Основная статистика
| LEI | 549300HXUMV6VNCPEE05 |
| CIK | 810509 |
SEC Filings
All companies that sell securities in the United States must register with the Securities and Exchange Commission (SEC) and file reports on a regular basis.
These reports include company annual reports (10K, 10Q), news updates (8K), investor presentations (found in 8Ks), insider trades (form 4), ownership reports (13D, and 13G), and reports related to the specific securities sold, such as registration statements and prospectus. This page shows recent SEC filings related to Navidea Biopharmaceuticals, Inc.
SEC Filings (Chronological Order)
На этой странице представлен полный хронологический список документов SEC, за исключением документов о собственности, которые мы предоставляем в других местах.
| February 5, 2024 |
NAVB / Navidea Biopharmaceuticals, Inc. / Scott John K Jr. - SC 13D/A Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 17) Navidea Biopharmaceuticals, Inc. (Name of Issuer) Common Stock, par value $0.001 per share (Title of Class of Securities) 63937X202 (CUSIP Number) John K. Scott, Jr. 30 Blue Heron Drive Greenwood Village, Colorado 80121 Tel: (303) 399-6177 (Name, Address |
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| January 26, 2024 |
As filed with the Securities and Exchange Commission on January 26, 2024 As filed with the Securities and Exchange Commission on January 26, 2024 Registration Statement No. |
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| January 26, 2024 |
As filed with the Securities and Exchange Commission on January 26, 2024 As filed with the Securities and Exchange Commission on January 26, 2024 Registration Statement No. |
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| January 26, 2024 |
As filed with the Securities and Exchange Commission on January 26, 2024 As filed with the Securities and Exchange Commission on January 26, 2024 Registration Statement No. |
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| January 26, 2024 |
As filed with the Securities and Exchange Commission on January 26, 2024 As filed with the Securities and Exchange Commission on January 26, 2024 Registration Statement No. |
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| January 26, 2024 |
As filed with the Securities and Exchange Commission on January 26, 2024 As filed with the Securities and Exchange Commission on January 26, 2024 Registration Statement No. |
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| January 26, 2024 |
As filed with the Securities and Exchange Commission on January 26, 2024 As filed with the Securities and Exchange Commission on January 26, 2024 Registration Statement No. |
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| January 26, 2024 |
As filed with the Securities and Exchange Commission on January 26, 2024 As filed with the Securities and Exchange Commission on January 26, 2024 Registration Statement No. |
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| January 26, 2024 |
As filed with the Securities and Exchange Commission on January 26, 2024 As filed with the Securities and Exchange Commission on January 26, 2024 Registration No. |
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| January 26, 2024 |
As filed with the Securities and Exchange Commission on January 26, 2024 As filed with the Securities and Exchange Commission on January 26, 2024 Registration Statement No. |
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| January 26, 2024 |
As filed with the Securities and Exchange Commission on January 26, 2024 As filed with the Securities and Exchange Commission on January 26, 2024 Registration Statement No. |
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| January 26, 2024 |
As filed with the Securities and Exchange Commission on January 26, 2024 As filed with the Securities and Exchange Commission on January 26, 2024 Registration Statement No. |
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| January 26, 2024 |
As filed with the Securities and Exchange Commission on January 26, 2024 As filed with the Securities and Exchange Commission on January 26, 2024 Registration Statement No. |
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| January 26, 2024 |
As filed with the Securities and Exchange Commission on January 26, 2024 As filed with the Securities and Exchange Commission on January 26, 2024 Registration Statement No. |
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| January 26, 2024 |
As filed with the Securities and Exchange Commission on January 26, 2024 As filed with the Securities and Exchange Commission on January 26, 2024 Registration Statement No. |
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| January 26, 2024 |
OMB APPROVAL UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 OMB Number: 3235-0167 Expires: July 31, 2024 Estimated average burden hours per response............1.50 FORM 15 CERTIFICATION AND NOTICE OF TERMINATION OF REGISTRATION UNDER SECTION 12(g) OF THE SECURITIES EXCHANGE ACT OF 1934 OR SUSPENSION OF DUTY TO FILE REPORTS UNDER SECTIONS 13 AND 15(d) OF THE SECURITIES EXC |
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| January 26, 2024 |
As filed with the Securities and Exchange Commission on January 26, 2024 As filed with the Securities and Exchange Commission on January 26, 2024 Registration Statement No. |
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| January 16, 2024 |
NOTIFICATION OF THE REMOVAL FROM LISTING AND REGISTRATION OF THE STATED SECURITIES NYSE American LLC ("NYSE American" or the "Exchange") hereby notifies the Securities and Exchange Commission (the "Commission") of its intention to remove the entire class of Preferred Stock Purchase Rights (the "Rights") of Navidea Biopharmaceuticals, Inc. |
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| December 26, 2023 |
Exhibit FILING FEES. Calculation of Filing Fee Table …Form S-8……….. (Form Type) …………………………Navidea Biopharmaceuticals, Inc.………………………….. (Exact Name of Registrant as Specified in its Charter) Table 1: Newly Registered Securities Security Type Security Class Title Fee Calculation Rule Amount Registered(1) Proposed Maximum Offering Price Per Unit(2) Maximum Aggregate Offering Price Fee Rate Amount of |
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| December 26, 2023 |
As filed with the Securities and Exchange Commission on December 22, 2023 As filed with the Securities and Exchange Commission on December 22, 2023 Registration No. |
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| December 21, 2023 |
AMENDED AND RESTATED SECURED TERM NOTE EX-99.C 4 tm2333492d1ex99-c.htm EXHIBIT C Exhibit C AMENDED AND RESTATED SECURED TERM NOTE $1,326,400 Dublin, Ohio November 27, 2023 For Value Received, Navidea Biopharmaceuticals, Inc., a Delaware corporation with an address of 4995 Bradenton Ave #240, Dublin, OH 43017, (the “Borrower”) hereby promises to pay to the order of John K. Scott, Jr., an individual (the “Lender”) in the lawful money of |
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| December 21, 2023 |
loan and securities EXCHANGE AGREEMENT EX-99.A 2 tm2333492d1ex99-a.htm EXHIBIT A Exhibit A loan and securities EXCHANGE AGREEMENT THIS LOAN AND SECURITIES EXCHANGE AGREEMENT (this “Agreement”) is made effective as of the 27th day of November, 2023 (the “Effective Date”), by and between Navidea Biopharmaceuticals, Inc., a Delaware corporation (the “Company”), and John K. Scott, Jr., an individual residing in the State of Colorado (the “ |
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| December 21, 2023 |
NAVB / Navidea Biopharmaceuticals, Inc. / Scott John K Jr. - SC 13D/A Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 16) Navidea Biopharmaceuticals, Inc. (Name of Issuer) Common Stock, par value $0.001 per share (Title of Class of Securities) 63937X202 (CUSIP Number) John K. Scott, Jr. 30 Blue Heron Drive Greenwood Village, Colorado 80121 Tel: (303) 399-6177 With a Copy to |
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| December 21, 2023 |
SECOND AMENDMENT TO SECURITY AGREEMENT EX-99.D 5 tm2333492d1ex99-d.htm EXHIBIT D Exhibit D SECOND AMENDMENT TO SECURITY AGREEMENT THIS SECOND AMENDMENT TO SECURITY AGREEMENT (this “Amendment”), dated as of November 27, 2023, is made by and between Navidea Biopharmaceuticals, Inc., a Delaware corporation with an address of 4995 Bradenton Ave #240, Dublin, OH 43017 (“Debtor”) and John Kim Scott Jr., an individual (“Secured Party”). WHERE |
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| December 21, 2023 |
SECURED CONVERTIBLE PROMISSORY NOTE EX-99.B 3 tm2333492d1ex99-b.htm EXHIBIT B Exhibit B THIS SECURED CONVERTIBLE PROMISSORY NOTE AND THE SECURITIES INTO WHICH IT MAY BE CONVERTED HAVE NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE “SECURITIES ACT”), OR APPLICABLE STATE SECURITIES LAWS AND MAY NOT BE OFFERED, SOLD, TRANSFERRED, PLEDGED, OR HYPOTHECATED IN THE ABSENCE OF AN EFFECTIVE REGISTRATION STATEMENT UNDER |
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| December 1, 2023 |
Exhibit 99.1 Press Release Navidea Biopharmaceuticals, Inc. and Capital Royalty Partners II, L.P. Enter Binding Settlement Agreement and Mutual Release Navidea Biopharmaceuticals, Inc. and Capital Royalty Partners II, L.P. have entered into a binding settlement agreement and mutual release settling ongoing litigation. DUBLIN, Ohio, December 1, 2023 (BUSINESS WIRE) - Navidea Biopharmaceuticals, Inc |
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| December 1, 2023 |
SECOND AMENDMENT TO SECURITY AGREEMENT Exhibit 10.4 SECOND AMENDMENT TO SECURITY AGREEMENT THIS SECOND AMENDMENT TO SECURITY AGREEMENT (this “Amendment”), dated as of November 27, 2023, is made by and between Navidea Biopharmaceuticals, Inc., a Delaware corporation with an address of 4995 Bradenton Ave #240, Dublin, OH 43017 (“Debtor”) and John Kim Scott Jr., an individual (“Secured Party”). WHEREAS, Debtor and Secured Party are partie |
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| December 1, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (date of earliest event reported): November 27, 2023 NAVIDEA BIOPHARMACEUTICALS, INC. (Exact name of registrant as specified in its charter) Delaware 001-35076 31-1080091 (State or other jurisdiction (Commission (IRS E |
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| December 1, 2023 |
LOAN AND SECURITIES EXCHANGE AGREEMENT Exhibit 10.1 LOAN AND SECURITIES EXCHANGE AGREEMENT THIS LOAN AND SECURITIES EXCHANGE AGREEMENT (this “Agreement”) is made effective as of the 27th day of November, 2023 (the “Effective Date”), by and between Navidea Biopharmaceuticals, Inc., a Delaware corporation (the “Company”), and John K. Scott, Jr., an individual residing in the State of Colorado (the “Investor”). In consideration of the pre |
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| December 1, 2023 |
SECURED CONVERTIBLE PROMISSORY NOTE Exhibit 10.2 THIS SECURED CONVERTIBLE PROMISSORY NOTE AND THE SECURITIES INTO WHICH IT MAY BE CONVERTED HAVE NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE “SECURITIES ACT”), OR APPLICABLE STATE SECURITIES LAWS AND MAY NOT BE OFFERED, SOLD, TRANSFERRED, PLEDGED, OR HYPOTHECATED IN THE ABSENCE OF AN EFFECTIVE REGISTRATION STATEMENT UNDER THE ACT OR SUCH LAWS COVERING THE TRAN |
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| December 1, 2023 |
AMENDED AND RESTATED SECURED TERM NOTE Exhibit 10.3 AMENDED AND RESTATED SECURED TERM NOTE $1,326,400 Dublin, Ohio November 27, 2023 For Value Received, Navidea Biopharmaceuticals, Inc., a Delaware corporation with an address of 4995 Bradenton Ave #240, Dublin, OH 43017, (the “Borrower”) hereby promises to pay to the order of John K. Scott, Jr., an individual (the “Lender”) in the lawful money of the United States of America, at such p |
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| November 16, 2023 |
NAVIDEA BIOPHARMACEUTICALS, INC. 2023 EQUITY INCENTIVE PLAN Exhibit 10.1 NAVIDEA BIOPHARMACEUTICALS, INC. 2023 EQUITY INCENTIVE PLAN 1. Purpose; Eligibility. 1.1 General Purpose. The purpose of this 2023 Stock Incentive Plan (as it may be amended or restated from time to time, the “Plan”) of Navidea Biopharmaceuticals, Inc., a Delaware corporation (the “Company”), is to advance the interests of the Company’s stockholders by enhancing the Company’s ability |
