# EDGAR Filing Document

**Accession Number:** 0001830162
**File Stem:** 0001493152-23-005865
**Filing Date:** 2023-2
**Character Count:** 4572
**Document Hash:** 535726712d5151dd180b3ff8ebe2d4c5
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001493152-23-005865.hdr.sgml**: 20230223

**ACCESSION NUMBER**: 0001493152-23-005865

**CONFORMED SUBMISSION TYPE**: 6-K

**PUBLIC DOCUMENT COUNT**: 2

**CONFORMED PERIOD OF REPORT**: 20230223

**FILED AS OF DATE**: 20230223

**DATE AS OF CHANGE**: 20230223

**FILER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** 4D Pharma PLC
- **CENTRAL INDEX KEY:** 0001830162
- **STANDARD INDUSTRIAL CLASSIFICATION:** PHARMACEUTICAL PREPARATIONS [2834]
- **IRS NUMBER:** 000000000
- **STATE OF INCORPORATION:** X0
- **FISCAL YEAR END:** 1231

**FILING VALUES:**
- **FORM TYPE:** 6-K
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 001-40106
- **FILM NUMBER:** 23659329

**BUSINESS ADDRESS:**
- **STREET 1:** 9 BOND COURT
- **CITY:** LEEDS
- **STATE:** X0
- **ZIP:** LS1 2JZ
- **BUSINESS PHONE:** 44-0-113-895-0130

**MAIL ADDRESS:**
- **STREET 1:** 9 BOND COURT
- **CITY:** LEEDS
- **STATE:** X0
- **ZIP:** LS1 2JZ

**UNITED STATES**

**SECURITIES AND EXCHANGE COMMISSION**

**Washington, D.C. 20549**

**Form 6-K**

**Report of Foreign Private Issuer**

**Pursuant to Rule 13a-16 or 15d-16**

**under the Securities Exchange Act of 1934**

For the month of **February 2023**

**Commission File Number: 001-40106**

**4D pharma plc**

*(Translation of Registrant's name into English)*

 

**5th Floor, 9 Bond Court**

**Leeds**

**LS1 2JZ**

**United Kingdom**

**Tel: +44 (0) 113 895 013**

(Address of principal executive offices)

Indicate by check mark whether the registrant files or will file annual reports under cover of Form 20-F or Form 40-F. Form 20-F ☒ Form 40-F ☐

Indicate by check mark if the registrant is submitting the Form 6-K in paper as permitted by Regulation S-T Rule 101(b)(1): ___

Indicate by check mark if the registrant is submitting the Form 6-K in paper as permitted by Regulation S-T Rule 101(b)(7): ___

On February 16, 2023, a regulatory news service announcement titled "Notice of Cancellation of Admission to Trading on AIM" was published regarding the cancellation of the 4D pharma plc (the "Company," "4D," "4D pharma," "we," "us" or "our") ordinary shares from admission to trading on the Alternative Investment Market ("AIM").

A copy of the announcement is attached as Exhibit 99.1 to this current report on Form 6-K and is incorporated by reference herein. This announcement is incorporated by reference into the registration statements on Form F-3 (File No. 333-263372 and File No. 333-264419) of 4D pharma plc, filed with the U.S. Securities and Exchange Commission, to be a part thereof from the date on which this announcement is submitted, to the extent not superseded by documents or reports subsequently filed or furnished.

**INDEX TO EXHIBITS**

---

| | |
|:---|:---|
| **Exhibit**<br> **Number** <br>| **Exhibit Title** |
| 99.1 | [Announcement, dated February 16, 2023.](ex99-1.htm) |

---

**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, thereunto duly authorized.

---

| | |
|:---|:---|
|  | **4D pharma plc** |
| Date: February 23, 2023 | */s/ James Clark* |
|  | James Clark |
|  | Administrator |

---

## Exhibit 99.1

**Exhibit 99.1**

RNS Number : 0605Q

AIM

16 February 2023

**NOTICE**

16/02/2023 - 07:00

**NOTICE OF CANCELLATION OF ADMISSION TO TRADING ON AIM**

Pursuant to AIM Rule 41 the following securities have been cancelled from trading on AIM with effect from the time and date of this notice.

4D PHARMA PLC <br> 213800O49VYSXWE2ZD52 <br> ORDINARY SHARES OF 0.25P EACH, FULLY PAID (BJL5BR0)(GB00BJL5BR07) 4D PHAR/PAR VTG FPD 0.0025

If you have any queries or require further information, please contact the company's nominated adviser.

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