Form 6-K Tiziana Life Sciences For: Sep 28

September 28, 2021 6:15 AM EDT

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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

 

September 2021

 

 

 

Commission File Number:  001-38723

 

 

 

Tiziana Life Sciences plc

(Exact Name of Registrant as Specified in Its Charter)

 

 

 

3rd Floor,

11-12 St James’s Square

London SW1Y 4LB

United Kingdom

(Address of registrant’s principal executive office)

 

 

 

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): 

 

 

 

 

 


 

INFORMATION CONTAINED IN THIS REPORT ON FORM 6-K

 

On September 28, 2021, Tiziana Life Sciences plc (the “Company”) issued a regulatory news service announcement in the United Kingdom announcing a PDMR Dealing (the “RNS Announcement”).

 

The RNS Announcement is furnished herewith as Exhibit 99.1 to this Report on Form 6-K. The information in the attached Exhibit 99.1 is being furnished and shall not be deemed “filed” for the purposes of Section 18 of the Securities Exchange Act of 1934, or otherwise subject to the liabilities of that Section, nor shall it be deemed incorporated by reference in any filing made by the Company under the Securities Act of 1933, as amended, or the Securities Exchange Act of 1934, except as otherwise set forth herein or as shall be expressly set forth by specific reference in such a filing.

 

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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, thereunto duly authorized.

 

  TIZIANA LIFE SCIENCES PLC
       
Date: September 28, 2021 By: /s/ Kunwar Shailubhai
    Name:  Kunwar Shailubhai
    Title: Chief Executive Officer

 

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EXHIBIT INDEX

 

Exhibit No.   Description
     
99.1   Regulatory News Service Announcement, dated September 28, 2021

 

 

3

 

Exhibit 99.1

 

PDMR Dealing

 

London, New York, 28 September 2021 - Tiziana Life Sciences plc (Nasdaq: TLSA / AIM: TILS) (“Tiziana” or the “Company”), a biotechnology company focused on innovative therapeutics for oncology, inflammation and infectious diseases, today announces that it has been notified that Panetta Partners Limited, an entity in which Gabriele Cerrone, the Executive Chairman has a beneficial interest, purchased 100,000 ordinary shares of 3p each in the market at a price of 52p per share.

 

The acquisition takes Mr Cerrone’s interests from 34.078% to 34.129% (within the 1% incremental threshold under Note 11 to Rule 9 of the UK Takeover Code).

 

1.

Details of PDMR / person closely associated
a) Name Gabriele Cerrone
2. Reason for the notification
a) Position / status Chairman
b) Initial notification /amendment Initial notification
3. Details of the issuer
a) Name Tiziana Life Sciences plc
b) LEI 213800CED47HI8PIOB36
4. Details of the transaction(s): section to be repeated for (i) each type of instrument; (ii) each type  of transaction; (iii) each date; and (iv) each place where transactions have  been conducted
a) Description of the financial instrument Ordinary Shares of 3p each
b) Identification code of the Financial Instrument ISIN for Tiziana Life Sciences plc: GB00BKWNZY55
c) Nature of the transaction Market Purchase
d) Price(s) and volume(s)

52p

100,000

f) Date of the transaction 27 September 2021
g) Place of the transaction XLON  

 

About Tiziana Life Sciences

 

Tiziana Life Sciences plc is a dual listed (NASDAQ:TLSA, UK LSE: TILS) biotechnology company that focuses on the discovery and development of novel molecules to treat human diseases in oncology, inflammation and infectious diseases. In addition to Milciclib, the Company will be shortly initiating Phase 2 studies with orally administered Foralumab for Crohn’s Disease and nasally administered Foralumab for progressive multiple sclerosis. Foralumab is the only fully human anti-CD3 monoclonal antibody (“mAb”) in clinical development in the world. This Phase 2 compound has potential application in a wide range of autoimmune and inflammatory diseases, such as Crohn’s Disease, multiple sclerosis, type-1 diabetes (“T1D”), inflammatory bowel disease (“IBD”), psoriasis and rheumatoid arthritis, where modulation of a T-cell response is desirable. The Company is accelerating development of anti-Interleukin 6 receptor (“IL6R”) mAb, a fully human monoclonal antibody for treatment of IL6-induced inflammation, especially for treatment of COVID-19 patients.

 

For further enquiries:

 

For further enquiries:

 

Tiziana Life Sciences plc +44 (0)20 7495 2379  
Gabriele Cerrone, Chairman, and founder  
 
United States:  
Investors:  
Dave Gentry, CEO  
RedChip Companies Inc.  
407-491-4498  
dave@redchip.com  

 



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