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Pursuant to Section 13 or 15(d) of the

Securities Exchange Act of 1934


Date of report (Date of earliest event reported): March 28, 2022


Avenue Therapeutics, Inc.

(Exact Name of Registrant as Specified in Charter)


(State or Other Jurisdiction
of Incorporation)

(Commission File Number)


(IRS Employer Identification No.)



1140 Avenue of the Americas, Floor 9

New York, New York 10036

(Address of Principal Executive Offices)


(781) 652-4500

(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 the registrant under any of the following provisions:


¨ Written communications pursuant to Rule 425 under the Securities Act.
¨ Soliciting material pursuant to Rule 14a-12 under the Exchange Act.
¨ Pre-commencement communications pursuant to Rule 14d-2b under the Exchange Act.
¨ Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act.


Securities registered pursuant to Section 12(b) of the Exchange Act:


Title of Class   Trading Symbol(s)   Exchange Name
Common Stock   ATXI   Nasdaq Capital Market


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 x


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. x







Item 5.02 Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers.


On March 28, 2022, Lucy Lu, M.D. notified Avenue Therapeutics, Inc. (the “Company”) that she was resigning from her role as the Company’s President and Chief Executive Officer, and from her position as a member of the Company’s Board of Directors, effective in each case as of March 31, 2022, in order to pursue an opportunity outside of the Company.  Dr. Lu did not resign from these positions as a result of any disagreement with the Company on any matter relating to the Company’s operations, financial reporting or controls.  The Company has entered into a consulting arrangement with Dr. Lu effective March 31, 2022.


David Jin, who was previously serving as the Company’s Chief Operating Officer, will begin acting as the Company’s interim principal executive officer as of March 31, 2022.  


The Company continues to evaluate potential strategic transaction options for the Company.







Pursuant to the requirements of the Securities Exchange Act of 1934, as amended, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.



Date: March 30, 2022

  By: /s/ Lindsay A. Rosenwald, M.D.
  Name: Lindsay A. Rosenwald, M.D.
  Title: Executive Chairman of the Board of Directors