# EDGAR Filing Document

**Accession Number:** 0001787400
**File Stem:** 0000950170-23-000520
**Filing Date:** 2023-1
**Character Count:** 11444
**Document Hash:** c0cf5f1aa545dd8a1645f1b985bb4ae7
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0000950170-23-000520.hdr.sgml**: 20230109

**ACCESSION NUMBER**: 0000950170-23-000520

**CONFORMED SUBMISSION TYPE**: 8-K

**PUBLIC DOCUMENT COUNT**: 14

**CONFORMED PERIOD OF REPORT**: 20230109

**ITEM INFORMATION**: Regulation FD Disclosure

**ITEM INFORMATION**: Financial Statements and Exhibits

**FILED AS OF DATE**: 20230109

**DATE AS OF CHANGE**: 20230109

**FILER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** Nkarta, Inc.
- **CENTRAL INDEX KEY:** 0001787400
- **STANDARD INDUSTRIAL CLASSIFICATION:** PHARMACEUTICAL PREPARATIONS [2834]
- **IRS NUMBER:** 474515206
- **STATE OF INCORPORATION:** DE
- **FISCAL YEAR END:** 1231

**FILING VALUES:**
- **FORM TYPE:** 8-K
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 001-39370
- **FILM NUMBER:** 23518649

**BUSINESS ADDRESS:**
- **STREET 1:** 6000 SHORELINE COURT
- **STREET 2:** SUITE 102
- **CITY:** SOUTH SAN FRANCISCO
- **STATE:** CA
- **ZIP:** 94080
- **BUSINESS PHONE:** 415-582-4923

**MAIL ADDRESS:**
- **STREET 1:** 6000 SHORELINE COURT
- **STREET 2:** SUITE 102
- **CITY:** SOUTH SAN FRANCISCO
- **STATE:** CA
- **ZIP:** 94080

?xml version="1.0" encoding="ASCII"? 8-K

**UNITED STATES**

**SECURITIES AND EXCHANGE COMMISSION**

**WASHINGTON, D.C. 20549** 

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**FORM** 8-K

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**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

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Nkarta, Inc.

**(Exact name of Registrant as Specified in Its Charter)** 

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| | | |
|:---|:---|:---|
| Delaware | 001-39370 | 47-4515206 |
| **(State or Other Jurisdiction**<br>**of Incorporation)** | **(Commission File Number)** | **(IRS Employer**<br>**Identification No.)** |
| 6000 Shoreline Court**,** Suite 102<br>South San Francisco**,** CA |  | 94080 |
| **(Address of Principal Executive Offices)** |  | **(Zip Code)** |

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**Registrant's Telephone Number, Including Area Code: (**415**)** 582-4923

**Not Applicable** 

**(Former Name or Former Address, if Changed Since Last Report)** 

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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**<br>**Symbol(s)** | **Name of each exchange on which registered** |
| Common Stock, $0.0001 par value per share | NKTX<br>| The Nasdaq Stock Market LLC<br>(Nasdaq Global Select 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. ☒

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**Item. 7.01 Regulation FD Disclosure.**

On January 9, 2023, Nkarta, Inc. (the "Company") issued a press release announcing the promotion of David R. Shook, M.D. to Chief Medical Officer. A copy of the press release is attached hereto as Exhibit 99.1 and incorporated by reference herein.

The information in Item 7.01 of this Current Report on Form 8-K (including Exhibit 99.1) shall not be deemed "filed" for purposes of Section 18 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), or otherwise subject to the liabilities of that section, nor shall it be, or be deemed, incorporated by reference in any filings under the Securities Act of 1933, as amended (the "Securities Act"), unless the Company specifically states that the information is to be considered "filed" under the Exchange Act or incorporates it by reference into a filing under the Securities Act or the Exchange Act.

**Item 9.01 Financial Statements and Exhibits.**

(d) Exhibits.

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| | |
|:---|:---|
| **Exhibit**<br>**Number** | **Description** |
| 99.1 | [<u>Press Release issued on January 9, 2023.</u>](nktx-ex99_1.htm) |

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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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| | | |
|:---|:---|:---|
|  | Nkarta, Inc. | Nkarta, Inc. |
| Date: January 9, 2023 | By: | /s/ Alicia Hager |
|  |  | **Alicia J. Hager, J.D., Ph.D.** |
|  |  | **Chief Legal Officer** |

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## Exhibit 99.1

**Exhibit 99.1**

![img220989892_0.jpg](img220989892_0.jpg)

**Nkarta Promotes David R. Shook, M.D., to Chief Medical Officer**

SOUTH SAN FRANCISCO, Calif., January 9, 2023 -- Nkarta, Inc. (Nasdaq: NKTX), a clinical-stage biopharmaceutical company developing engineered natural killer (NK) cell therapies to treat cancer, today announced the promotion of David R. Shook, M.D., to the role of Chief Medical Officer. Dr. Shook has extensive expertise in cell therapy development and continues to lead Nkarta's global clinical development and regulatory operations.