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| November 16, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (date of earliest event reported): November 10, 2023 NAVIDEA BIOPHARMACEUTICALS, INC. (Exact name of registrant as specified in its charter) Delaware 001-35076 31-1080091 (State or other jurisdiction (Commission (IRS E |
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| November 14, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2023 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-35076 NAVID |
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| November 13, 2023 |
SCHEDULE 14A INFORMATION PROXY STATEMENT PURSUANT TO SECTION 14(A) OF THE SECURITIES EXCHANGE ACT OF 1934 (AMENDMENT NO. |
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| October 23, 2023 |
NOTIFICATION OF THE REMOVAL FROM LISTING AND REGISTRATION OF THE STATED SECURITIES NYSE American LLC ("NYSE American" or the "Exchange") hereby notifies the Securities and Exchange Commission (the "Commission") of its intention to remove the entire class of Common Stock (the "Security") of Navidea Biopharmaceuticals, Inc. |
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| October 5, 2023 |
SCHEDULE 14A INFORMATION PROXY STATEMENT PURSUANT TO SECTION 14(A) OF THE SECURITIES EXCHANGE ACT OF 1934 (AMENDMENT NO. |
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| September 15, 2023 |
SCHEDULE 14A INFORMATION PROXY STATEMENT PURSUANT TO SECTION 14(A) OF THE SECURITIES EXCHANGE ACT OF 1934 (AMENDMENT NO. |
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| September 7, 2023 |
September 7, 2023 VIA EDGAR United States Securities and Exchange Commission Division of Corporation Finance 100 F Street, N. |
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| August 29, 2023 |
As filed with the Securities and Exchange Commission on August 28, 2023 As filed with the Securities and Exchange Commission on August 28, 2023 Registration Statement No. |
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| August 29, 2023 |
Exhibit 107 Calculation of Filing Fee Tables S-3 (Form Type) Navidea Biopharmaceuticals, Inc. |
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| August 29, 2023 |
Exhibit 4.10 CERTIFICATE OF DESIGNATION OF PREFERENCES, RIGHTS AND LIMITATIONS OF SERIES I CONVERTIBLE PREFERRED STOCK OF NAVIDEA BIOPHARMACEUTICALS, INC. Pursuant to Section 151 of the General Corporation Law of the State of Delaware, Navidea Biopharmaceuticals, Inc., a corporation organized and existing under the General Corporation Law of the state of Delaware (the “Corporation”), does hereby s |
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| August 11, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2023 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-35076 NAVIDEA BI |
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| August 8, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (date of earliest event reported): August 3, 2023 NAVIDEA BIOPHARMACEUTICALS, INC. (Exact name of registrant as specified in its charter) Delaware 001-35076 31-1080091 (State or other jurisdiction (Commission (IRS Empl |
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| July 28, 2023 |
Exhibit 99.1 Press Release Navidea Biopharmaceuticals, Inc. Hires Craig A. Dais, CPA as Chief Financial Officer Following the Company’s Fix, Fund, Propel approach, Mr. Dais’s hire strengthens financial expertise, leadership, and oversight, along with continuing Navidea’s focus on advancing innovative technology to market. DUBLIN, Ohio, July 27, 2023 (BUSINESS WIRE) - Navidea Biopharmaceuticals, In |
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| July 28, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (date of earliest event reported): July 24, 2023 NAVIDEA BIOPHARMACEUTICALS, INC. (Exact name of registrant as specified in its charter) Delaware 001-35076 31-1080091 (State or other jurisdiction (Commission (IRS Emplo |
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| July 28, 2023 |
Offer Letter between Navidea Biopharmaceuticals, Inc. and Craig Dais dated July 26, 2023 Exhibit 10.1 July 26, 2023 Mr. Craig Dais Dear Craig, I am pleased to offer you the position of Chief Financial Officer for Navidea Biopharmaceuticals, Inc. (the "Company"). As the Chief Financial Officer, you will be responsible for tracking cash flow, analyzing strengths/weaknesses in the Company's finances and overseeing all aspects of its financial success. You will report directly to the Chie |
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| July 13, 2023 |
Exhibit 99.1 Press Release Navidea Biopharmaceuticals, Inc. Welcomes Dana J Moss, JD to Board of Directors; Amit Bhalla Steps Down In line with the Company’s Fix, Fund, Propel approach, Dana J Moss, JD joins Navidea’s Board, adding depth in legal advice, strategic business, life sciences and technology in support of stated strategy to advance innovative technology to market. Separately, Amit Bhall |
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| July 13, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (date of earliest event reported): July 11, 2023 NAVIDEA BIOPHARMACEUTICALS, INC. (Exact name of registrant as specified in its charter) Delaware 001-35076 31-1080091 (State or other jurisdiction (Commission (IRS Emplo |
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| July 6, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (date of earliest event reported): June 29, 2023 NAVIDEA BIOPHARMACEUTICALS, INC. (Exact name of registrant as specified in its charter) Delaware 001-35076 31-1080091 (State or other jurisdiction (Commission (IRS Emplo |
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| July 6, 2023 |
Exhibit 99.1 Press Release Navidea Biopharmaceuticals, Inc. Rejects Unsolicited Offer To Acquire Certain Assets Following the Company’s Fix, Fund, Propel approach, the proposal substantially undervalues Navidea and is not in the best interests of stockholders. DUBLIN, Ohio, June 30, 2023 (BUSINESS WIRE) - Navidea Biopharmaceuticals, Inc. (NYSE American: NAVB) (“Navidea” or the “Company”), a compan |
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| July 6, 2023 |
Letter Agreement dated June 29, 2023 between Navidea Biopharmaceuticals, Inc. and John K. Scott, Jr. Exhibit 10.1 June 29, 2023 John K. Scott, Jr. 4995 Bradenton Ave. Dublin, OH 43017 Re: Term Note dated April 10, 2022 Dear Kim, Reference is made to that certain Term Note issued to you on April 10, 2022 in the aggregate principal amount of $2.5 million. This letter agreement confirms that on the date hereof, we will repay $1,073,600 principal amount of the Term Note by issuing to you 12,200,000 s |
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| July 5, 2023 |
Letter Agreement between Navidea Biopharmaceuticals, Inc. and John K. Scott Jr. dated June 29, 2023. Exhibit A June 29, 2023 John K. Scott, Jr. 4995 Bradenton Ave. Dublin, OH 43017 Re: Term Note dated April 10, 2022 Dear Kim, Reference is made to that certain Term Note issued to you on April 10, 2022 in the aggregate principal amount of $2.5 million. This letter agreement confirms that on the date hereof, we will repay $1,073,600 principal amount of the Term Note by issuing to you 12,200,000 shar |
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| July 5, 2023 |
NAVB / Navidea Biopharmaceuticals Inc / Scott John K Jr. - SC 13D/A Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 15) Navidea Biopharmaceuticals, Inc. (Name of Issuer) Common Stock, par value $0.001 per share (Title of Class of Securities) 63937X202 (CUSIP Number) John K. Scott, Jr. 30 Blue Heron Drive Greenwood Village, Colorado 80121 Tel: (303) 399-6177 With a Copy to |
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| July 3, 2023 |
SCHEDULE 14A INFORMATION PROXY STATEMENT PURSUANT TO SECTION 14(A) OF THE SECURITIES EXCHANGE ACT OF 1934 (AMENDMENT NO. |
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| July 3, 2023 |
NAVB / Navidea Biopharmaceuticals Inc / Bain Irwin Allen - SC 13G/A Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G/A Under the Securities Exchange Act of 1934 (Amendment No. 2)* Navidea Biopharmaceuticals, Inc. (Name of Issuer) Common Stock, par value $0.001 per share (Title of Class of Securities) 63937X202 (CUSIP Number) June 21, 2023 (Date of Event which Requires Filing of this Statement) Check the appropriate box to design |
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| June 30, 2023 |
NAVB / Navidea Biopharmaceuticals Inc / Bain Irwin Allen - SC 13G/A Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G/A Under the Securities Exchange Act of 1934 (Amendment No. 1)* Navidea Biopharmaceuticals, Inc. (Name of Issuer) Common Stock, par value $0.001 per share (Title of Class of Securities) 63937X202 (CUSIP Number) June 19, 2023 (Date of Event which Requires Filing of this Statement) Check the appropriate box to design |
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| June 16, 2023 |
Exhibit 10.1 Execution Copy SECOND AMENDMENT TO ASSET PURCHASE AGREEMENT This Second Amendment to Asset Purchase Agreement, dated as of June 14, 2023 (this “Second Amendment”), is between Cardinal Health 414, LLC, a Delaware limited liability company (“Buyer”), and Navidea Biopharmaceuticals, Inc., a Delaware corporation (“Seller”), and amends that certain Asset Purchase Agreement, dated November |
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| June 16, 2023 |
Exhibit 3.1 CERTIFICATE OF DESIGNATION OF SERIES K PREFERRED STOCK OF NAVIDEA BIOPHARMACEUTICALS, INC. Pursuant to Section 151 of the General Corporation Law of the State of Delaware (“DGCL”), Navidea Biopharmaceuticals, Inc., a corporation organized and existing under the General Corporation Law of the state of Delaware (the “Corporation”), does hereby submit the following: WHEREAS, the Amended a |
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| June 16, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-A FOR REGISTRATION OF CERTAIN CLASSES OF SECURITIES PURSUANT TO SECTION 12(b) OR 12(g) OF THE SECURITIES EXCHANGE ACT OF 1934 Navidea Biopharmaceuticals, Inc. (Exact name of registrant as specified in its charter) Delaware 31-1080091 (State or other jurisdiction of incorporation or organization) (IRS Employer Identifica |
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| June 16, 2023 |
PRE 14A 1 navb20230615pre14a.htm FORM PRE 14A SCHEDULE 14A INFORMATION PROXY STATEMENT PURSUANT TO SECTION 14(A) OF THE SECURITIES EXCHANGE ACT OF 1934 (AMENDMENT NO. ) ☒ Filed by the Registrant ☐ Filed by a Party other than the Registrant Check the appropriate box: ☒ Preliminary Proxy Statement ☐ Definitive Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6 |
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| June 16, 2023 |
Exhibit 99.1 June 16, 2023 Navidea Biopharmaceuticals, Inc. Announces Distribution of Series K Preferred Stock to Holders of its Common Stock DUBLIN, Ohio, June 16, 2023 - Navidea Biopharmaceuticals, Inc. (NYSE American: NAVB) (“Navidea” or the “Company”), a company focused on the development of precision immunodiagnostic agents and immunotherapeutics, today announced that its Board of Directors d |
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| June 16, 2023 |
NAVB / Navidea Biopharmaceuticals Inc / Scott John K Jr. - SC 13D/A Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 14) Navidea Biopharmaceuticals, Inc. (Name of Issuer) Common Stock, par value $0.001 per share (Title of Class of Securities) 63937X202 (CUSIP Number) John K. Scott, Jr. 30 Blue Heron Drive Greenwood Village, Colorado 80121 Tel: (303) 399-6177 With a Copy to |
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| June 16, 2023 |
-12-31 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (date of earliest event reported): June 16, 2023 NAVIDEA BIOPHARMACEUTICALS, INC. (Exact name of registrant as specified in its charter) Delaware 001-35076 31-1080091 (State or other jurisdiction (Commission (IR |
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| June 16, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (date of earliest event reported) June 14, 2023 NAVIDEA BIOPHARMACEUTICALS, INC. (Exact name of registrant as specified in its charter) Delaware 001-35076 31-1080091 (State or other jurisdiction (Commission (IRS Employ |
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| June 16, 2023 |
