# EDGAR Filing Document

**Accession Number:** 0001289850
**File Stem:** 0001104659-23-031158
**Filing Date:** 2023-3
**Character Count:** 10413
**Document Hash:** 5fa30859cc7ec9c820819179ede600cb
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001104659-23-031158.hdr.sgml**: 20230310

**ACCESSION NUMBER**: 0001104659-23-031158

**CONFORMED SUBMISSION TYPE**: 8-K

**PUBLIC DOCUMENT COUNT**: 13

**CONFORMED PERIOD OF REPORT**: 20230306

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

**ITEM INFORMATION**: Material Modifications to Rights of Security Holders

**ITEM INFORMATION**: Financial Statements and Exhibits

**FILED AS OF DATE**: 20230310

**DATE AS OF CHANGE**: 20230310

**FILER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** NeuroMetrix, Inc.
- **CENTRAL INDEX KEY:** 0001289850
- **STANDARD INDUSTRIAL CLASSIFICATION:** SURGICAL & MEDICAL INSTRUMENTS & APPARATUS [3841]
- **IRS NUMBER:** 043308180
- **STATE OF INCORPORATION:** DE
- **FISCAL YEAR END:** 1231

**FILING VALUES:**
- **FORM TYPE:** 8-K
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 001-33351
- **FILM NUMBER:** 23723599

**BUSINESS ADDRESS:**
- **STREET 1:** 1000 WINTER STREET
- **CITY:** WALTHAM
- **STATE:** MA
- **ZIP:** 02451
- **BUSINESS PHONE:** (781) 890-9989

**MAIL ADDRESS:**
- **STREET 1:** 1000 WINTER STREET
- **CITY:** WALTHAM
- **STATE:** MA
- **ZIP:** 02451

?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): **March 6, 2023**

**NEUROMETRIX, INC.**

(Exact name of registrant as specified in its charter)

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| | | |
|:---|:---|:---|
| **Delaware** | **001-33351** | **04-3308180** |
| (State or other jurisdiction<br> of incorporation) | (Commission<br> File Number) | (I.R.S. Employer<br> Identification No.) |
| **4B Gill Street, Woburn, MA** | **4B Gill Street, Woburn, MA** | **02140** |
| (Address of principal executive offices) | (Address of principal executive offices) | (Zip Code) |

---

**(781) 890-9989**

Registrant's telephone number, including area code

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))

---

| | | |
|:---|:---|:---|
| &nbsp;&nbsp;**Title of each class** | &nbsp;&nbsp;**Trading Symbol(s)** | &nbsp;&nbsp;**Name of exchange on which registered** |
| &nbsp;&nbsp;Common Stock, $0.0001 par value per share | &nbsp;&nbsp;NURO | &nbsp;&nbsp;The Nasdaq Stock Market LLC |
| &nbsp;&nbsp;Preferred Stock Purchase Rights |  |  |

---

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 1.01** | **Entry into a Material Definitive Agreement.** |

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*Amendment to the Shareholders Rights Agreement*

On March 6, 2023, NeuroMetrix, Inc. entered into Amendment No. 15 ("Amendment No. 15") to the Shareholder Rights Agreement with American Stock Transfer & Trust Company, LLC dated as of March 7, 2007, as amended (the "Shareholder Rights Agreement"). Amendment No. 15 extends the term of the Shareholder Rights Agreement by an additional year to March 8, 2024.

The foregoing description of Amendment No. 15 is subject to, and is qualified in its entirety by reference to, the full text of Amendment No. 15, a copy of which is set forth as Exhibit 4.1 to this Current Report on Form 8-K and is incorporated herein by reference.

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| | |
|:---|:---|
| **Item 3.03** | **Material Modification to the Rights of Security Holders.** |

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Please see the disclosure set forth under Item 1.01, which is incorporated by reference into this Item 3.03.

