# EDGAR Filing Document

**Accession Number:** 0001733413
**File Stem:** 0001213900-23-018536
**Filing Date:** 2023-3
**Character Count:** 5608
**Document Hash:** 46da80a19cf9c1d2a928f68ac4b93aa5
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001213900-23-018536.hdr.sgml**: 20230308

**ACCESSION NUMBER**: 0001213900-23-018536

**CONFORMED SUBMISSION TYPE**: 8-K

**PUBLIC DOCUMENT COUNT**: 12

**CONFORMED PERIOD OF REPORT**: 20230302

**ITEM INFORMATION**: Regulation FD Disclosure

**FILED AS OF DATE**: 20230308

**DATE AS OF CHANGE**: 20230308

**FILER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** TFF Pharmaceuticals, Inc.
- **CENTRAL INDEX KEY:** 0001733413
- **STANDARD INDUSTRIAL CLASSIFICATION:** PHARMACEUTICAL PREPARATIONS [2834]
- **IRS NUMBER:** 824344737
- **STATE OF INCORPORATION:** DE
- **FISCAL YEAR END:** 1231

**FILING VALUES:**
- **FORM TYPE:** 8-K
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 001-39102
- **FILM NUMBER:** 23716159

**BUSINESS ADDRESS:**
- **STREET 1:** 2600 VIA FORTUNA, SUITE 360
- **CITY:** AUSTIN
- **STATE:** TX
- **ZIP:** 78746
- **BUSINESS PHONE:** 737-802-1973

**MAIL ADDRESS:**
- **STREET 1:** 2600 VIA FORTUNA, SUITE 360
- **CITY:** AUSTIN
- **STATE:** TX
- **ZIP:** 78746

?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): March 2, 2023**

**TFF PHARMACEUTICALS, INC.**

(Exact Name of Registrant as Specified in Its Charter)

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| | | |
|:---|:---|:---|
| **Delaware** | **001-39102** | **82-4344737** |
| (State or Other Jurisdiction <br> of Incorporation) | (Commission File Number) | (I.R.S. Employer<br> Identification Number) |
| <br> **1751 River Run, Suite 400**<br> **Fort Worth, Texas 76107** | <br> **1751 River Run, Suite 400**<br> **Fort Worth, Texas 76107** | <br> **1751 River Run, Suite 400**<br> **Fort Worth, Texas 76107** |
| (Address of principal executive offices) | (Address of principal executive offices) | (Address of principal executive offices) |

---

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| |
|:---|
| **(817) 438-6168** |
| (Registrant's telephone number, including area code) |

---

(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 obligations 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 240.14d-2(b)

☐ 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(s)** | **Name of each exchange on which registered** |
| Common stock: Par value $.001 | TFFP | Nasdaq Global Market |

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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 (§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. ☐

**Item 7.01 Regulation FD Disclosure**.

On March 2, 2023, TFF Pharmaceuticals, Inc. ("Company") received a notice of delisting (the "Notice") from the Nasdaq Stock Market, LLC. The Notice stated that the Company had fallen below compliance with respect to the continued listing standard set forth in Rule 5450(a)(1) of the Nasdaq Listing Rules because the closing bid price of the Company's common stock over the previous 30 consecutive trading-day period had fallen below $1.00 per share.

Pursuant to the notice and Rule 5810(c)(3)(A) of the Nasdaq Listing Rules, the Company has 180 days from the date of the Notice, or until August 29, 2023, to regain compliance with the minimum bid price requirement in Rule 5450(a)(1) by achieving a closing bid price for the Company's common stock of at least $1.00 per share over a minimum of 10 consecutive business days. If the Company's does not regain compliance with Rule 5450(a)(1) during the initial 180-day period, the Company may be eligible for additional time to regain compliance, subject to the Company's transfer to the Nasdaq Capital Market and compliance with the Nasdaq Capital Market's continued listing requirement for market value of publicly held shares and all other initial listing standards for The Nasdaq Capital Market, with the exception of the bid price requirement, and the Company's provision of certain undertakings to the Nasdaq. However, there can be no assurance that the Company will be afforded additional time to regain compliance with the minimum bid price requirement following the initial 180-day period. If the Company is unable to regain compliance with Nasdaq Listing Rule 5450(a)(1) in a timely manner, the Nasdaq will commence suspension and delisting procedures.

**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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| | |
|:---|:---|
|  | **TFF PHARMACEUTICALS, INC.** |
| Dated: March 8, 2023 | */s/ Kirk Coleman* |
|  | Kirk Coleman, |
|  | Chief Financial Officer |

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