UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

 

 

Form 6-K

 

Report of Foreign Private Issuer

Pursuant to Rule 13a-16 or 15d-16

under the Securities Exchange Act of 1934

 

For the month of February 2023

 

Commission File Number: 001-40106

 

4D pharma plc

(Translation of Registrant’s name into English)

 

5th Floor, 9 Bond Court

Leeds

LS1 2JZ

United Kingdom

Tel: +44 (0) 113 895 013

 

(Address of principal executive offices)

 

 

Indicate by check mark whether the registrant files or will file annual reports under cover of Form 20-F or Form 40-F. Form 20-F ☒ Form 40-F ☐

 

Indicate by check mark if the registrant is submitting the Form 6-K in paper as permitted by Regulation S-T Rule 101(b)(1): ___

 

Indicate by check mark if the registrant is submitting the Form 6-K in paper as permitted by Regulation S-T Rule 101(b)(7): ___

 

 

 

On February 16, 2023, a regulatory news service announcement titled “Notice of Cancellation of Admission to Trading on AIM” was published regarding the cancellation of the 4D pharma plc (the “Company,” “4D,” “4D pharma,” “we,” “us” or “our”) ordinary shares from admission to trading on the Alternative Investment Market (“AIM”).

 

A copy of the announcement is attached as Exhibit 99.1 to this current report on Form 6-K and is incorporated by reference herein. This announcement is incorporated by reference into the registration statements on Form F-3 (File No. 333-263372 and File No. 333-264419) of 4D pharma plc, filed with the U.S. Securities and Exchange Commission, to be a part thereof from the date on which this announcement is submitted, to the extent not superseded by documents or reports subsequently filed or furnished.

 

 

INDEX TO EXHIBITS

 

Exhibit Number		Exhibit Title
99.1		Announcement, dated February 16, 2023.

 

 

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, thereunto duly authorized.

 

	4D pharma plc
Date: February 23, 2023	/s/ James Clark
	James Clark
	Administrator

 

 

Exhibit 99.1

 

RNS Number : 0605Q

AIM

16 February 2023

 

NOTICE

 

16/02/2023 - 07:00

 

NOTICE OF CANCELLATION OF ADMISSION TO TRADING ON AIM

 

Pursuant to AIM Rule 41 the following securities have been cancelled from trading on AIM with effect from the time and date of this notice.

 

4D PHARMA PLC
213800O49VYSXWE2ZD52
ORDINARY SHARES OF 0.25P EACH, FULLY PAID		(BJL5BR0)(GB00BJL5BR07)		4D PHAR/PAR VTG FPD 0.0025

 

If you have any queries or require further information, please contact the company’s nominated adviser.

 

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END

 

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