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

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*(d) Exhibits.*

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| | |
|:---|:---|
| Exhibit No. | Description |
| [4.1](tm239155d1_ex4-1.htm) | [Amendment No. 15 to Shareholder Rights Agreement by and between NeuroMetrix, Inc. and American Stock Transfer & Trust Company, as Rights Agent, dated March 6, 2023.](tm239155d1_ex4-1.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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| | | |
|:---|:---|:---|
| Date: March 10, 2023 | **NEUROMETRIX, INC.** | **NEUROMETRIX, INC.** |
|  | By: | /s/ Thomas T. Higgins |
|  |  | Thomas T. Higgins |
|  |  | Senior Vice President, Chief Financial Officer and Treasurer |

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## Exhibit 4.1

**Exhibit 4.1**

**AMENDMENT NO. 15 TO**

**<u>SHAREHOLDER RIGHTS AGREEMENT</u>**

This Amendment No. 15 to Shareholder Rights Agreement (the "***Amendment***"), dated as of March 6, 2023, by and between NeuroMetrix, Inc., a Delaware corporation (the "**Company**"), and American Stock Transfer & Trust Company, LLC (the "***Rights Agent***"), amends that certain Shareholder Rights Agreement, dated as of March 7, 2007, as previously amended, between the Company and the Rights Agent (as so amended, the "***Rights Agreement***").

**WHEREAS,** the Company and the Rights Agent are parties to the Rights Agreement;

**WHEREAS,** pursuant to Section 27 of the Rights Agreement, the Company and the Rights Agent may from time to time supplement or amend the Rights Agreement subject to the terms of the Rights Agreement; and

**WHEREAS,** the Board of Directors of the Company has determined that an amendment to the Rights Agreement as set forth herein is necessary and desirable in connection with the foregoing and the Company and the Rights Agent desire to evidence such amendment in writing.

**NOW, THEREFORE,** in consideration of these premises and mutual agreements set forth herein, the parties agree as follows:

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;1. <u>Amendment to Section 7(a)</u>. Section 7(a) of the Rights Agreement is amended by striking Section 7(a) in its entirety and replacing it with the following:

"(a) Subject to Section 7(e) hereof, the registered holder of any Right Certificate may exercise the Rights evidenced thereby (except as otherwise provided herein) in whole or in part at any time after the Distribution Date upon surrender of the Right Certificate, with the form of election to purchase and the certificate on the reverse side thereof duly executed, to the Rights Agent at the office or offices of the Rights Agent designated for such purpose, together with payment of the aggregate Exercise Price for the total number of one ten-thousandths of a share of Preferred Stock (or other securities, cash or other assets, as the case may be) as to which such surrendered Rights are then exercised, at or prior to the earlier of (i) the Close of Business on the seventeenth anniversary of the Record Date (upon this Amendment, March 8, 2024) (the "Final Expiration Date"), (ii) the time at which the Rights are redeemed as provided in Section 23 hereof (the "Redemption Date") or (iii) the time at which such Rights are exchanged as provided in Section 24 hereof (the "Exchange Date") (the earliest of (i), (ii) or (iii) being herein referred to as the "Expiration Date"). Except as set forth in Section 7(e) hereof and notwithstanding any other provision of this Agreement, any Person who prior to the Distribution Date becomes a record holder of shares of Common Stock of the Company may exercise all of the rights of a registered holder of a Right Certificate with respect to the Rights associated with such shares of Common Stock of the Company in accordance with the provisions of this Agreement, as of the date such Person becomes a record holder of shares of Common Stock of the Company."

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;2. <u>Ratification</u>. The parties hereby ratify and confirm in all respects the Agreement, as amended by this Amendment.

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;3. <u>Governing Law</u>. This Amendment shall be deemed to be a contract made under the laws of the State of Delaware and for all purposes shall be governed by and construed in accordance with the laws of such State applicable to contracts to be made and performed entirely within such State.

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;4. <u>Counterparts</u>. This Amendment may be executed in any number of counterparts and each of such counterparts shall for all purposes be deemed to be an original, and all such counterparts shall together constitute but one and the same instrument.

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;5. <u>Descriptive Headings</u>. Descriptive headings of the several Sections of this Amendment are inserted for convenience only and shall not control or affect the meaning or construction of any of the provisions hereof.

[Remainder left intentionally blank]

IN WITNESS WHEREOF, the parties have entered into this Amendment No. 15 to Shareholder Rights Agreement as of the date first stated above.

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| | |
|:---|:---|
| **NEUROMETRIX, INC.** | **NEUROMETRIX, INC.** |
| By: | /s/ Thomas T. Higgins |
| Name: | Thomas T. Higgins |
| Title: | Senior Vice President, Chief Financial Officer, Treasurer and Principal Accounting Officer |

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**AMERICAN STOCK TRANSFER & TRUST COMPANY, LLC**

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| | |
|:---|:---|
| By: | /s/ Joseph Dooley |
| Name: | Joseph Dooley |
| Title: | Senior Vice President |

---

*[Signature Page to Amendment No. 15 to Shareholder Rights Agreement]*