Exhibit 99.1 Press Release Navidea Biopharmaceuticals, Inc. Receives $7.5 Million Cash from Cardinal Health in Lieu of Contingent Milestone Payment Continuing the Company’s Fix, Fund, Propel approach, the cash payment from Cardinal Health aligns strategic goals while solidifying immediate capital for funding Phase IIb and Phase III trials. DUBLIN, Ohio, June 16, 2023 (BUSINESS WIRE) - Navidea Biop |
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| June 5, 2023 |
Navidea Biopharmaceuticals, Inc. Receives NYSE American Notice Exhibit 99.2 Press Release Navidea Biopharmaceuticals, Inc. Receives NYSE American Notice DUBLIN, Ohio, June 2, 2023 (BUSINESS WIRE) - Navidea Biopharmaceuticals, Inc. (NYSE American: NAVB) (“Navidea” or the “Company”), a company focused on the development of precision immunodiagnostic agents and immunotherapeutics, today announced that it received a Notice (the “Notice”) on June 1, 2023 from the |
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| June 5, 2023 |
[Remainder of this page is intentionally blank] Exhibit 99.3 May 10, 2023 Keystone Capital Partners, LLC 139 Fulton Street, Suite 412 New York, NY 10038 Dear Fredric G. Zaino, Reference is made to the Common Stock Purchase Agreement dated April 26, 2023 (“Purchase Agreement”) between Navidea Biopharmaceuticals, Inc. and Keystone Capital Partners, LLC. In particular, we note the section (and similar references) that states: “Under the applicable |
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| June 5, 2023 |
Exhibit 10.1 STOCK EXCHANGE AGREEMENT This Stock Purchase Agreement (the “Agreement”) is dated as of June 1, 2023 between Navidea Biopharmaceuticals, Inc., a Delaware corporation (the “Company”), and the stockholder identified on the signature page hereto (the “Stockholder”). WHEREAS, the Stockholder holds all of outstanding shares of the Company’s Series G Redeemable Preferred Stock, par value $0 |
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| June 5, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (date of earliest event reported): June 1, 2023 NAVIDEA BIOPHARMACEUTICALS, INC. (Exact name of registrant as specified in its charter) Delaware 001-35076 31-1080091 (State or other jurisdiction (Commission (IRS Employ |
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| June 5, 2023 |
EX-99.1 3 ex529357.htm EXHIBIT 99.1 Exhibit 99.1 Press Release Navidea Biopharmaceuticals, Inc. Welcomes Jill Bieker Stefanelli, Ph.D. to Board of Directors; Alexander L. Cappello Steps Down In line with the Company’s Fix, Fund, Propel approach, Jill Bieker Stefanelli, Ph.D. joins Board, adding precision medicine and product development depth in support of stated strategy to advance innovative tec |
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| June 1, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM SD Specialized Disclosure Report NAVIDEA BIOPHARMACEUTICALS, INC. (Exact name of registrant as specified in its charter) Delaware 001-35076 31-1080091 (State or other jurisdiction of incorporation or organization) (Commission File Number) (IRS Employer Identification No.) 4995 Bradenton Avenue, Suite 240, Dublin, Ohio 430 |
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| May 25, 2023 |
Exhibit 10.2 STOCK PURCHASE AGREEMENT This Stock Purchase Agreement (the “Agreement”) is dated as of May 22, 2023 between Navidea Biopharmaceuticals, Inc., a Delaware corporation (the “Company”), and the investor identified on the signature page hereto (the “Investor”). WHEREAS, the Company has authorized the issuance by the Company of 100,000 shares (the “Shares”) of Series J Convertible Preferre |
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| May 25, 2023 |
Exhibit 10.1 STOCK PURCHASE AGREEMENT This Stock Purchase Agreement (the “Agreement”) is dated as of May 22, 2023 between Navidea Biopharmaceuticals, Inc., a Delaware corporation (the “Company”), and the investor identified on the signature page hereto (the “Investor”). WHEREAS, the Company has authorized the issuance by the Company of 100,000 shares (the “Shares”) of Series J Convertible Preferre |
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| May 25, 2023 |
Exhibit 3.1 NAVIDEA BIOPHARMACEUTICALS, INC. CERTIFICATE OF DESIGNATION OF THE PREFERENCES, RIGHTS, LIMITATIONS AND RESTRICTIONS OF SERIES J CONVERTIBLE PREFERRED STOCK It is hereby certified that: I. The name of the corporation is Navidea Biopharmaceuticals, Inc. (the “Corporation”), a Delaware corporation. II. Set forth hereinafter is a statement of the voting powers, preferences, limitations, r |
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| May 25, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (date of earliest event reported): May 22, 2023 NAVIDEA BIOPHARMACEUTICALS, INC. (Exact name of registrant as specified in its charter) Delaware 001-35076 31-1080091 (State or other jurisdiction (Commission (IRS Employ |
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| May 25, 2023 |
Exhibit 99.1 Press Release Navidea Biopharmaceuticals, Inc. Investors Purchase $1.1 Million in Preferred Shares at Market Following the Company’s Fix, Fund, Propel approach, the sale of Preferred Shares totaling $1.1 million to new existing investors underscores improved confidence in Navidea’s progress toward advancing its innovative technology to market. DUBLIN, Ohio, May 22, 2023 (BUSINESS WIRE |
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| May 11, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2023 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-35076 NAVIDEA B |
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| April 28, 2023 |
Secured Bridge Note dated as of April 25, 2023 Exhibit 10.3 SECURED BRIDGE NOTE $300,000.00 Dublin, Ohio April 25, 2023 For Value Received, Navidea Biopharmaceuticals, Inc., a Delaware corporation with an address of 4995 Bradenton Ave #240, Dublin, OH 43017, (the “Borrower”) hereby promises to pay to the order of John K. Scott, Jr., an individual (the “Lender”) in the lawful money of the United States of America, at such place as Lender may fr |
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| April 28, 2023 |
Exhibit 99.1 Press Release Navidea Biopharmaceuticals, Inc. Announces Intent to sell Cardinal Milestone Payment for $8 Million; Secures New $2.75 Million Equity Line of Credit Fresh capital for funding Phase IIb and Phase III trials, expands growth, and fuels shareholder value DUBLIN, Ohio, April 27, 2023 (BUSINESS WIRE) - Navidea Biopharmaceuticals, Inc. (NYSE American: NAVB) (“Navidea” or the “C |
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| April 28, 2023 |
Exhibit 10.4 FIRST AMENDMENT TO SECURITY AGREEMENT THIS FIRST AMENDMENT TO SECURITY AGREEMENT (this "Amendment"), dated as of April 25, 2023, is made by and between Navidea Biopharmaceuticals, Inc., a Delaware corporation with an address of 4995 Bradenton Ave #240, Dublin, OH 43017 (“Debtor”) and John Kim Scott Jr., an individual (“Secured Party”). WHEREAS, Debtor and the Secured Party are parties |
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| April 28, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (date of earliest event reported): April 25, 2023 NAVIDEA BIOPHARMACEUTICALS, INC. (Exact name of registrant as specified in its charter) Delaware 001-35076 31-1080091 (State or other jurisdiction (Commission (IRS Empl |
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| April 28, 2023 |
Exhibit 10.2 REGISTRATION RIGHTS AGREEMENT This REGISTRATION RIGHTS AGREEMENT (this “Agreement”), dated as of April 26, 2023, is by and between Keystone Capital Partners, LLC, a Delaware limited liability company (the “Investor”), and Navidea Biopharmaceuticals, Inc., a Delaware corporation (the “Company”). RECITALS A. The Company and the Investor have entered into that certain Common Stock Purcha |
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| April 28, 2023 |
Exhibit 10.1 COMMON STOCK PURCHASE AGREEMENT Dated as of April 26, 2023 by and among NAVIDEA BIOPHARMACEUTICALS, INC., and KEYSTONE CAPITAL PARTNERS, LLC TABLE OF CONTENTS Page ARTICLE I PURCHASE AND SALE OF COMMON STOCK 1 Section 1.1. Purchase and Sale of Stock 1 Section 1.2. Closing Date; Settlement Dates 2 Section 1.3. Initial Public Announcements and Required Filings 2 ARTICLE II PURCHASE TERM |
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| April 28, 2023 |
Up to $2,750,000 of Shares of Common Stock 200,000 Shares of Common Stock Filed pursuant to Rule 424(b)(5) Registration No. 333-252847 PROSPECTUS SUPPLEMENT (To Prospectus, dated February 16, 2021) Up to $2,750,000 of Shares of Common Stock 200,000 Shares of Common Stock This prospectus supplement relates to the issuance and sale of up to $2,750,000 of shares of our common stock that we may sell to Keystone Capital Partners, LLC (“Keystone”) from time to time, in one or |
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| April 13, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (date of earliest event reported) April 10, 2023 NAVIDEA BIOPHARMACEUTICALS, INC. (Exact name of registrant as specified in its charter) Delaware 001-35076 31-1080091 (State or other jurisdiction (Commission (IRS Emplo |
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| April 13, 2023 |
Exhibit 99.1 Press Release Navidea Biopharmaceuticals, Inc. Enters Asset Purchase Agreement with Meilleur Technologies, Inc. for Rights to NAV4694 The Asset Purchase Agreement allows Meilleur Technologies, Inc. to develop and commercialize markets while Navidea Biopharmaceuticals, Inc. receives additional liquidity for focused growth. DUBLIN, Ohio, April 13, 2023 (BUSINESS WIRE) - Navidea Biopharm |
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| April 13, 2023 |
Exhibit 10.1 Execution Version ASSET PURCHASE AGREEMENT dated as of April 10, 2023 between Navidea Biopharmaceuticals, Inc. a Delaware corporation and Meilleur Technologies, Inc. a Delaware corporation Asset Purchase Agreement TABLE OF CONTENTS Page Table of Contents i List of Schedules ii Index to Appendices iii Index to Exhibits iii Recitals 1 1. Purchase and Sale of Asserts 1 1.01. Acquired Ass |
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| March 31, 2023 |
Exhibit 10.1 SEPARATION & RELEASE AGREEMENT This Separation and Release Agreement (“Agreement”), effective March 30, 2023 (the “Effective Date”), is hereby agreed to by and between Navidea Biopharmaceuticals, Inc. (the “Company”) and Michael Rosol (“Employee”) (either party individually, a “Party” or collectively referred to as the “Parties”) as of the Separation Date (defined below). RECITALS WHE |
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| March 31, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K 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 30, 2023 NAVIDEA BIOPHARMACEUTICALS, INC. (Exact name of registrant as specified in its charter) Delaware 001-35076 31-1080091 (State or other jurisdiction (Commission (IRS Empl |
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| March 31, 2023 |
Exhibit 99.1 Press Release Navidea Biopharmaceuticals, Inc. Hires G2G Ventures as Executive Consultants; Chief Medical Officer steps down Executive Consulting buttresses senior management’s focus on performance and targeted growth. Chief Medical Officer, Michael Rosol, Ph.D., steps down. DUBLIN, Ohio, March 30, 2023 (BUSINESS WIRE) - Navidea Biopharmaceuticals, Inc. (NYSE American: NAVB) (“Navidea |
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| March 31, 2023 |
EX-10.2 3 ex495946.htm EXHIBIT 10.2 Exhibit 10.2 CONSULTING SERVICES AGREEMENT THIS CONSULTING SERVICES AGREEMENT, dated as of March 30, 2023, is by and between Navidea 4995 Bradenton Avenue Suite 240 Dublin, OH 43017 (the “Company”) , and G2G Ventures with an address at: 1746 Cole Blvd Building 21, Suite 300 Lakewood, Co 80401-3208 (the “Consultant”). All references herein to the Company shall in |
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| March 27, 2023 |
Subsidiaries of the registrant.* Exhibit 21.1 Subsidiaries of Navidea Biopharmaceuticals, Inc. Subsidiaries Jurisdiction of Incorporation Percentage Owned by Registrant Navidea Biopharmaceuticals Europe Limited Ireland 100% Navidea Biopharmaceuticals Limited United Kingdom 100% Macrophage Therapeutics, Inc. Delaware, United States 99.9% |
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| March 27, 2023 |
