# EDGAR Filing Document

**Accession Number:** 0001836056
**File Stem:** 0001193125-23-060814
**Filing Date:** 2023-3
**Character Count:** 11548
**Document Hash:** b11260b27a51634d102208f389e64a5d
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001193125-23-060814.hdr.sgml**: 20230306

**ACCESSION NUMBER**: 0001193125-23-060814

**CONFORMED SUBMISSION TYPE**: 8-K

**PUBLIC DOCUMENT COUNT**: 15

**CONFORMED PERIOD OF REPORT**: 20230305

**ITEM INFORMATION**: Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing

**ITEM INFORMATION**: Regulation FD Disclosure

**ITEM INFORMATION**: Financial Statements and Exhibits

**FILED AS OF DATE**: 20230306

**DATE AS OF CHANGE**: 20230306

**FILER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** Ambrx Biopharma Inc.
- **CENTRAL INDEX KEY:** 0001836056
- **STANDARD INDUSTRIAL CLASSIFICATION:** BIOLOGICAL PRODUCTS (NO DIAGNOSTIC SUBSTANCES) [2836]
- **IRS NUMBER:** 571147346
- **STATE OF INCORPORATION:** E9
- **FISCAL YEAR END:** 1231

**FILING VALUES:**
- **FORM TYPE:** 8-K
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 001-40505
- **FILM NUMBER:** 23707727

**BUSINESS ADDRESS:**
- **STREET 1:** 10975 NORTH TORREY PINES ROAD
- **CITY:** LA JOLLA
- **STATE:** CA
- **ZIP:** 92037
- **BUSINESS PHONE:** (858) 729-3339

**MAIL ADDRESS:**
- **STREET 1:** 10975 NORTH TORREY PINES ROAD
- **CITY:** LA JOLLA
- **STATE:** CA
- **ZIP:** 92037

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

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### UNITED STATES

### SECURITIES AND EXCHANGE COMMISSION

#### Washington, D.C. 20549

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### FORM 8-K

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#### CURRENT REPORT

#### Pursuant to Section 13 OR 15(d)

#### of The Securities Exchange Act of 1934

#### March 5, 2023

#### Date of Report (Date of earliest event reported)

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## Ambrx Biopharma Inc.

#### (Exact name of registrant as specified in its charter)

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| | | |
|:---|:---|:---|
| **Cayman Islands** | **001-40505** | **N/A** |
| **(State or other jurisdiction**<br> **of incorporation)** | **(Commission**<br> **File Number)** | **(IRS Employer**<br> **Identification No.)** |

---

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| | |
|:---|:---|
| **10975 Torrey Pines Road**<br> **La Jolla, California** | **92037** |
| **(Address of principal executive offices)** | **(Zip Code)** |

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(858) 729-3339

#### (Registrant's telephone number, including area code)

#### N/A

#### (Former name or former address, if changed since last report)

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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**<br> **Symbol(s)** | **Name of each exchange**<br> **on which registered** |
| Ordinary shares, par value US $0.0001 per share\* | N/A | The New York Stock Exchange\* |
| American Depositary Shares, each representing seven ordinary shares, par value US $0.0001 per share | AMAM | The New York Stock Exchange |

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**\*** Not for trading, but only in connection with the listing of the American depositary shares on the New York Stock Exchange. The American depositary shares represent the right to receive the ordinary shares and are being registered under the Securities Act of 1933 pursuant to a separate Registration Statement on Form F-6. Accordingly, the American depositary shares are exempt from registration under Section 12(a) of the Securities Exchange Act of 1934, as amended, pursuant to Rule 12a-8 thereunder.

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 3.01.** | **Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing.** |

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On March 6, 2023, Ambrx Biopharma Inc. (the "Company"), acting pursuant to authorization from its Board of Directors, determined to voluntarily withdraw the listing of its American Depositary Shares, each representing 7 ordinary shares, par value US $0.0001 per share ("ADSs"), from the New York Stock Exchange ("NYSE") and transfer the listing to the Nasdaq Stock Market ("Nasdaq"), where the Company has been approved for listing. Following the transfer of its listing, the Company intends to continue to file the same periodic reports and other information it currently files with the Securities and Exchange Commission. The Company expects that the listing and trading of its ADSs on NYSE will end at market close on March 16, 2023, and that trading will begin on Nasdaq at market open on March 17, 2023. The ADSs will continue to be traded under the symbol "AMAM" and the transfer will have no impact on the ability of investors to trade the ADSs.

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| | |
|:---|:---|
| **Item 7.01.** | **Regulation FD Disclosure.** |

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The Company issued the press release attached hereto as Exhibit 99.1 in connection with the transfer of the principal listing of the ADSs to Nasdaq.

The information provided in Item 7.01 of this Form 8-K, including Exhibit 99.1 hereto, shall not be deemed "filed" for purposes of Section 18 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), or otherwise subject to the liabilities of that section, nor shall it be deemed incorporated by reference into any of the Company's filings under the Securities Act of 1933, as amended, or the Exchange Act, except as expressly set forth by specific reference in such filing.

