# EDGAR Filing Document

**Accession Number:** 0001708493
**File Stem:** 0001193125-23-088198
**Filing Date:** 2023-3
**Character Count:** 9222
**Document Hash:** 0d6734f583f9158d4cfd391851cd0832
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001193125-23-088198.hdr.sgml**: 20230331

**ACCESSION NUMBER**: 0001193125-23-088198

**CONFORMED SUBMISSION TYPE**: 8-K

**PUBLIC DOCUMENT COUNT**: 12

**CONFORMED PERIOD OF REPORT**: 20230329

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

**FILED AS OF DATE**: 20230331

**DATE AS OF CHANGE**: 20230331

**FILER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** Harpoon Therapeutics, Inc.
- **CENTRAL INDEX KEY:** 0001708493
- **STANDARD INDUSTRIAL CLASSIFICATION:** BIOLOGICAL PRODUCTS (NO DIAGNOSTIC SUBSTANCES) [2836]
- **IRS NUMBER:** 473458693
- **STATE OF INCORPORATION:** DE
- **FISCAL YEAR END:** 1231

**FILING VALUES:**
- **FORM TYPE:** 8-K
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 001-38800
- **FILM NUMBER:** 23788515

**BUSINESS ADDRESS:**
- **STREET 1:** 131 OYSTER POINT BOULEVARD
- **STREET 2:** SUITE 300
- **CITY:** SOUTH SAN FRANCISCO
- **STATE:** CA
- **ZIP:** 94080
- **BUSINESS PHONE:** 650-443-7400

**MAIL ADDRESS:**
- **STREET 1:** 131 OYSTER POINT BOULEVARD
- **STREET 2:** SUITE 300
- **CITY:** SOUTH SAN FRANCISCO
- **STATE:** CA
- **ZIP:** 94080

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

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### 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): March 29, 2023

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## Harpoon Therapeutics, Inc.

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

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| | | |
|:---|:---|:---|
| **Delaware** | **001-38800** | **47-3458693** |
| **(State or Other Jurisdiction**<br> **of Incorporation)** | **(Commission<br>File Number)** | **(IRS Employer**<br> **Identification No.)** |

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| | |
|:---|:---|
| **131 Oyster Point Blvd, Suite 300**<br> **South San Francisco, California** | **94080** |
| **(Address of Principal Executive Offices)** | **(Zip Code)** |

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(650) 443-7400

#### (Registrant's Telephone Number, Including Area Code)

#### 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 (see General Instructions A.2. below):

☐ 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<br>on which registered** |
| Common stock, par value $0.0001 per share | HARP | 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 3.01 Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing.
On March 29, 2023, Harpoon Therapeutics, Inc., a Delaware corporation (the "Company"), received a notification letter (the "Bid Price Notice") from the Listing Qualifications Staff (the "Nasdaq Staff") of the Nasdaq Stock Market LLC ("Nasdaq") notifying the Company that for the last 30 consecutive business days, the bid price of the Company's common stock had closed below $1.00 per share, the minimum closing bid price required by the continued listing requirements of Nasdaq Listing Rule 5450(a)(1).

The Bid Price Notice has no immediate effect on the listing of the Company's common stock on the Nasdaq Global Select Market. In accordance with Nasdaq Listing Rule 5810(c)(3)(A), the Company has 180 calendar days, or until September 25, 2023 (the "Compliance Date"), to regain compliance with the minimum bid price requirement. To regain compliance, the closing bid price of the Company's common stock must be at least $1.00 per share for a minimum of ten consecutive business days before the Compliance Date.

If the Company's common stock does not achieve compliance by the Compliance Date, the Company may be eligible for an additional 180-day period to regain compliance if it meets the continued listing requirement for market value of publicly held shares and all other initial listing standards, with the exception of the bid price requirement, and provides written notice to Nasdaq of its intention to cure the deficiency during the second compliance period by effecting a reverse stock split, if necessary.

The Company intends to actively monitor the closing bid price of its common stock between now and the Compliance Date and will evaluate available options to resolve the deficiency and regain compliance with the minimum bid price rule.

On March 30, 2023, the Company received a notification letter (the "Stockholders' Equity Notice") from the Nasdaq Staff indicating that the Company's stockholders' equity of $5,399,000, as reported in its Annual Report on Form 10-K for the year ended December 31, 2022, does not satisfy Nasdaq's continued listing requirement set forth in Nasdaq Listing Rule 5450(b)(1)(A), which requires companies listed on the Nasdaq Global Select Market to maintain a minimum of $10,000,000 in stockholders' equity.

The Stockholders' Equity Notice also has no immediate effect on the listing of the Company's common stock on the Nasdaq Global Select Market. The Company has 45 calendar days from the date of the Stockholders' Equity Notice to submit to Nasdaq a plan to regain compliance with Nasdaq Listing Rule 5450(b)(1)(A), or the Company may choose to transfer the listing of its common stock to the Nasdaq Capital Market. The Company is in the process of reviewing potential actions and responses regarding the non-compliance set forth in the Stockholders' Equity Notice and currently anticipates timely submitting a plan to Nasdaq. If the Company's plan is accepted, Nasdaq may grant an extension of up to 180 calendar days from March 30, 2023 for the Company to provide evidence of compliance. If the plan is not accepted or the Company is not granted an extension, the Company will then consider actions appropriate to the circumstances, which may include applicable appeals to a Nasdaq Listing Qualifications Panel.

*Cautionary Note on Forward-Looking Statements* 

This Current Report on Form 8-K contains forward-looking statements within the meaning of the Private Securities Litigation Reform Act of 1995. Words such as "anticipate," "expect," "intend," "may," "will," and similar expressions (as well as other words or expressions referencing future events, conditions or circumstances) are intended to identify forward-looking statements. All statements other than statements of historical fact contained in this Current Report on Form 8-K are forward-looking statements, including statements regarding the Company's expectations regarding its ability to increase its stockholders' equity and the Company's intention to submit a plan to Nasdaq within the 45-calendar day period. These forward-looking statements are based on the Company's expectations and assumptions as of the date of this Current Report on Form 8-K. Each of these forward-looking statements are subject to risks and uncertainties that could cause results and events to differ significantly from those expressed or implied by the forward-looking statements. Many factors that may cause the Company's actual results to differ from those expressed or implied in the forward-looking statements in this Current Report on Form 8-K are discussed in the Company's filings with the U.S. Securities and Exchange Commission, including

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under "Risk Factors" in the Company's Annual Report on Form 10-K for the year ended December 31, 2022 and future filings by the Company. Except as required by law, the Company assumes no obligation to update any forward-looking statements contained herein to reflect any change in expectations, even as new information becomes available.

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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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| | | |
|:---|:---|:---|
|  | **Harpoon Therapeutics, Inc.** | **Harpoon Therapeutics, Inc.** |
| Date: March 31, 2023 | By: | /s/ Julie Eastland |
|  |  | Julie Eastland |
|  |  | President and Chief Executive Officer |

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