Exhibit 24.1 POWER OF ATTORNEY Each of the undersigned officers and directors of Navidea Biopharmaceuticals, Inc., a Delaware corporation (the “Company”), does hereby constitute and appoint Michael S. Rosol, Ph.D. as his or her agent and lawful attorney-in-fact, in his or her name and on his or her behalf, and in any and all capacities stated below: ● To sign and file with the United States Securi |
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| March 27, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K (Mark One) ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2022 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to to Commission file number 001-35076 NAVIDEA BIOP |
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| March 21, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K 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 21, 2023 NAVIDEA BIOPHARMACEUTICALS, INC. (Exact name of registrant as specified in its charter) Delaware 001-35076 31-1080091 (State or other jurisdiction (Commission (IRS Emplo |
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| March 21, 2023 |
Exhibit 99.1 Navidea Biopharmaceuticals Reports Fourth Quarter 2022 Financial Results Conference Call to be held Tuesday, March 21, 2023 at 5:00 pm (EDT) DUBLIN, Ohio-(BUSINESS WIRE)-Navidea Biopharmaceuticals, Inc. (NYSE American: NAVB) (“Navidea” or the “Company”), a company focused on the development of precision immunodiagnostic agents and immunotherapeutics, today announced its financial resu |
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| March 16, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K 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 10, 2023 NAVIDEA BIOPHARMACEUTICALS, INC. (Exact name of registrant as specified in its charter) Delaware 001-35076 31-1080091 (State or other jurisdiction (Commission (IRS Emplo |
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| January 10, 2023 |
Exhibit 4.1 FIRST AMENDMENT TO SECTION 382 RIGHTS AGREEMENT THIS FIRST AMENDMENT TO SECTION 382 RIGHTS AGREEMENT (this “First Amendment”) is made and entered into as of January 10, 2023 between Navidea Biopharmaceuticals, Inc., a Delaware corporation (the “Company”), and Continental Stock Transfer & Trust Company, LLC, as Rights Agent (the “Rights Agent”). WHEREAS, the Company and Rights Agent ent |
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| January 10, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (date of earliest event reported) January 10, 2023 NAVIDEA BIOPHARMACEUTICALS, INC. (Exact name of registrant as specified in its charter) Delaware 001-35076 31-1080091 (State or other jurisdiction (Commission (IRS Emp |
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| December 22, 2022 |
Exhibit 10.1 NAVIDEA BIOPHARMACEUTICALS, INC. 2014 Stock Incentive Plan (As amended and restated as of December 8, 2022) Article I Establishment, Purpose, Duration Section 1.1 Establishment of the Plan. Navidea Biopharmaceuticals, Inc. (the ?Company?) adopted the Navidea Biopharmaceuticals, Inc. 2014 Stock Incentive Plan, effective July 17, 2014 (the ?Plan?). The Plan is hereby amended and restate |
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| December 22, 2022 |
As filed with the Securities and Exchange Commission on December 22, 2022 As filed with the Securities and Exchange Commission on December 22, 2022 Registration No. |
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| December 22, 2022 |
Calculation of Filing Fee Table. Exhibit 107 Calculation of Filing Fee Table Form S-8 (Form Type) Navidea Biopharmaceuticals, Inc. |
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| December 12, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (date of earliest event reported) December 8, 2022 NAVIDEA BIOPHARMACEUTICALS, INC. (Exact name of registrant as specified in its charter) Delaware 001-35076 31-1080091 (State or other jurisdiction (Commission (IRS Emp |
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| November 15, 2022 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (date of earliest event reported) November 14, 2022 NAVIDEA BIOPHARMACEUTICALS, INC. (Exact name of registrant as specified in its charter) Delaware 001-35076 31-1080091 (State or other jurisdiction (Commission (IRS Em |
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| November 15, 2022 |
Exhibit 99.1 Navidea Biopharmaceuticals Reports Third Quarter 2022 Financial Results Conference Call to be held Tuesday, November 15, 2022 at 5:00 pm (EST) DUBLIN, Ohio-(BUSINESS WIRE)-Navidea Biopharmaceuticals, Inc. (NYSE American: NAVB) (?Navidea? or the ?Company?), a company focused on the development of precision immunodiagnostic agents and immunotherapeutics, today announced its financial re |
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| November 14, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2022 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-35076 NAVID |
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| October 24, 2022 |
SCHEDULE 14A INFORMATION PROXY STATEMENT PURSUANT TO SECTION 14(A) OF THE SECURITIES EXCHANGE ACT OF 1934 (AMENDMENT NO. |
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| October 13, 2022 |
SCHEDULE 14A INFORMATION PROXY STATEMENT PURSUANT TO SECTION 14(A) OF THE SECURITIES EXCHANGE ACT OF 1934 (AMENDMENT NO. |
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| October 6, 2022 |
NAVB / Navidea Biopharmaceuticals Inc / Bain Irwin Allen - SC 13G Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* Navidea Biopharmaceuticals, Inc. (Name of Issuer) Common Stock (Title of Class of Securities) 63937X202 (CUSIP Number) August 24, 2022 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to whic |
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| September 30, 2022 |
Exhibit 99.1 Navidea Biopharmaceuticals Appoints Joshua Wilson to the Board of Directors; Announces Dates Related to its 2022 Annual Meeting of Stockholders DUBLIN, Ohio-(BUSINESS WIRE)-Navidea Biopharmaceuticals, Inc. (NYSE American: NAVB) (?Navidea? or the ?Company?), a company focused on the development of precision immunodiagnostic agents and immunotherapeutics, today announced the appointment |
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| September 30, 2022 |
Exhibit 3.1 NAVIDEA BIOPHARMACEUTICALS, INC. SECOND AMENDED AND RESTATED BY-LAWS Effective September 26, 2022 ************ ARTICLE I OFFICES SECTION 1. REGISTERED OFFICE. The registered office of the corporation in the state of Delaware shall be located at Corporation Trust Center, 1209 Orange Street, Wilmington, Delaware, County of New Castle. The name of the corporation's registered agent at suc |
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| September 30, 2022 |
-12-31 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (date of earliest event reported) September 26, 2022 NAVIDEA BIOPHARMACEUTICALS, INC. (Exact name of registrant as specified in its charter) Delaware 001-35076 31-1080091 (State or other jurisdiction (Commission |
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| September 22, 2022 |
NAVB / Navidea Biopharmaceuticals Inc / Scott John K Jr. - SC 13D/A Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 13) Navidea Biopharmaceuticals, Inc. (Name of Issuer) Common Stock, par value $0.001 per share (Title of Class of Securities) 63937X202 (CUSIP Number) John K. Scott, Jr. 30 Blue Heron Drive Greenwood Village, Colorado 80121 Tel: (303) 399-6177 With a Copy to |
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| September 15, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (date of earliest event reported) September 9, 2022 NAVIDEA BIOPHARMACEUTICALS, INC. (Exact name of registrant as specified in its charter) Delaware 001-35076 31-1080091 (State or other jurisdiction (Commission (IRS Em |
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| September 14, 2022 |
NAVB / Navidea Biopharmaceuticals Inc / Scott John K Jr. - SC 13D/A Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 12) Navidea Biopharmaceuticals, Inc. (Name of Issuer) Common Stock, par value $0.001 per share (Title of Class of Securities) 63937X202 (CUSIP Number) John K. Scott, Jr. 30 Blue Heron Drive Greenwood Village, Colorado 80121 Tel: (303) 399-6177 With a Copy to |
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| September 12, 2022 |
? Exhibit?A ? SECURITIES EXCHANGE AGREEMENT ? Effective as of August?24, 2022 ? This Securities Exchange Agreement (this ?Agreement?) is being entered into by John K. |
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| September 12, 2022 |
NAVB / Navidea Biopharmaceuticals Inc / Scott John K Jr. - SC 13D/A Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 11) Navidea Biopharmaceuticals, Inc. (Name of Issuer) Common Stock, par value $0.001 per share (Title of Class of Securities) 63937X202 (CUSIP Number) John K. Scott, Jr. 30 Blue Heron Drive Greenwood Village, Colorado 80121 Tel: (303) 399-6177 With a Copy to |
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| September 2, 2022 |
Exhibit 99.1 Navidea Biopharmaceuticals Announces Opening of Nine New Sites in its Pivotal Phase 3 Trial in Rheumatoid Arthritis and Termination of Binding Memorandum of Understanding with Jubilant Radiopharma DUBLIN, Ohio-(BUSINESS WIRE)-Navidea Biopharmaceuticals, Inc. (NYSE American: NAVB) (?Navidea? or the ?Company?), a company focused on the development of precision immunodiagnostic agents an |
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| September 2, 2022 |
Termination of a Material Definitive Agreement, Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (date of earliest event reported) August 30, 2022 NAVIDEA BIOPHARMACEUTICALS, INC. (Exact name of registrant as specified in its charter) Delaware 001-35076 31-1080091 (State or other jurisdiction (Commission (IRS Empl |
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| September 2, 2022 |
Navidea Biopharmaceuticals Announces Oral Ruling in Case Involving Attorney’s Fees Exhibit 99.2 Navidea Biopharmaceuticals Announces Oral Ruling in Case Involving Attorney?s Fees DUBLIN, Ohio-(BUSINESS WIRE)-Navidea Biopharmaceuticals, Inc. (NYSE American: NAVB) (?Navidea? or the ?Company?), a company focused on the development of precision immunodiagnostic agents and immunotherapeutics, today announced that on August 30, 2022, the District Court of Harris County, Texas (the ?Co |
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| August 18, 2022 |
Filed Pursuant to Rule 424(b)(3) Registration No. 333-262691 Prospectus Supplement No. 1 to Prospectus dated August 3, 2022 Subscription Rights to Purchase Up to 35,000 Units Consisting of up to 35,000 Shares of Series I Convertible Preferred Stock and Warrants to Purchase up to 77,770,000 Shares of Common Stock at a Subscription Price of $1,000 per Unit (and up to 77,770,000 shares of Common Stoc |
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| August 15, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2022 or ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-35076 NAVIDEA BI |
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| August 4, 2022 |
Filed Pursuant to Rule 424(b)(4) Registration No. 333-262691 Prospectus Subscription Rights to Purchase Up to 35,000 Units Consisting of up to 35,000 Shares of Series I Convertible Preferred Stock and Warrants to Purchase up to 53,830,000 Shares of Common Stock at a Subscription Price of $1,000 per Unit (and up to 53,830,000 shares of Common Stock underlying such Series I Convertible Preferred Sto |
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| August 2, 2022 |
Form of Common Stock Purchase Warrant to be issued in rights offering Exhibit 4.19 NAVIDEA BIOPHARMACEUTICALS, INC. Warrant To Purchase Common Stock Warrant Shares: Initial Exercise Date: , 2022 THIS WARRANT TO PURCHASE COMMON STOCK (the “Warrant”) certifies that, for value received, or its assigns (the “Holder”), is entitled, upon the terms and subject to the limitations on exercise and the conditions hereinafter set forth, at any time on or after the date hereof ( |
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| August 2, 2022 |
Form of Instructions as to Use of Subscription Rights Certificate * Exhibit 99.1 THE TERMS AND CONDITIONS OF THE RIGHTS OFFERING ARE SET FORTH IN THE COMPANY’S PROSPECTUS DATED AUGUST [ ], 2022 AND ARE INCORPORATED HEREIN BY REFERENCE. COPIES OF THE PROSPECTUS ARE AVAILABLE UPON REQUEST FROM BROADRIDGE CORPORATE ISSUER SOLUTIONS, INC., THE SUBSCRIPTION AGENT, BY CALLING (888) 789-8409. INSTRUCTIONS AS TO USE OF NAVIDEA BIOPHARMACEUTICALS, INC. NON-TRANSFERABLE SUB |
