# EDGAR Filing Document

**Accession Number:** 0000922247
**File Stem:** 0001437749-23-007419
**Filing Date:** 2023-3
**Character Count:** 5471
**Document Hash:** dcc4671f654fa793cfbc0a4d795034ae
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001437749-23-007419.hdr.sgml**: 20230321

**ACCESSION NUMBER**: 0001437749-23-007419

**CONFORMED SUBMISSION TYPE**: 8-K

**PUBLIC DOCUMENT COUNT**: 13

**CONFORMED PERIOD OF REPORT**: 20230321

**ITEM INFORMATION**: Other Events

**ITEM INFORMATION**: Financial Statements and Exhibits

**FILED AS OF DATE**: 20230321

**DATE AS OF CHANGE**: 20230321

**FILER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** Cyclo Therapeutics, Inc.
- **CENTRAL INDEX KEY:** 0000922247
- **STANDARD INDUSTRIAL CLASSIFICATION:** BIOLOGICAL PRODUCTS (NO DIAGNOSTIC SUBSTANCES) [2836]
- **IRS NUMBER:** 593029743
- **STATE OF INCORPORATION:** FL
- **FISCAL YEAR END:** 1231

**FILING VALUES:**
- **FORM TYPE:** 8-K
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 001-39780
- **FILM NUMBER:** 23750328

**BUSINESS ADDRESS:**
- **STREET 1:** 6714 NW 16TH STREET, SUITE B
- **CITY:** GAINESVILLE
- **STATE:** FL
- **ZIP:** 32653
- **BUSINESS PHONE:** 386-418-8060

**MAIL ADDRESS:**
- **STREET 1:** PO BOX 1180
- **CITY:** ALACHUA
- **STATE:** FL
- **ZIP:** 32616-1180

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** CTD HOLDINGS INC
- **DATE OF NAME CHANGE:** 20000913

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** CYCLODEXTRIN TECHNOLOGIES DEVELOPMENT INC
- **DATE OF NAME CHANGE:** 19941012

ctdh20230321_8k.htm

**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) **<u>March 21, 2023</u>**

**<u>CYCLO THERAPEUTICS, INC.</u>**

(Exact name of registrant as specified in charter)

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| | | |
|:---|:---|:---|
| **Nevada** | **000-25466** | **59-3029743** |
| (State or other Jurisdiction of Incorporation or Organization) | (Commission File Number) | (IRS Employer Identification No.) |

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| | |
|:---|:---|
| **6714 NW 16th Street, Suite B**, **Gainesville**, **Florida** | **32653** |
| (Address of Principal Executive Offices) | (zip code) |

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**<u>**<u>386</u>**-**<u>418-8060</u>**</u>**

(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 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(b) under the Exchange Act (17 CFR 240.14a-12(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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| | | |
|:---|:---|:---|
| **<u>Title of each class</u>** | **<u>Trading Symbol(s)</u>** | **<u>Name of each exchange on which registered</u>** |
| Common Stock, par value $.0001 per share | CYTH | The Nasdaq Stock Market LLC |
| Warrants to purchase Common Stock | CYTHW | The Nasdaq Stock Market LLC |

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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 (17 CFR §230.405) or Rule 12b-2 of the Securities Exchange Act of 1934 (17 CFR §240.12b-2).

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 8.01 Other Events.**

On March 21, 2023, Cyclo Therapeutics, Inc. (the "Company") reported that as a result of the completion of its previously announced registered direct offering of 930,000 shares of common stock at a purchase price per share of $1.61, and prefunded warrants to purchase up to an aggregate of 1,678,696 shares of common stock at a purchase price of $1.6099 per pre-funded warrant, which was completed on January 3, 2023 and provided the Company with net proceeds of approximately $3.7 million, the Company (i) became compliant with Nasdaq Listing Rule 5550(b)(1) (the "Minimum Equity Rule"), which requires companies listed on the Nasdaq Capital Market to maintain stockholders' equity of at least $2.5 million, and (ii) remains compliant with the Minimum Equity Rule as of the date hereof.

The Company understands that the Nasdaq Stock Market will continue to monitor the Company's compliance with the Minimum Equity Rule, and the Company may be subject delisting from Nasdaq in the future for failure to comply with such rule, including, without limitation, if the Company's Quarterly Report on Form 10-Q for the period ending March 31, 2023 indicates that the Company was not in compliance with the Minimum Equity Rule as of March 31, 2023.

**Item 9.01 Financial Statements and Exhibits.**

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

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| | |
|:---|:---|
| 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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| |
|:---|
| **Cyclo Therapeutics, Inc.** |
| Date: March 21, 2023 |
| By: <u>/s/ N. Scott Fine</u> |
| N. Scott Fine<br> Chief Executive Officer |

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