# EDGAR Filing Document

**Accession Number:** 0001130598
**File Stem:** 0001104659-23-019884
**Filing Date:** 2023-2
**Character Count:** 5986
**Document Hash:** f2b36ae46139682470c15aac817e9a7b
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001104659-23-019884.hdr.sgml**: 20230213

**ACCESSION NUMBER**: 0001104659-23-019884

**CONFORMED SUBMISSION TYPE**: 8-K

**PUBLIC DOCUMENT COUNT**: 16

**CONFORMED PERIOD OF REPORT**: 20230213

**ITEM INFORMATION**: Other Events

**ITEM INFORMATION**: Financial Statements and Exhibits

**FILED AS OF DATE**: 20230213

**DATE AS OF CHANGE**: 20230213

**FILER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** Onconova Therapeutics, Inc.
- **CENTRAL INDEX KEY:** 0001130598
- **STANDARD INDUSTRIAL CLASSIFICATION:** PHARMACEUTICAL PREPARATIONS [2834]
- **IRS NUMBER:** 000000000
- **STATE OF INCORPORATION:** DE
- **FISCAL YEAR END:** 1231

**FILING VALUES:**
- **FORM TYPE:** 8-K
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 001-36020
- **FILM NUMBER:** 23620046

**BUSINESS ADDRESS:**
- **STREET 1:** 375 PHEASANT RUN
- **CITY:** NEWTOWN
- **STATE:** PA
- **ZIP:** 18940
- **BUSINESS PHONE:** 267-759-3681

**MAIL ADDRESS:**
- **STREET 1:** 375 PHEASANT RUN
- **CITY:** NEWTOWN
- **STATE:** PA
- **ZIP:** 18940

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** ONCONOVA THERAPEUTICS, INC.
- **DATE OF NAME CHANGE:** 20090526

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** ONCONOVA THERAPEUTICS INC
- **DATE OF NAME CHANGE:** 20001226

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

**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): **February 13, 2023**

**Onconova Therapeutics, Inc.**

(Exact name of Registrant as specified in its charter)

---

| | | |
|:---|:---|:---|
| **Delaware** | **001-36020** | **22-3627252** |
| (State or Other Jurisdiction<br> of Incorporation or Organization) | (Commission<br> File Number) | (I.R.S. Employer<br> Identification No.) |

---

---

| |
|:---|
| **12 Penns Trail**<br> **Newtown, PA 18940** |
| **(267) 759-3680** |

---

(Address, Including Zip Code, and Telephone Number, Including Area Code, of Registrant's Principal Executive Offices)

**Not Applicable** 

(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 (17CFR 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:

---

| | | |
|:---|:---|:---|
| **Title of each class** | **Trading Symbol(s)** | **Name of each exchange on which registered** |
| Common Stock, par value $.01 per share | ONTX | The Nasdaq Stock Market LLC |

---

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 ◻

---

| | |
|:---|:---|
| **Item 8.01.** | **Other Events.** |

---

On February 13, 2023, Onconova Therapeutics, Inc. (the "Company") received a letter from The Nasdaq Stock Market LLC ("Nasdaq") stating that the Company had regained compliance with the minimum bid price requirement of the Nasdaq Listing Rule 5550(a)(2) because the Company's common stock had a minimum closing price of at least $1.00 per share for a minimum ten consecutive business days. A copy of Nasdaq's letter is attached as Exhibit 99.1 to this report.

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

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(d) <u>Exhibits</u>.

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| | |
|:---|:---|
| **Exhibit** |  |
| **No.** | **Description** |
| [99.1](tm236657d1_ex99-1.htm) | [Letter from Nasdaq Dated February 13, 2023](tm236657d1_ex99-1.htm) |
| 104 | Cover page Interactive Data file (embedded with the inline XBRL document) |

---

**SIGNATURE**

Pursuant to the requirements of the Securities Exchange Act of 1934, as amended, the Registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.

---

| | | | |
|:---|:---|:---|:---|
| Dated: February 13, 2023 | Onconova Therapeutics, Inc. | Onconova Therapeutics, Inc. | Onconova Therapeutics, Inc. |
|  | By: | /s/ MARK GUERIN | /s/ MARK GUERIN |
|  |  | Name: | Mark Guerin |
|  |  | Title: | Chief Operating and Chief Financial Officer |

---

## Exhibit 99.1

**Exhibit 99.1**

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| | |
|:---|:---|
| ![](tm236657d1_ex99-1img001.jpg) | ![](tm236657d1_ex99-1img002.jpg) |

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*<u>Sent via Electronic Delivery to: mguerin@onconova.us</u>*

February 13, 2023

Mr. Mark Guerin

Chief Operating Officer & Chief Financial Officer

Onconova Therapeutics, Inc.

12 Penns Trail

Newtown, PA 18940

Re: Onconova Therapeutics, Inc. (the "Company") <br> Nasdaq Security: Common Stock

Nasdaq Symbol: ONTX

Dear Mr. Guerin:

On November 7, 2022, Staff notified the Company that its common stock failed to maintain a minimum bid price of $1.00 over the previous 30 consecutive business days as required by the Listing Rules of The Nasdaq Stock Market. Since then, Staff has determined that for the last 10 consecutive business days, from January 30, 2023 to February 10, 2023, the closing bid price of the Company's common stock has been at $1.00 per share or greater. Accordingly, the Company has regained compliance with Listing Rule 5550(a)(2) and this matter is now closed.

If you have any questions, please contact Patryk Muter, Listing Analyst, at +1 301 978 8085.

Sincerely,

/s/ Ellen Ignacio

Ellen Ignacio

Nasdaq Listing Qualifications

![](tm236657d1_ex99-1img003.jpg)