprietary interest.

6. <u>Other Business Activities:</u> The Consultant agrees that it or any of its personnel or owners are
not, and during the Term of this Agreement shall not be, engaged or employed in any business, trade, profession, or other activity that
would create a conflict of interest with the Company. If any such actual or potential conflict arises during the Term of this Agreement,
the Consultant shall immediately notify the Company in writing. If the Company determines, in its sole discretion, that the conflict is
material, the Company may terminate the Agreement immediately upon written notice in accordance with provisions under "Term"
under Exhibit B.

7. <u>Indemnification and D&O Insurance:</u> Consultant shall have full responsibility for applicable
withholding taxes for all compensation paid to Consultant under this Agreement, and for compliance with all applicable labor and employment
requirements with respect to Consultant's self-employment, franchise tax, worker's compensation insurance coverage requirements
and U.S. immigration visa requirements. Consultant shall indemnify, defend and hold Company harmless from any liability for, or assessment
of, any claims or penalties with respect to such withholding taxes, labor or employment requirements including, without limitation, any
liability for, or assessment of, withholding taxes imposed on Company by the relevant taxing authorities with respect to any compensation
paid to Consultant.

Notwithstanding the foregoing, the Company shall defend and indemnify the Designee in his capacity as interim Chief Executive Officer of the Company to the fullest extent permitted under the Delaware General Corporation Law ("DGCL"). The Company shall also maintain a policy for indemnifying its officers and directors, including but not limited to the Designee, for all actions permitted under the DGCL taken in good faith pursuit of their duties for the Company, including but not limited to maintaining an appropriate level of Directors and Officers Liability coverage and maintaining the inclusion of such provisions in the Company's by-laws or certificate of incorporation, as applicable and customary. The rights to indemnification shall survive any termination of this Agreement.

8. <u>Independent Contractor.</u> This Agreement shall not render the Consultant or the Designee an
employee, partner, agent of, or joint venturer with the Company for any purpose. The Consultant is and will remain an independent Consultant
in his relationship with the Company. The Consultant will receive an IRS Form 1099 from the Company, and the Consultant shall be solely
responsible for all federal, state, and local taxes. The Consultant shall have no claim against the Company hereunder or otherwise for
vacation pay, sick leave, retirement benefits, social security, worker's compensation, health or disability benefits, unemployment
insurance benefits, or employee benefits of any kind. The Consultant agrees to indemnify and save the Company harmless from and against
any and all assessments, losses or penalties actually incurred by the Company in respect of any unpaid taxes or other fees and charges
by the Consultant which are charged back to the Company, including, without limitation, contributions to any pension/retirement plans,
employment insurance or workers compensation premiums.

9. <u>Successors and Assigns.</u> All of the provisions of this Agreement shall be binding upon and
inure to the benefit of the parties hereto and their respective heirs, if any, successors, and assigns.

10. <u>Choice of Law.</u> The laws of the state of New York shall govern the validity of this Agreement,
the construction of its terms and the interpretation of the rights and duties of the parties hereto.

11. <u>Arbitration.</u> Any controversies arising out of the terms of this Agreement or its interpretation
shall be settled in New York in accordance with the rules of the American Arbitration Association, and the judgment upon award may be
entered in any court having jurisdiction thereof.

12. <u>Submission to Jurisdiction.</u> Each of the Parties irrevocably submits to the jurisdiction of the
courts of the State of New York.

13. <u>Headings.</u> Section headings are not to be considered a part of this Agreement and are not intended
to be a full and accurate description of the contents hereof.

14. <u>Waiver.</u> Waiver by one party hereto of breach of any provision of this Agreement by the other
shall not operate or be construed as a continuing waiver.

15. <u>Assignment.</u> The Consultant shall not assign any of his rights under this Agreement, or delegate
the performance of any of his duties hereunder, except as set forth herein, without the prior written consent of the Company.

16. <u>Notices.</u> All notices required or permitted to be given under this Agreement shall
be in writing and shall be deemed to have been given and received (a) when personally delivered, or delivered by same-day courier; or
(b) on the third business day after mailing by registered or certified mail, postage prepaid, return receipt requested; or (c) upon delivery
when sent by prepaid overnight express delivery service (e.g., FedEx, UPS); or (d) when sent by email and upon the receipt by the sending
party of written confirmation by the receiving party; provided, however, that an automated email confirmation of delivery or read receipt
shall not constitute such confirmation; and, in any case addressed to either party, and in the case of the Company, at its normal business
address, and in the case of Consultant, at his residential address or other address provided, which address may be updated by either party
in writing from time to time.

17. <u>Modification or Amendment.</u> No amendment, change or modification of this Agreement shall be
valid unless in writing signed by the parties hereto.

18. <u>Counterparts.</u> This Agreement may be executed originally or electronically, and any number of counterparts,
each of which shall be deemed an original, and together shall constitute one and the same instrument. Signatures provided electronically
shall be deemed original signatures.

19. <u>Entire Agreement.</u> This Agreement sets forth the entire understanding of the Parties hereto with
respect to its subject matter and supersedes all prior agreements, promises, statements, representations, negotiations, and understandings,
written or oral, with respect to matters covered hereby.

20. <u>Unenforceability of Provisions.</u> If any provision of this Agreement, or any portion thereof,
is held to be invalid and unenforceable, then the remainder of this Agreement shall nevertheless remain in full force and effect.

*[Signature Page Follows]*

IN WITNESS WHEREOF the undersigned have executed this Agreement as of the day and year first written above.

---

| | | |
|:---|:---|:---|
| **<u>Entero Therapeutics, Inc.</u>** | **<u>Entero Therapeutics, Inc.</u>** | **<u>Access Alternative Group S.A.</u>** |
| By: | */s/ Anna Skowron* | By: */s/ Jason D. Sawyer* |
| Name: | Anna Skowron | Name: Jason D. Sawyer |
| Title: | Chief Financial Officer | Title: General Manager |

---

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| | |
|:---|:---|
| **<u>Designee</u>** | **<u>Designee</u>** |
| <br> By: | */s/ Jason D. Sawyer*  |
| Name: | Jason D. Sawyer |

---

**EXHIBIT A**

**DESCRIPTION OF SERVICES**

Consultant agrees to provide the below Services to the Company:

(a) Managing the operations of the Company;

(b) Working with the Board of Directors of the Company to develop and implement the Company's strategic
plan; and

(c) Performing such other duties of the Chief Executive Officer of the Company customarily related to this
function in an organization of the size and nature of the Company, and performing such other duties as may be determined and assigned
by the Board from time to time and required by the Company's governing instruments.

Consultant will perform work remotely, outside of the United States, so long as doing so does not interfere with the Consultant's responsibilities under this Agreement.

**EXHIBIT B**

<u>TERM AND TERMINATION:</u>

This engagement shall commence effective September 4, 2025, and shall be renewable on a month-to-month basis at the discretion of the Company unless earlier terminated by the Consultant for any reason upon not less than ten (10) business days' notice given to the Company. The Company may terminate this Agreement upon ten (10) business days' notice for any reason. In the event of termination prior to the end of a month, the Company shall pay the Consultant on a pro-rata basis any compensation then due and payable for any services completed up to and including the date of such termination.

<u>COMPENSATION:</u>

The Company will pay the Consultant compensation at the rate of USD$12,500 per month. This salary will be subject to periodic review and adjustments at the Company's discretion.

<u>TITLE:</u> 

The Designee's title shall be Interim Chief Executive Officer of the Company.