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| August 2, 2022 |
Certificate of Designations, Preferences and Rights of Series I Convertible Preferred Stock Exhibit 4.18 CERTIFICATE OF DESIGNATION OF PREFERENCES, RIGHTS AND LIMITATIONS OF SERIES I CONVERTIBLE PREFERRED STOCK OF NAVIDEA BIOPHARMACEUTICALS, INC. Pursuant to Section 151 of the General Corporation Law of the State of Delaware, Navidea Biopharmaceuticals, Inc., a corporation organized and existing under the General Corporation Law of the state of Delaware (the “Corporation”), does hereby s |
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| August 2, 2022 |
Form of Letter to Brokers, Dealers and Other Nominees * Exhibit 99.4 FORM OF LETTER TO BROKERS, DEALERS, BANKS AND OTHER NOMINEES NAVIDEA BIOPHARMACEUTICALS, INC. Units Offered Pursuant to Subscription Rights Distributed to Stockholders and Holders of Underwriter Warrants of Navidea Biopharmaceuticals, Inc. August [ ], 2022 To Brokers, Dealers, Banks and Other Nominees: This letter is being distributed by Navidea Biopharmaceuticals, Inc. (the “Company” |
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| August 2, 2022 |
Exhibit 99.7 August [ ], 2022 Dear Shareholder, I would like to thank you for being a valued shareholder and supporter of Navidea Biopharmaceuticals, Inc. In our efforts to create a closer and more transparent relationship with our shareholders, we have engaged Maxim Group LLC (“Maxim”), a registered broker-dealer with the United States Securities and Exchange Commission to assist us in collecting |
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| August 2, 2022 |
Form of Nominee Holder Certification * EX-99.5 13 ex405033.htm EXHIBIT 99.5 Exhibit 99.5 FORM OF NOMINEE HOLDER CERTIFICATION NAVIDEA BIOPHARMACEUTICALS, INC. The undersigned, a bank, broker, dealer, trustee, depositary, or other nominee of non-transferable subscription rights to purchase units of Navidea Biopharmaceuticals, Inc. (the “Company”), said units each comprised of one (1) share of Series I Convertible Preferred Stock and war |
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| August 2, 2022 |
Form of Dealer-Manager Agreement * Exhibit 1.1 NAVIDEA BIOPHARMACEUTICALS, INC. DEALER-MANAGER AGREEMENT August , 2022 Maxim Group LLC 300 Park Avenue, 16th Floor New York, NY 10022 As Dealer-Manager Ladies and Gentlemen: The following will confirm our agreement relating to the proposed rights offering (the “Rights Offering”) to be undertaken by Navidea Biopharmaceuticals, Inc., a Delaware corporation (the “Company”), pursuant to w |
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| August 2, 2022 |
Form of Beneficial Owner Election Form * Exhibit 99.6 BENEFICIAL OWNER ELECTION FORM NAVIDEA BIOPHARMACEUTICALS, INC. The undersigned acknowledge(s) receipt of your letter and the enclosed materials referred to therein relating to the rights offering by Navidea Biopharmaceuticals, Inc., a Delaware corporation (the “Company”), of non-transferable subscription rights to purchase units, each such unit comprised of one (1) share of the Compa |
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| August 2, 2022 |
Form of Letter to Stockholders who are Record Holders * EX-99.2 10 ex405030.htm EXHIBIT 99.2 Exhibit 99.2 FORM OF LETTER TO STOCKHOLDERS WHO ARE RECORD HOLDERS NAVIDEA BIOPHARMACEUTICALS, INC. Units Offered Pursuant to Subscription Rights Distributed to Stockholders and Holders of Underwriter Warrants of Navidea Biopharmaceuticals, Inc. August [ ], 2022 Dear Stockholder: This letter is being distributed by Navidea Biopharmaceuticals, Inc. (the “Company |
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| August 2, 2022 |
As filed with the Securities and Exchange Commission on August 2, 2022 As filed with the Securities and Exchange Commission on August 2, 2022 Registration No. |
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| August 2, 2022 |
Exhibit 4.20 WARRANT AGENCY AGREEMENT WARRANT AGENCY AGREEMENT, dated as of August [ ], 2022 (“Agreement”), by and between Navidea Biopharmaceuticals, Inc., a Delaware corporation (the “Company”), and Continental Stock Transfer & Trust Company, a New York corporation (the “Warrant Agent”). WHEREAS, the Company is engaged in a public rights offering (the “Offering”) pursuant to which the Company ha |
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| August 2, 2022 |
Form of Subscription Rights Certificate * Exhibit 4.21 Subscription Rights Certificate #: NAVIDEA BIOPHARMACEUTICALS, INC. SUBSCRIPTION RIGHTS OFFERING THIS SUBSCRIPTION RIGHTS OFFERING (“RIGHTS OFFERING”) EXPIRES AT 5:00 P.M., NEW YORK CITY TIME, ON AUGUST 17, 2022, UNLESS THE EXERCISE PERIOD IS EXTENDED (SUCH DATE AND TIME, AS IT MAY BE EXTENDED, THE “EXPIRATION DATE”). Navidea Biopharmaceuticals, Inc. (the “Company”) has distributed to |
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| August 2, 2022 |
Form of Letter to Beneficial Holders * Exhibit 99.3 FORM OF BROKER LETTER TO CLIENTS WHO ARE BENEFICIAL HOLDERS NAVIDEA BIOPHARMACEUTICALS, INC. Units Offered Pursuant to Subscription Rights Distributed to Stockholders and Holders of Underwriter Warrants of Navidea Biopharmaceuticals, Inc. August [ ], 2022 To our Clients: This letter is being distributed to our clients who are holders of Navidea Biopharmaceuticals, Inc. (the “Company”) |
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| August 2, 2022 |
August 2, 2022 VIA EDGAR United States Securities and Exchange Commission Division of Corporation Finance 100 F Street, N. |
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| July 22, 2022 | ||
| July 20, 2022 |
Form of Common Stock Purchase Warrant to be issued in rights offering * Exhibit 4.19 NAVIDEA BIOPHARMACEUTICALS, INC. Warrant To Purchase Common Stock Warrant Shares: Initial Exercise Date: , 2022 THIS WARRANT TO PURCHASE COMMON STOCK (the ?Warrant?) certifies that, for value received, or its assigns (the ?Holder?), is entitled, upon the terms and subject to the limitations on exercise and the conditions hereinafter set forth, at any time on or after the date hereof ( |
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| July 20, 2022 |
Form of Instructions as to Use of Subscription Rights Certificate * Exhibit 99.1 THE TERMS AND CONDITIONS OF THE RIGHTS OFFERING ARE SET FORTH IN THE COMPANY?S PROSPECTUS DATED JULY , 2022 AND ARE INCORPORATED HEREIN BY REFERENCE. COPIES OF THE PROSPECTUS ARE AVAILABLE UPON REQUEST FROM BROADRIDGE CORPORATE ISSUER SOLUTIONS, INC., THE SUBSCRIPTION AGENT, BY CALLING (888) 789-8409. INSTRUCTIONS AS TO USE OF NAVIDEA BIOPHARMACEUTICALS, INC. NON-TRANSFERABLE SUBSCRIP |
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| July 20, 2022 |
Form of Letter to Stockholders who are Record Holders * Exhibit 99.2 FORM OF LETTER TO STOCKHOLDERS WHO ARE RECORD HOLDERS NAVIDEA BIOPHARMACEUTICALS, INC. Units Offered Pursuant to Subscription Rights Distributed to Stockholders and Holders of Underwriter Warrants of Navidea Biopharmaceuticals, Inc. July , 2022 Dear Stockholder: This letter is being distributed by Navidea Biopharmaceuticals, Inc. (the ?Company?) to all holders of record of shares of i |
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| July 20, 2022 |
Form of Letter to Beneficial Holders * Exhibit 99.3 FORM OF BROKER LETTER TO CLIENTS WHO ARE BENEFICIAL HOLDERS NAVIDEA BIOPHARMACEUTICALS, INC. Units Offered Pursuant to Subscription Rights Distributed to Stockholders and Holders of Underwriter Warrants of Navidea Biopharmaceuticals, Inc. July , 2022 To our Clients: This letter is being distributed to our clients who are holders of Navidea Biopharmaceuticals, Inc. (the ?Company?) comm |
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| July 20, 2022 |
Form of Beneficial Owner Election Form * Exhibit 99.6 BENEFICIAL OWNER ELECTION FORM NAVIDEA BIOPHARMACEUTICALS, INC. The undersigned acknowledge(s) receipt of your letter and the enclosed materials referred to therein relating to the rights offering by Navidea Biopharmaceuticals, Inc., a Delaware corporation (the ?Company?), of non-transferable subscription rights to purchase units, each such unit comprised of one (1) share of the Compa |
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| July 20, 2022 |
Exhibit 4.20 WARRANT AGENCY AGREEMENT WARRANT AGENCY AGREEMENT, dated as of July , 2022 (?Agreement?), by and between Navidea Biopharmaceuticals, Inc., a Delaware corporation (the ?Company?), and Continental Stock Transfer & Trust Company, a New York corporation (the ?Warrant Agent?). WHEREAS, the Company is engaged in a public rights offering (the ?Offering?) pursuant to which the Company has dis |
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| July 20, 2022 |
Form of Subscription Rights Certificate * Exhibit 4.21 Subscription Rights Certificate #: NAVIDEA BIOPHARMACEUTICALS, INC. SUBSCRIPTION RIGHTS OFFERING THIS SUBSCRIPTION RIGHTS OFFERING (?RIGHTS OFFERING?) EXPIRES AT 5:00 P.M., NEW YORK CITY TIME, ON , 2022, UNLESS THE EXERCISE PERIOD IS EXTENDED (SUCH DATE AND TIME, AS IT MAY BE EXTENDED, THE ?EXPIRATION DATE?). Navidea Biopharmaceuticals, Inc. (the ?Company?) has distributed to each hol |
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| July 20, 2022 |
Form of Nominee Holder Certification * Exhibit 99.5 FORM OF NOMINEE HOLDER CERTIFICATION NAVIDEA BIOPHARMACEUTICALS, INC. The undersigned, a bank, broker, dealer, trustee, depositary, or other nominee of non-transferable subscription rights to purchase units of Navidea Biopharmaceuticals, Inc. (the ?Company?), said units each comprised of one (1) share of Series I Convertible Preferred Stock and warrants to purchase 1,3333 shares of Co |
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| July 20, 2022 |
Certificate of Designations, Preferences and Rights of Series I Convertible Preferred Stock * Exhibit 4.18 CERTIFICATE OF DESIGNATION OF PREFERENCES, RIGHTS AND LIMITATIONS OF SERIES I CONVERTIBLE PREFERRED STOCK OF NAVIDEA BIOPHARMACEUTICALS, INC. Pursuant to Section 151 of the General Corporation Law of the State of Delaware, Navidea Biopharmaceuticals, Inc., a corporation organized and existing under the General Corporation Law of the state of Delaware (the ?Corporation?), does hereby s |
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| July 20, 2022 |
Form of Letter to Brokers, Dealers and Other Nominees * Exhibit 99.4 FORM OF LETTER TO BROKERS, DEALERS, BANKS AND OTHER NOMINEES NAVIDEA BIOPHARMACEUTICALS, INC. Units Offered Pursuant to Subscription Rights Distributed to Stockholders and Holders of Underwriter Warrants of Navidea Biopharmaceuticals, Inc. July , 2022 To Brokers, Dealers, Banks and Other Nominees: This letter is being distributed by Navidea Biopharmaceuticals, Inc. (the ?Company?) to |
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| July 20, 2022 |
As filed with the Securities and Exchange Commission on July 20, 2022 As filed with the Securities and Exchange Commission on July 20, 2022 Registration No. |
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| July 1, 2022 |
As filed with the Securities and Exchange Commission on July 1, 2022 As filed with the Securities and Exchange Commission on July 1, 2022 Registration No. |
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| May 18, 2022 |
As filed with the Securities and Exchange Commission on May 18, 2022 As filed with the Securities and Exchange Commission on May 18, 2022 Registration No. |
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| May 18, 2022 |
As filed with the Securities and Exchange Commission on May 18, 2022 As filed with the Securities and Exchange Commission on May 18, 2022 Registration No. |
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| May 18, 2022 |
As filed with the Securities and Exchange Commission on May 18, 2022 As filed with the Securities and Exchange Commission on May 18, 2022 Registration No. |
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| May 18, 2022 |
As filed with the Securities and Exchange Commission on May 18, 2022 POS AM 1 navb20220517bposam.htm As filed with the Securities and Exchange Commission on May 18, 2022 Registration No. 333-184173 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 Post-Effective Amendment No. 1 to FORM S-3 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 NAVIDEA BIOPHARMACEUTICALS, INC. (EXACT NAME OF REGISTRANT AS SPECIFIED IN ITS CHARTER) Delaware 283 |