"Dave has been a driving force behind the development and execution of Nkarta's clinical strategy using off-the-shelf NK cell therapeutics since he joined our organization," said Paul J. Hastings, President and CEO of Nkarta. "His expertise in the biology and engineering of NK cells, clinical development experience, and proven leadership will strengthen our mission to bring life-changing cell therapies to patients."

An early pioneer of NK cell therapy, Dr. Shook joined Nkarta in 2020 and was appointed as Vice President, Clinical Development in 2022. Prior to joining Nkarta, he designed and led multiple first-in-human cell therapy clinical trials, including the use of CD19 CAR-NK cells, and he remains a practicing pediatric oncologist and transplant physician. He was a fellow, fellowship director and faculty member at St. Jude Children's Research Hospital, where he conducted research in the laboratory of Dario Campana, M.D., Ph.D., Nkarta's scientific founder. Dr. Campana and Dr. Shook co-developed the membrane bound form of interleukin-15 (IL-15), a key component of Nkarta's engineered NK cell platform technology. He received an M.D. from The Johns Hopkins University School of Medicine and a B.S. from Purdue University.

"Our advanced technology platform and highly scalable manufacturing process has culminated in ongoing clinical programs advancing two first-in-class cell therapy candidates, each with early compelling data. Nkarta is well positioned to lead the next generation of cell therapies and make a meaningful impact on underserved therapeutic areas, harnessing the potential safety and dosing advantages of NK cells," said Dr. Shook. "I'm excited to continue working with our talented clinical team, investigators, and my fellow leaders at Nkarta to realize the profound potential of our programs to transform patient care."

**About Nkarta**<br>Nkarta is a clinical-stage biotechnology company advancing the development of allogeneic, off-the-shelf natural killer (NK) cell therapies for patients with cancer. By combining its cell expansion and cryopreservation platform with proprietary cell engineering technologies and CRISPR-based genome engineering capabilities, Nkarta is building a pipeline of future cell therapies engineered for deep anti-tumor activity and intended for broad access in the outpatient treatment setting. For more information, please visit the company's website at <u>www.nkartatx.com</u>.

**Cautionary Note on Forward-Looking Statements**

Statements contained in this press release regarding matters that are not historical facts are "forward-looking statements" within the meaning of the Private Securities Litigation Reform Act of 1995, as amended. Words such as "anticipates," "believes," "expects," "intends," "plans," "potential," "projects," "would," and "future" or

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similar expressions are intended to identify forward-looking statements. Examples of these forward-looking statements include statements concerning Nkarta's expectations regarding any or all of the following: the potential impact of executive appointments made by Nkarta; Nkarta's ability to advance its cell therapy candidates in the clinic and deliver them to patients; and the potential impact of Nkarta's cell therapy candidates on patients. Interim clinical data referenced in this press release were reported on April 25, 2022 (for NKX101) and December 5, 2022 (for NKX019) are subject to the risk that one or more of the clinical outcomes may materially change as patient enrollment continues and more data on existing patients become available.

Because forward looking statements are subject to risks and uncertainties, actual results may differ materially from those expressed or implied by such forward-looking statements. These risks and uncertainties include, among others: Nkarta's limited operating history and historical losses; Nkarta's lack of any products approved for sale and its ability to achieve profitability; the risk that the results of preclinical studies and early-stage clinical trials may not be predictive of future results; Nkarta's ability to raise additional funding to complete the development and any commercialization of its product candidates; Nkarta's dependence on the success of its co-lead product candidates, NKX101 and NKX019; that Nkarta may be delayed in initiating, enrolling or completing any clinical trials; competition from third parties that are developing products for similar uses; Nkarta's ability to obtain, maintain and protect its intellectual property; Nkarta's dependence on third parties in connection with manufacturing, clinical trials, and pre-clinical studies; the complexity of the manufacturing process for CAR NK cell therapies; the availability of components and supplies necessary for the conduct of our clinical trials; and risks relating to the impact on Nkarta's business of the COVID-19 pandemic or similar public health crises.

These and other risks are described more fully in Nkarta's filings with the Securities and Exchange Commission ("SEC"), including the "Risk Factors" section of Nkarta's Quarterly Report on Form 10-Q for the quarter ended September 30, 2022, filed with the SEC on November 9, 2022, and Nkarta's other documents subsequently filed with or furnished to the SEC. All forward-looking statements contained in this press release speak only as of the date on which they were made. Except to the extent required by law, Nkarta undertakes no obligation to update such statements to reflect events that occur or circumstances that exist after the date on which they were made.

**Nkarta Media/Investor Contact:**

Greg Mann

Nkarta, Inc.

gmann@nkartatx.com

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