The information contained in this Current Report on Form 8-K is hereby incorporated by reference into the Company's Registration Statement Form F-3 (Registration No. 333-266404).

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| | |
|:---|:---|
| **Item 9.01** | **Financial Statements and Exhibits.** |

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(d)&nbsp;&nbsp;&nbsp;&nbsp; Exhibits

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| | |
|:---|:---|
| **Exhibit<br>Number** | **Exhibit Description** |
| 99.1 | [Press Release of the Company, dated March 6, 2023.](d473459dex991.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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| | | |
|:---|:---|:---|
| Date: March 6, 2023 | **AMBRX BIOPHARMA INC.** | **AMBRX BIOPHARMA INC.** |
|  | By: | /s/ Sonja Nelson |
|  | Name: | Sonja Nelson |
|  | Title: | Chief Financial and Operating Officer |

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## Exhibit 99.1

**Exhibit 99.1**![LOGO](g473459g0306064429819.jpg)

**Ambrx to Commence Trading on Nasdaq** 

*Company to Transfer Stock Exchange Listing from NYSE to Nasdaq* 

*Ticker symbol will remain "AMAM"* 

SAN DIEGO, March 6, 2023 —Ambrx Biopharma Inc. (NYSE: **AMAM**) ("Ambrx" or "the Company") today announced that it will voluntarily transfer its stock exchange listing to the Nasdaq Stock Market from the New York Stock Exchange, effective March 16, 2023 after market close. Ambrx's American Depositary Shares are expected to begin trading as a Nasdaq-listed security on March 17, 2023. The Company will retain its current ticker symbol "AMAM".

"The listing of our stock on the Nasdaq represents a significant milestone in our growth as a publicly-traded company and is an important step that will help facilitate our mission to discover, develop and deploy medicines to treat cancer," said Daniel J. O'Connor, President and Chief Executive Officer of Ambrx. "We believe this listing will increase our visibility in the marketplace and ultimately enhance long-term shareholder value."

**About Ambrx Biopharma Inc.** 

Ambrx is a clinical stage biopharmaceutical company using an expanded genetic code technology platform to discover and develop next generation antibody drug conjugates (ADCs) and other engineered therapies to modulate the immune system. Ambrx is advancing a focused portfolio of clinical and preclinical programs designed to optimize efficacy and safety in multiple cancer indications, including ARX517, its proprietary antibody-drug conjugates (ADC) targeting the prostate-specific membrane antigen (PSMA) and ARX788, its proprietary ADC targeting HER2. In addition, Ambrx has preclinical and clinical collaborations with multiple partners on drug candidates generated using Ambrx technology. Ambrx spun out of The Scripps Research Institute in 2003 and has several other product candidates involving ADCs and other aspects of Ambrx's protein engineering technology. For more information, please visit <u>www.ambrx.com</u>.

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**Forward-Looking Statements** 

This press release includes certain "forward-looking statements" intended to qualify for the "safe harbor" from liability established by the Private Securities Litigation Reform Act of 1995, as amended. Forward-looking statements may be identified by the words "expect," "will" and similar expressions, and include, without limitation, express or implied statements regarding the timing of Ambrx's listing on the Nasdaq Stock Market and Ambrx's beliefs and expectations regarding the listing on the Nasdaq Stock Market. Forward-looking statements are based on Ambrx's current expectations and are subject to inherent uncertainties, risks and assumptions that are difficult to predict. Factors that could cause actual results to differ include, but are not limited to, those risks and uncertainties associated with: the continuing impact of the COVID-19 pandemic and other public health-related risks and events on Ambrx's business, operations, strategy, goals and anticipated milestones; Ambrx's ability to execute on its strategy including with respect to the timing of its R&D efforts, initiation of clinical trials and other anticipated milestones; risks associated with development and marketing approval of novel therapeutics, including potential delays in clinical trials and regulatory submissions and the fact that future clinical trial results/data may not be consistent with interim, initial or preliminary results/data or results/data from prior preclinical studies or clinical trials; Ambrx's ability to fund operations as anticipated; and the additional risks and uncertainties set forth more fully under the caption "Risk Factors" in Ambrx's Annual Report on Form 20-F filed with the SEC on April 26, 2022, and elsewhere in Ambrx's filings and reports with the SEC. Forward-looking statements contained in this press release are made as of this date, and Ambrx undertakes no duty to publicly update or revise any forward looking statements, whether as a result of new information, future events or otherwise, except as may be required under applicable law.

**Contacts** 

INVESTORS

Mike Moyer

LifeSci Advisors

617-308-4306

<u>mmoyer@lifesciadvisors.com</u>

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MEDIA

Mike Tattory

Account Supervisor LifeSci Communications

<u>media@ambrx.com</u>

Source: Ambrx Biopharma, Inc.

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