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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): May 11, 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 5.02Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers.


On May 11, 2022, Avenue Therapeutics, Inc. (the “Company”) appointed David Jin as the Company’s Interim Principal Financial Officer. Mr. Jin is also serving as the Company’s Interim Principal Executive Officer and Chief Operating Officer.


Mr. Jin, 32, also serves as Vice President of Corporate Development at Fortress Biotech (“Fortress”). Prior to Fortress, he was a member of the Private Equity group at Barings focused on control equity and asset-based investments in pharma and biotech. Before that, he was Director of Corporate Development at Sorrento Therapeutics, Inc. (Nasdaq: SRNE) and Vice President of Healthcare Investment Banking at FBR & Co. He began his career in management consulting at IMS Health (now IQVIA). Mr. Jin has a Bachelor of Science degree in Industrial Engineering & Management Sciences with a double-major in Mathematical Methods in the Social Sciences from Northwestern University.


No family relationships exist between Mr. Jin and any of the Company’s directors or executive officers. There are no arrangements between Mr. Jin and any other person pursuant to which Mr. Jin was selected as the Company’s Interim Principal Financial Officer, nor are there any transactions to which the Company is or was a participant and in which Mr. Jin has a material interest subject to disclosure under Item 404(a) of Regulation S-K.







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: May 13, 2022

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