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| May 16, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2022 or ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-35076 NAVIDEA B |
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| May 12, 2022 |
Exhibit 99.1 Navidea Biopharmaceuticals Reports First Quarter 2022 Financial Results Conference Call to be held Thursday, May 12, 2022 at 5:00 pm (EDT) DUBLIN, Ohio-(BUSINESS WIRE)-Navidea Biopharmaceuticals, Inc. (NYSE American: NAVB) (?Navidea? or the ?Company?), a company focused on the development of precision immunodiagnostic agents and immunotherapeutics, today announced its financial result |
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| May 12, 2022 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (date of earliest event reported) May 12, 2022 NAVIDEA BIOPHARMACEUTICALS, INC. (Exact name of registrant as specified in its charter) Delaware 001-35076 31-1080091 (State or other jurisdiction (Commission (IRS Employe |
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| April 22, 2022 |
NAVB / Navidea Biopharmaceuticals Inc / Scott John K Jr. - SC 13D/A Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 10) Navidea Biopharmaceuticals, Inc. (Name of Issuer) Common Stock, par value $0.001 per share (Title of Class of Securities) 63937X202 (CUSIP Number) John K. Scott, Jr. 30 Blue Heron Drive Greenwood Village, Colorado 80121 Tel: (303) 399-6177 With a Copy to |
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| April 20, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (date of earliest event reported) April 20, 2022 NAVIDEA BIOPHARMACEUTICALS, INC. (Exact name of registrant as specified in its charter) Delaware 001-35076 31-1080091 (State or other jurisdiction (Commission (IRS Emplo |
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| April 20, 2022 |
Exhibit 99.3 Navidea Biopharmaceuticals Announces Positive Preliminary Results of Its Ongoing Phase 2B Study Comparing Tc99m Tilmanocept Imaging with Histopathology of Joints from Patients with Rheumatoid Arthritis Data support hypothesis that Tc99m tilmanocept imaging can differentiate fibroid pathotype of rheumatoid arthritis from non-fibroid pathotypes DUBLIN, Ohio-(BUSINESS WIRE)-Navidea Bioph |
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| April 20, 2022 |
Exhibit 99.2 Navidea Biopharmaceuticals Announces Updated Third-Party Asset Valuation of Tc99m Tilmanocept for Indications in Rheumatoid Arthritis for U.S. and EU Markets DUBLIN, Ohio-(BUSINESS WIRE)-Navidea Biopharmaceuticals, Inc. (NYSE American: NAVB) (?Navidea? or the ?Company?), a company focused on the development of precision immunodiagnostic agents and immunotherapeutics, today announced t |
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| April 20, 2022 |
Navidea Biopharmaceuticals, Inc. Valuation Report Exhibit 99.1 |
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| April 12, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-A For Registration of Certain Classes of Securities Pursuant to Section 12(b) or 12(g) of the Securities Exchange Act of 1934 Navidea Biopharmaceuticals, Inc. (Exact name of registrant as specified in its charter) Delaware 31-1080091 (State of Incorporation) (I.R.S. Employer Identification No.) 4995 Bradenton Avenue, Su |
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| April 12, 2022 |
Exhibit 10.4 REGISTRATION RIGHTS AGREEMENT THIS REGISTRATION RIGHTS AGREEMENT (?Agreement?) is made effective as of April 10, 2022 by and between Navidea Biopharmaceuticals, Inc., a corporation formed under the laws of the State of Delaware (the ?Company?), and John K. Scott, Jr., an individual resident of the State of Colorado (?Investor?). This Agreement is the Registration Rights Agreement cont |
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| April 12, 2022 |
-12-31 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (date of earliest event reported) April 7, 2022 NAVIDEA BIOPHARMACEUTICALS, INC. (Exact name of registrant as specified in its charter) Delaware 001-35076 31-1080091 (State or other jurisdiction (Commission (IRS |
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| April 12, 2022 |
Exhibit 3.3 NAVIDEA BIOPHARMACEUTICALS, INC. CERTIFICATE OF DESIGNATION OF VOTING POWERS, PREFERENCES, LIMITATIONS, RESTRICTIONS, AND RELATIVE RIGHTS OF SERIES G REDEEMABLE PREFERRED STOCK It is hereby certified that: I. The name of the corporation is Navidea Biopharmaceuticals, Inc. (the ?Corporation?), a Delaware corporation. II. Set forth hereinafter is a statement of the voting powers, prefere |
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| April 12, 2022 |
Exhibit 99.2 Navidea Biopharmaceuticals Announces Adoption of Plan Designed to Protect NOLs and Other Tax Assets, Closing of Bridge Loan Financing, and Business Update Q&A Series DUBLIN, Ohio-(BUSINESS WIRE)-Navidea Biopharmaceuticals, Inc. (NYSE American: NAVB) (?Navidea? or the ?Company?), a company focused on the development of precision immunodiagnostic agents and immunotherapeutics, today ann |
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| April 12, 2022 |
Exhibit 3.2 NAVIDEA BIOPHARMACEUTICALS, INC. CERTIFICATE OF DESIGNATION OF VOTING POWERS, PREFERENCES, LIMITATIONS, RESTRICTIONS, AND RELATIVE RIGHTS OF SERIES F REDEEMABLE CONVERTIBLE PREFERRED STOCK It is hereby certified that: I. The name of the corporation is Navidea Biopharmaceuticals, Inc. (the ?Corporation?), a Delaware corporation. II. Set forth hereinafter is a statement of the voting pow |
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| April 12, 2022 |
Exhibit 10.3 SECURITY AGREEMENT THIS SECURITY AGREEMENT (the ?Agreement?) is made and entered into as of April 10, 2022 by Navidea Biopharmaceuticals, Inc., a Delaware corporation with an address of 4995 Bradenton Ave #240, Dublin, OH 43017 (?Debtor?) in favor of John Kim Scott Jr., and individual (?Secured Party?). To secure the payment and performance of Debtor?s obligations to pay the Secured T |
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| April 12, 2022 |
Navidea Biopharmaceuticals Receives Acceptance Letter from NYSE American Exhibit 99.1 Navidea Biopharmaceuticals Receives Acceptance Letter from NYSE American DUBLIN, Ohio-(BUSINESS WIRE)-As previously disclosed, on January 28, 2022, Navidea Biopharmaceuticals, Inc. (NYSE American: NAVB) (?Navidea? or the ?Company?), a company focused on the development of precision immunodiagnostic agents and immunotherapeutics, received a notification from the NYSE American stating t |
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| April 12, 2022 |
Exhibit 4.1 NAVIDEA BIOPHARAMACEUTICALS, INC. and CONTINENTAL STOCK TRANSFER & TRUST COMPANY, LLC, as Rights Agent SECTION 382 RIGHTS AGREEMENT Dated as of April 7, 2022 TABLE OF CONTENTS Page Section 1. Certain Definitions 1 Section 2. Appointment of Rights Agent 9 Section 3. Issue of Right Certificates 9 Section 4. Form of Right Certificates 11 Section 5. Countersignature and Registration 11 Sec |
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| April 12, 2022 |
Exhibit 3.1 CERTIFICATE OF DESIGNATION of SERIES H JUNIOR PARTICIPATING PREFERRED STOCK of NAVIDEA BIOPHARMACEUTICALS, INC. Pursuant to Section 151 of the General Corporation Law of the State of Delaware Navidea Biopharmaceuticals, Inc., a corporation organized and existing under the laws of the State of Delaware (the ?Corporation?), in accordance with the provisions of Section 103 of the General |
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| April 12, 2022 |
Exhibit 10.2 SECURED TERM NOTE $2,500,000.00 Dublin, Ohio April 10, 2022 FOR VALUE RECEIVED, NAVIDEA BIOPHARMACEUTICALS, INC., a Delaware corporation with an address of 4995 Bradenton Ave #240, Dublin, OH 43017, (the ?Borrower?) hereby promises to pay to the order of JOHN K. SCOTT, JR., an individual (the ?Lender?) in the lawful money of the United States of America, at such place as Lender may fr |
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| April 12, 2022 |
Exhibit 10.1 STOCK EXCHANGE AND LOAN AGREEMENT The undersigned (?Investor?) hereby agrees to exchange all of his shares of Series E Redeemable Convertible Preferred Stock (the ?Series E Shares?) in Navidea Biopharmaceuticals, Inc., a Delaware corporation with an address of 4995 Bradenton Ave #240, Dublin, OH 43017 (the ?Company?) for other shares in two separate classes of preferred stock and as i |
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| April 7, 2022 |
Exhibit 99.1 Navidea Biopharmaceuticals Announces New Senior Regulatory Consultant and Return of Former Director of Regulatory Affairs DUBLIN, Ohio-(BUSINESS WIRE)-Navidea Biopharmaceuticals, Inc. (NYSE American: NAVB) (?Navidea? or the ?Company?), a company focused on the development of precision immunodiagnostic agents and immunotherapeutics, today welcomed Kenneth Berger, Ph.D., as Senior Regul |
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| April 7, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (date of earliest event reported) April 1, 2022 NAVIDEA BIOPHARMACEUTICALS, INC. (Exact name of registrant as specified in its charter) Delaware 001-35076 31-1080091 (State or other jurisdiction (Commission (IRS Employ |
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| March 28, 2022 |
Exhibit 24.1 POWER OF ATTORNEY Each of the undersigned officers and directors of Navidea Biopharmaceuticals, Inc., a Delaware corporation (the ?Company?), does hereby constitute and appoint Michael S. Rosol, Ph.D. as his or her agent and lawful attorney-in-fact, in his or her name and on his or her behalf, and in any and all capacities stated below: ? To sign and file with the United States Securi |
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| March 28, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K (Mark One) ? ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2021 or ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to to Commission file number 001-35076 NAVIDEA BIOP |
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| March 28, 2022 |
Subsidiaries of the registrant.* EX-21.1 2 ex349097.htm EXHIBIT 21.1 Exhibit 21.1 Subsidiaries of Navidea Biopharmaceuticals, Inc. Subsidiaries Jurisdiction of Incorporation Percentage Owned by Registrant Navidea Biopharmaceuticals Europe Limited Ireland 100% Navidea Biopharmaceuticals Limited United Kingdom 100% Macrophage Therapeutics, Inc. Delaware, United States 99.9% |
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| March 23, 2022 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K 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 23, 2022 NAVIDEA BIOPHARMACEUTICALS, INC. (Exact name of registrant as specified in its charter) Delaware 001-35076 31-1080091 (State or other jurisdiction (Commission (IRS Emplo |
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| March 23, 2022 |
Navidea Biopharmaceuticals Reports Fourth Quarter 2021 Financial Results Exhibit 99.1 Navidea Biopharmaceuticals Reports Fourth Quarter 2021 Financial Results Conference Call to be held Wednesday, March 23, 2022 at 5:00 pm (EST) DUBLIN, Ohio-(BUSINESS WIRE)-Navidea Biopharmaceuticals, Inc. (NYSE American: NAVB) (?Navidea? or the ?Company?), a company focused on the development of precision immunodiagnostic agents and immunotherapeutics, today announced its financial re |
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| February 14, 2022 |
As filed with the Securities and Exchange Commission on February 11, 2022 As filed with the Securities and Exchange Commission on February 11, 2022 Registration No. |
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| February 14, 2022 |
Calculation of Filing Fees. *** Exhibit 107 Calculation of Filing Fee Tables S-1 (Form Type) Navidea Biopharmaceuticals, Inc. |
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| February 3, 2022 |
EX-99.1 2 ex331813.htm EXHIBIT 99.1 Exhibit 99.1 Navidea Biopharmaceuticals Announces Settlement of Platinum Litigation; Receipt of Noncompliance Notice from NYSE American DUBLIN, Ohio-(BUSINESS WIRE)-Navidea Biopharmaceuticals, Inc. (NYSE American: NAVB) (“Navidea” or the “Company”), a company focused on the development of precision immunodiagnostic agents and immunotherapeutics, today announced |
