# EDGAR Filing Document

**Accession Number:** 0000748592
**File Stem:** 0001140361-23-001223
**Filing Date:** 2023-1
**Character Count:** 5067
**Document Hash:** abb6904f62fab0f39a7a11e76cafa14b
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001140361-23-001223.hdr.sgml**: 20230110

**ACCESSION NUMBER**: 0001140361-23-001223

**CONFORMED SUBMISSION TYPE**: 8-K

**PUBLIC DOCUMENT COUNT**: 12

**CONFORMED PERIOD OF REPORT**: 20230109

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

**FILED AS OF DATE**: 20230110

**DATE AS OF CHANGE**: 20230110

**FILER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** Eterna Therapeutics Inc.
- **CENTRAL INDEX KEY:** 0000748592
- **STANDARD INDUSTRIAL CLASSIFICATION:** PHARMACEUTICAL PREPARATIONS [2834]
- **IRS NUMBER:** 311103425
- **STATE OF INCORPORATION:** DE
- **FISCAL YEAR END:** 1231

**FILING VALUES:**
- **FORM TYPE:** 8-K
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 001-11460
- **FILM NUMBER:** 23521480

**BUSINESS ADDRESS:**
- **STREET 1:** 1035 CAMBRIDGE STREET
- **STREET 2:** SUITE 18A
- **CITY:** CAMBRIDGE
- **STATE:** MA
- **ZIP:** 02141
- **BUSINESS PHONE:** (212) 582-1199

**MAIL ADDRESS:**
- **STREET 1:** 10531 4S COMMONS DRIVE
- **STREET 2:** SUITE 166-550
- **CITY:** SAN DIEGO
- **STATE:** CA
- **ZIP:** 92127

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** Brooklyn ImmunoTherapeutics, Inc.
- **DATE OF NAME CHANGE:** 20210325

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** NTN BUZZTIME INC
- **DATE OF NAME CHANGE:** 20051230

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** NTN COMMUNICATIONS INC
- **DATE OF NAME CHANGE:** 19920703

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#### 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): **January 9, 2023**

## Eterna Therapeutics Inc.
*(Exact Name of Registrant as Specified in its Charter)*

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| | | |
|:---|:---|:---|
| **Delaware**<br>| **001-11460**<br>| **31-1103425**<br>|
| *(State or Other Jurisdiction of Incorporation)* | *(Commission File Number)* | *(IRS Employer Identification No.)* |

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| | |
|:---|:---|
| **1035 Cambridge Street, Suite 18A** |  |
| **Cambridge, MA** | **02141**<br>|
| *(Address of Principal Executive Offices)* | *(Zip Code)* |

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Registrant's telephone number, including area code: **(212) 582-1199**

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 symbol** | **Name of each exchange on which registered** |
| Common Stock, par value $0.005 per share<br>| ERNA<br>| The Nasdaq Stock Market LLC<br>|

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Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 or Rule 12b-2 of the Securities Exchange Act of 1934:

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 reported, Eterna Therapeutics Inc. (the "<u>Company</u>") applied on January 2, 2023 to transfer the listing of its common stock, par value $0.005 per share (the "<u>common stock</u>"), from the Nasdaq Global Market to The Nasdaq Capital Market (the "<u>Transfer</u>").

On January 9, 2023, the Company received confirmation that the Staff of Nasdaq had approved the Transfer. As a result, the common stock will begin trading on The Nasdaq Capital Market effective with the open of trading on January 11, 2023. The common stock will continue to trade under the symbol "ERNA". The Nasdaq Capital Market operates in substantially the same manner as The Nasdaq Global Market, with issuers listed on The Nasdaq Capital Market tier required to meet certain financial and corporate governance requirements to qualify for continued listing.

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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.

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| | | |
|:---|:---|:---|
|  | Eterna Therapeutics Inc. | Eterna Therapeutics Inc. |
| Dated: January 10, 2023 | By: | /s/ Andrew Jackson |
|  |  | Andrew Jackson |
|  |  | Chief Financial Officer |

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