# EDGAR Filing Document

**Accession Number:** 0001834645
**File Stem:** 0001193125-23-004066
**Filing Date:** 2023-1
**Character Count:** 5995
**Document Hash:** ec20673633f147dd5acce208f61974e7
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001193125-23-004066.hdr.sgml**: 20230109

**ACCESSION NUMBER**: 0001193125-23-004066

**CONFORMED SUBMISSION TYPE**: 8-K

**PUBLIC DOCUMENT COUNT**: 13

**CONFORMED PERIOD OF REPORT**: 20230106

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

**FILED AS OF DATE**: 20230109

**DATE AS OF CHANGE**: 20230109

**FILER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** Peak Bio, Inc.
- **CENTRAL INDEX KEY:** 0001834645
- **STANDARD INDUSTRIAL CLASSIFICATION:** BIOLOGICAL PRODUCTS (NO DIAGNOSTIC SUBSTANCES) [2836]
- **IRS NUMBER:** 852448157
- **STATE OF INCORPORATION:** DE
- **FISCAL YEAR END:** 1231

**FILING VALUES:**
- **FORM TYPE:** 8-K
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 001-39951
- **FILM NUMBER:** 23516430

**BUSINESS ADDRESS:**
- **STREET 1:** 3350 W BAYSHORE RD. SUITE 100
- **CITY:** PALO ALTO
- **STATE:** CA
- **ZIP:** 94303
- **BUSINESS PHONE:** (650) 549-9103

**MAIL ADDRESS:**
- **STREET 1:** 3350 W BAYSHORE RD. SUITE 100
- **CITY:** PALO ALTO
- **STATE:** CA
- **ZIP:** 94303

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** Ignyte Acquisition Corp.
- **DATE OF NAME CHANGE:** 20201202

?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

#### Date of Report (Date of earliest event reported): January 6, 2023

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## Peak Bio, Inc.

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

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| | | |
|:---|:---|:---|
| **Delaware** | **001-39951** | **85-2448157** |
| **(State or other jurisdiction**<br> **of incorporation)** | **(Commission**<br> **File Number)** | **(I.R.S. Employer**<br> **Identification No.)** |

---

#### 3350 W. Bayshore Rd., Suite 100

#### Palo Alto, CA 94303

#### (Address of principal executive offices, including zip code)
(650) 549-9103

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

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

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

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| | | |
|:---|:---|:---|
| **Title of each class** | **Trading<br>Symbols** | **Name of each exchange**<br> **on which registered** |
| Common stock, par value $0.0001 per share | PKBO | The Nasdaq Stock Market LLC |
| Warrants, each whole warrant exercisable for one share of common stock for $11.50 per share | PKBOW | The Nasdaq Stock Market LLC |

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Check the appropriate box below if the Form 8-K is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions:

☐ Written communication 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-commencements communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))

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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As previously disclosed, on November 1, 2022, Peak Bio, Inc. (the "Company") received written notice (the "Notice") from the Staff of the Listing Qualifications Department (the "Staff") of the Nasdaq Stock Market LLC ("Nasdaq") stating that the Staff has determined that the Company has not complied with the requirements of IM-5101-2 because (i) the Company has not demonstrated that its common stock complies with the minimum 1,000,000 unrestricted publicly held shares requirement in Listing Rule 5505(a)(2) (the "Unrestricted Publicly Held Shares Requirement") and (ii) the Company's warrants do not qualify for initial listing since the security underlying the warrant, the Company's common stock, does not qualify. The Company requested, and received, a hearing with the Hearings Panel (the "Panel") on December 8, 2022 to appeal Nasdaq's determination, which request stayed the suspension of the Company's common stock and warrants and the filing by Nasdaq of a Form 25-NSE pending the Panel's decision.

On January 6, 2023, the Company received the determination letter (the "Determination Letter") from the Panel to delist the Company's common stock and warrants from Nasdaq. The Determination Letter indicated Nasdaq will suspend trading in Company's common stock and warrants effective at the open of business on January 10, 2023 and indicated that it intends to file a Form 25-NSE Notification of Delisting with the Securities and Exchange Commission once all applicable appeal and review periods have expired in order to effect the formal delisting of the Company's securities from Nasdaq.

Upon suspension from Nasdaq, the Company expects its securities to begin trading on the OTC Markets' "OTC Pink Market" tier.

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#### SIGNATURE
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.

Dated: January 9, 2023

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| | |
|:---|:---|
| **PEAK BIO, INC.** | **PEAK BIO, INC.** |
| By: | /s/ Stephen LaMond |
| Name: | Stephen LaMond |
| Title: | Interim Chief Executive Officer |

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