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| February 3, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 12 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (date of earliest event reported): January 28, 2022 NAVIDEA BIOPHARMACEUTICALS, INC. (Exact name of registrant as specified in its charter) Delaware 001-35076 31-1080091 (State or other jurisdiction (Commission (IRS Em |
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| December 16, 2021 |
Termination of a Material Definitive Agreement, Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 12 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (date of earliest event reported): December 14, 2021 NAVIDEA BIOPHARMACEUTICALS, INC. (Exact name of registrant as specified in its charter) Delaware 001-35076 31-1080091 (State or other jurisdiction (Commission (IRS E |
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| December 16, 2021 |
Navidea Biopharmaceuticals Terminates Stock Purchase Agreement Exhibit 99.1 Navidea Biopharmaceuticals Terminates Stock Purchase Agreement DUBLIN, Ohio-(BUSINESS WIRE)-Navidea Biopharmaceuticals, Inc. (NYSE American: NAVB) (?Navidea? or the ?Company?), a company focused on the development of precision immunodiagnostic agents and immunotherapeutics, today announced that it has terminated the Stock Purchase Agreement that was executed on August 30, 2020. On Aug |
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| December 16, 2021 |
Exhibit 99.2 Navidea Biopharmaceuticals Completes Full Enrollment in Phase 2b Normative Database Study to Support its Rheumatoid Arthritis Program DUBLIN, Ohio-(BUSINESS WIRE)-Navidea Biopharmaceuticals, Inc. (NYSE American: NAVB) (?Navidea? or the ?Company?), a company focused on the development of precision immunodiagnostic agents and immunotherapeutics, today announced that it has achieved full |
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| December 16, 2021 |
Navidea Biopharmaceuticals Announces Launch of Phase 3 Clinical Trial in Rheumatoid Arthritis Exhibit 99.3 Navidea Biopharmaceuticals Announces Launch of Phase 3 Clinical Trial in Rheumatoid Arthritis DUBLIN, Ohio-(BUSINESS WIRE)-Navidea Biopharmaceuticals, Inc. (NYSE American: NAVB) (?Navidea? or the ?Company?), a company focused on the development of precision immunodiagnostic agents and immunotherapeutics, today announced the launch of the NAV3-33 Phase 3 clinical trial titled ?Evaluati |
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| December 13, 2021 |
Exhibit 99.2 Navidea Biopharmaceuticals Announces Third-Party Asset Valuation of Tc99m Tilmanocept for Indications in Rheumatoid Arthritis DUBLIN, Ohio-(BUSINESS WIRE)-Navidea Biopharmaceuticals, Inc. (NYSE American: NAVB) (?Navidea? or the ?Company?), a company focused on the development of precision immunodiagnostic agents and immunotherapeutics, today announced the results of a third-party asse |
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| December 13, 2021 | ||
| December 13, 2021 |
Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 12 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (date of earliest event reported): December 13, 2021 NAVIDEA BIOPHARMACEUTICALS, INC. (Exact name of registrant as specified in its charter) Delaware 001-35076 31-1080091 (State or other jurisdiction (Commission (IRS E |
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| December 9, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 12 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (date of earliest event reported): December 5, 2021 NAVIDEA BIOPHARMACEUTICALS, INC. (Exact name of registrant as specified in its charter) Delaware 001-35076 31-1080091 (State or other jurisdiction (Commission (IRS Em |
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| December 9, 2021 |
Exhibit 99.1 Navidea Biopharmaceuticals Announces Business Update Call and Changes to Board of Directors Composition Conference Call to be held Thursday, December 16, 2021 at 5:00 pm (EST) DUBLIN, Ohio-(BUSINESS WIRE)-Navidea Biopharmaceuticals, Inc. (NYSE American: NAVB) (?Navidea? or the ?Company?), a company focused on the development of precision immunodiagnostic agents and immunotherapeutics, |
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| November 26, 2021 |
Exhibit 10.1 SEPARATION AGREEMENT AND GENERAL RELEASE This Separation Agreement and General Release (?Agreement?) is entered into by and between Navidea Biopharmaceuticals, Inc. a Delaware corporation (the ?Employer?), and Jed A. Latkin (the ?Employee?). The Employer and the Employee are collectively referred to as the ?Parties.? RECITALS WHEREAS, Employer and Employee believes that it is in the b |
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| November 26, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (date of earliest event reported): November 23, 2021 NAVIDEA BIOPHARMACEUTICALS, INC. (Exact name of registrant as specified in its charter) Delaware 001-35076 31-1080091 (State or other jurisdiction (Commission (IRS E |
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| November 12, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2021 or ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-35076 NAVID |
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| November 10, 2021 |
Exhibit 99.1 Navidea Biopharmaceuticals Reports Third Quarter 2021 Financial Results Conference Call to be held Wednesday, November 10, 2021 at 5:00 pm (EST) DUBLIN, Ohio-(BUSINESS WIRE)-Navidea Biopharmaceuticals, Inc. (NYSE American: NAVB) (?Navidea? or the ?Company?), a company focused on the development of precision immunodiagnostic agents and immunotherapeutics, today announced its financial |
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| November 10, 2021 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (date of earliest event reported) November 10, 2021 NAVIDEA BIOPHARMACEUTICALS, INC. (Exact name of registrant as specified in its charter) Delaware 001-35076 31-1080091 (State or other jurisdiction (Commission (IRS Em |
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| October 26, 2021 |
Navidea Biopharmaceuticals Announces Resignation of Jed A. Latkin EX-99.1 2 ex296274.htm EXHIBIT 99.1 Exhibit 99.1 Navidea Biopharmaceuticals Announces Resignation of Jed A. Latkin DUBLIN, Ohio—(BUSINESS WIRE)—October 26, 2021—Navidea Biopharmaceuticals, Inc. (NYSE American: NAVB) (“Navidea” or the “Company”), a company focused on the development of precision immunodiagnostic agents and immunotherapeutics, today announced the resignation of Jed A. Latkin as Chie |
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| October 26, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 12 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (date of earliest event reported): October 24, 2021 NAVIDEA BIOPHARMACEUTICALS, INC. (Exact name of registrant as specified in its charter) Delaware 001-35076 31-1080091 (State or other jurisdiction (Commission (IRS Em |
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| October 14, 2021 |
Exhibit 99.1 Navidea Biopharmaceuticals Appoints Thomas Forest Farb-Horch and Agnieszka Winkler to the Board of Directors DUBLIN, Ohio-(BUSINESS WIRE)-Navidea Biopharmaceuticals, Inc. (NYSE American: NAVB) (?Navidea? or the ?Company?), a company focused on the development of precision immunodiagnostic agents and immunotherapeutics, today announced the appointment of Thomas Forest Farb-Horch and Ag |
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| October 14, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 12 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (date of earliest event reported): October 7, 2021 NAVIDEA BIOPHARMACEUTICALS, INC. (Exact name of registrant as specified in its charter) Delaware 001-35076 31-1080091 (State or other jurisdiction (Commission (IRS Emp |
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| September 30, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 12 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (date of earliest event reported): September 27, 2021 NAVIDEA BIOPHARMACEUTICALS, INC. (Exact name of registrant as specified in its charter) Delaware 001-35076 31-1080091 (State or other jurisdiction (Commission (IRS |
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| September 30, 2021 |
Navidea Biopharmaceuticals Appoints Michel Mikhail, Ph.D. as Chief Regulatory Officer Exhibit 99.1 Navidea Biopharmaceuticals Appoints Michel Mikhail, Ph.D. as Chief Regulatory Officer DUBLIN, Ohio-(BUSINESS WIRE)-Navidea Biopharmaceuticals, Inc. (NYSE American: NAVB) (?Navidea? or the ?Company?), a company focused on the development of precision immunodiagnostic agents and immunotherapeutics, today announced the appointment of Michel Mikhail, Ph.D. as Chief Regulatory Officer of N |
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| September 17, 2021 |
Navidea Biopharmaceuticals Announces Changes to Board of Directors Composition Exhibit 99.1 Navidea Biopharmaceuticals Announces Changes to Board of Directors Composition DUBLIN, Ohio-(BUSINESS WIRE)-Navidea Biopharmaceuticals, Inc. (NYSE American: NAVB) (?Navidea? or the ?Company?), a company focused on the development of precision immunodiagnostic agents and immunotherapeutics, today announced that on September 14, 2021, at a meeting of the Board of Directors (the ?Board?) |
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| September 17, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 12 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (date of earliest event reported): September 14, 2021 NAVIDEA BIOPHARMACEUTICALS, INC. (Exact name of registrant as specified in its charter) Delaware 001-35076 31-1080091 (State or other jurisdiction (Commission (IRS |
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| August 12, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2021 or ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-35076 NAVIDEA BI |
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| August 11, 2021 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (date of earliest event reported) August 11, 2021 NAVIDEA BIOPHARMACEUTICALS, INC. (Exact name of registrant as specified in its charter) Delaware 001-35076 31-1080091 (State or other jurisdiction (Commission (IRS Empl |
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| August 11, 2021 |
Exhibit 99.1 Navidea Biopharmaceuticals Reports Second Quarter 2021 Financial Results Conference Call to be held Wednesday, August 11, 2021 at 5:00 pm EDT DUBLIN, Ohio-(BUSINESS WIRE)-Navidea Biopharmaceuticals, Inc. (NYSE American: NAVB) (?Navidea? or the ?Company?), a company focused on the development of precision immunodiagnostic agents and immunotherapeutics, today announced its financial res |
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| August 2, 2021 |
SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. |
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| July 23, 2021 |
NAVB / Navidea Biopharmaceuticals Inc / Scott John K Jr. - SC 13D/A Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 9) Navidea Biopharmaceuticals, Inc. (Name of Issuer) Common Stock, par value $0.001 per share (Title of Class of Securities) 63937X202 (CUSIP Number) John K. Scott, Jr. 30 Blue Heron Dr. Greenwood Village, CO 80121 Tel: (303) 399-6177 With a Copy to: James G |
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| July 13, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (date of earliest event reported) July 8, 2021 NAVIDEA BIOPHARMACEUTICALS, INC. (Exact name of registrant as specified in its charter) Delaware 001-35076 31-1080091 (State or other jurisdiction (Commission (IRS Employe |
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| July 13, 2021 |
Exhibit 10.1 AMENDMENT TO STOCK PURCHASE AGREEMENT AND LETTER OF INVESTMENT INTENT THIS AMENDMENT TO STOCK PURCHASE AGREEMENT AND LETTER OF INVESTMENT INTENT (this ?Amendment?) is made and entered into effective as of July 8, 2021, by and between Navidea Biopharmaceuticals, Inc., a Delaware corporation (the ?Company?) and Keystone Capital Partners LLC, a Delaware limited liability company (the ?In |
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| June 24, 2021 |
Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (date of earliest event reported) June 23, 2021 NAVIDEA BIOPHARMACEUTICALS, INC. (Exact name of registrant as specified in its charter) Delaware 001-35076 31-1080091 (State or other jurisdiction (Commission (IRS Employ |
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| June 24, 2021 |
Exhibit 99.1 Macrophage Therapeutics, Inc. Wins Delaware Case Against Michael Goldberg for Breach of Fiduciary Duty DUBLIN, Ohio-(BUSINESS WIRE)-Navidea Biopharmaceuticals, Inc. (NYSE American: NAVB) (?Navidea? or the ?Company?), a company focused on the development of precision immunodiagnostic agents and immunotherapeutics, today announced that on June 23, 2021, Vice Chancellor Joseph Slights of |
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| June 15, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 8) Navidea Biopharmaceuticals, Inc. (Name of Issuer) Common Stock, par value $0.001 per share (Title of Class of Securities) 63937X202 (CUSIP Number) John K. Scott, Jr. 30 Blue Heron Dr. Greenwood Village, CO 80121 Tel: (303) 399-6177 With a Copy to: James G |
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| May 24, 2021 |
2,173,913 Shares of Common Stock Filed Pursuant to Rule 424(b)(3) Registration No. 333-256093 2,173,913 Shares of Common Stock This prospectus relates to the disposition from time to time of up to 2,173,913 shares of our common stock, $0.001 par value per share (the ?Shares?), issuable upon conversion of shares of 50,000 shares of Series E Redeemable Convertible Preferred Stock, par value $0.001 (the ?Series E Preferred), which a |
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| May 20, 2021 |
CORRESP 1 filename1.htm May 20, 2021 VIA EDGAR SUBMISSION U.S. Securities and Exchange Commission Division of Corporation Finance 100 F Street, N.E. Washington, D.C. 20549 Re: Navidea Biopharmaceuticals, Inc. (the “Company”) Registration Statement on Form S-1 (File No. 333-256093) (as amended, the “Registration Statement”) Dear Ladies and Gentlemen: Pursuant to Rule 461 of the Securities Act of 19 |
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| May 13, 2021 |
As filed with the Securities and Exchange Commission on May 13, 2021 S-1 1 navb20210512s1.htm FORM S-1 As filed with the Securities and Exchange Commission on May 13, 2021 Registration No. 333-[] UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM S-1 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 NAVIDEA BIOPHARMACEUTICALS, INC. (EXACT NAME OF REGISTRANT AS SPECIFIED IN ITS CHARTER) Delaware 2835 31-1080091 (State or Other Jurisdi |
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| May 13, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2021 or ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-35076 NAVIDEA B |
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| May 11, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (date of earliest event reported) May 7, 2021 NAVIDEA BIOPHARMACEUTICALS, INC. (Exact name of registrant as specified in its charter) Delaware 001-35076 31-1080091 (State or other jurisdiction (Commission (IRS Employer |
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| May 11, 2021 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (date of earliest event reported) May 11, 2021 NAVIDEA BIOPHARMACEUTICALS, INC. (Exact name of registrant as specified in its charter) Delaware 001-35076 31-1080091 (State or other jurisdiction (Commission (IRS Employe |
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| May 11, 2021 |
Exhibit 99.1 Navidea Biopharmaceuticals Reports First Quarter 2021 Financial Results Conference Call to be held Tuesday, May 11, 2021 at 5:00 pm EDT DUBLIN, Ohio-(BUSINESS WIRE)-Navidea Biopharmaceuticals, Inc. (NYSE American: NAVB) (?Navidea? or the ?Company?), a company focused on the development of precision immunodiagnostic agents and immunotherapeutics, today announced its financial results f |
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| May 5, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (date of earliest event reported) May 4, 2021 NAVIDEA BIOPHARMACEUTICALS, INC. (Exact name of registrant as specified in its charter) Delaware 001-35076 31-1080091 (State or other jurisdiction (Commission (IRS Employer |
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| May 5, 2021 |
Exhibit 99.1 Navidea Biopharmaceuticals Announces Changes to Board of Directors Composition Industry veteran Amit Bhalla appointed to the Board of Directors DUBLIN, Ohio-(BUSINESS WIRE)-Navidea Biopharmaceuticals, Inc. (NYSE American: NAVB) (?Navidea? or the ?Company?), a company focused on the development of precision immunodiagnostic agents and immunotherapeutics, today announced that Michael Ri |
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| April 5, 2021 |
Exhibit 3.1 AMENDMENT TO THE AMENDED AND RESTATED BYLAWS OF NAVIDEA BIOPHARMACEUTICALS, INC. April 2, 2021 This Amendment (the ?Amendment?) to the Amended and Restated Bylaws, as previously amended (the ?Bylaws?) of Navidea Biopharmaceuticals, Inc. (the ?Company?) dated as of April 2, 2021 (the ?Effective Date?), is hereby adopted, pursuant to the provisions of Article VIII of the Company?s Bylaws |
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| April 5, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (date of earliest event reported) April 2, 2021 NAVIDEA BIOPHARMACEUTICALS, INC. (Exact name of registrant as specified in its charter) Delaware 001-35076 31-1080091 (State or other jurisdiction (Commission (IRS Employ |
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| April 5, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 7) Navidea Biopharmaceuticals, Inc. (Name of Issuer) Common Stock, par value $0.001 per share (Title of Class of Securities) 63937X202 (CUSIP Number) John K. Scott, Jr. 30 Blue Heron Dr. Greenwood Village, CO 80121 Tel: (303) 399-6177 With a Copy to: James G |
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| March 26, 2021 |
Subsidiaries of the registrant.* EX-21.1 2 ex235636.htm EXHIBIT 21.1 Exhibit 21.1 Subsidiaries of Navidea Biopharmaceuticals, Inc. Subsidiaries Jurisdiction of Incorporation Percentage Owned by Registrant Navidea Biopharmaceuticals Europe Limited Ireland 100% Navidea Biopharmaceuticals Limited United Kingdom 100% Macrophage Therapeutics, Inc. Delaware, United States 99.9% |
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| March 26, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K (Mark One) ? ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2020 or ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to to Commission file number 001-35076 NAVIDEA BIOP |
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| March 26, 2021 |
EX-24.1 4 ex235638.htm EXHIBIT 24.1 Exhibit 24.1 POWER OF ATTORNEY Each of the undersigned officers and directors of Navidea Biopharmaceuticals, Inc., a Delaware corporation (the “Company”), does hereby constitute and appoint Jed A. Latkin as his or her agent and lawful attorney-in-fact, in his or her name and on his or her behalf, and in any and all capacities stated below: ● To sign and file wit |
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| March 24, 2021 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K 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 24, 2021 NAVIDEA BIOPHARMACEUTICALS, INC. (Exact name of registrant as specified in its charter) Delaware 001-35076 31-1080091 (State or other jurisdiction (Commission (IRS Emplo |
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| March 24, 2021 |
Exhibit 99.1 Navidea Biopharmaceuticals Reports Fourth Quarter and Full Year 2020 Financial Results Conference Call to be held Wednesday, March 24, 2021 at 5:00 pm EDT DUBLIN, Ohio-(BUSINESS WIRE)-Navidea Biopharmaceuticals, Inc. (NYSE American: NAVB) (“Navidea” or the “Company”), a company focused on the development of precision immunodiagnostic agents and immunotherapeutics, today announced its |
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| March 17, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K 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 16, 2021 NAVIDEA BIOPHARMACEUTICALS, INC. (Exact name of registrant as specified in its charter) Delaware 001-35076 31-1080091 (State or other jurisdiction (Commission (IRS Emplo |
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| March 11, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 6) Navidea Biopharmaceuticals, Inc. (Name of Issuer) Common Stock, par value $0.001 per share (Title of Class of Securities) 63937X202 (CUSIP Number) John K. Scott, Jr. 30 Blue Heron Dr. Greenwood Village, CO 80121 Tel: (303) 399-6177 With a Copy to: James G |
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| March 5, 2021 |
SC 13D/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 5) Navidea Biopharmaceuticals, Inc. (Name of Issuer) Common Stock, par value $0.001 per share (Title of Class of Securities) 63937X202 (CUSIP Number) John K. Scott, Jr. 30 Blue Heron Dr. Greenwood Village, CO 80121 Tel: (303) 399-6177 With a Copy to |
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| March 4, 2021 |
Exhibit 10.1 Execution Copy STOCK PURCHASE AGREEMENT AND LETTER OF INVESTMENT INTENT March 2, 2021 Navidea Biopharmaceuticals, Inc. 4995 Bradenton Ave #240 Dublin, OH 43017 Ladies and Gentlemen: The undersigned (?Investor?) hereby agrees to purchase Fifty Thousand (50,000) shares of Series E Redeemable Convertible Preferred Stock, par value $0.001 per share (the ?Shares?) of Navidea Biopharmaceuti |
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| March 4, 2021 |
Navidea Biopharmaceuticals Announces $5 Million Private Placement with Existing Investor Exhibit 99.1 Navidea Biopharmaceuticals Announces $5 Million Private Placement with Existing Investor DUBLIN, Ohio - (BUSINESS WIRE)- Navidea Biopharmaceuticals, Inc. (NYSE American: NAVB) (“Navidea” or the “Company”), a company focused on the development of precision immunodiagnostic agents and immunotherapeutics, is pleased to announce that it has executed an agreement with the Company’s largest |
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| March 4, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K 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 2, 2021 NAVIDEA BIOPHARMACEUTICALS, INC. (Exact name of registrant as specified in its charter) Delaware 001-35076 31-1080091 (State or other jurisdiction (Commission (IRS Employ |
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| March 4, 2021 |
Exhibit 3.1 NAVIDEA BIOPHARMACEUTICALS, INC. CERTIFICATE OF DESIGNATIONS, VOTING POWERS, PREFERENCES, LIMITATIONS, RESTRICTIONS, AND RELATIVE RIGHTS OF SERIES E REDEEMABLE CONVERTIBLE PREFERRED STOCK It is hereby certified that: I. The name of the corporation is Navidea Biopharmaceuticals, Inc. (the ?Corporation?), a Delaware corporation. II. Set forth hereinafter is a statement of the voting powe |
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| March 4, 2021 |
Exhibit 10.2 Execution Copy REGISTRATION RIGHTS AGREEMENT THIS REGISTRATION RIGHTS AGREEMENT (?Agreement?) is made effective as of March 2, 2021 by and between Navidea Biopharmaceuticals, Inc., a corporation formed under the laws of the State of Delaware (the ?Company?), and John K. Scott, Jr., an individual resident of the State of Colorado (?Investor?). This Agreement is the Registration Rights |
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| February 11, 2021 |
As filed with the Securities and Exchange Commission on February 11, 2021 Registration Statement No. |
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| February 11, 2021 |
February 11, 2021 VIA EDGAR SUBMISSION U.S. Securities and Exchange Commission Division of Corporation Finance 100 F Street, N.E. Washington, D.C. 20549 Re: Navidea Biopharmaceuticals, Inc. (the ?Company?) Registration Statement on Form S-3 (File No. 333-252847) (as amended, the ?Registration Statement? Dear Ladies and Gentlemen: Pursuant to Rule 461 of the Securities Act of 1933, as amended (the |
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| February 8, 2021 |
As filed with the Securities and Exchange Commission on February 8, 2021 Registration Statement No. |
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| February 8, 2021 |
Exhibit 4.6 NAVIDEA BIOPHARMACEUTICALS, INC. INDENTURE Dated as of , 20 [Trustee], Trustee TABLE OF CONTENTS Page ARTICLE I. DEFINITIONS AND INCORPORATION BY REFERENCE 6 Section 1.1. Definitions 6 Section 1.2. Other Definitions 8 Section 1.3. Incorporation by Reference of Trust Indenture Act 9 Section 1.4. Rules of Construction 9 ARTICLE II. THE SECURITIES 9 Section 2.1. Issuable in Series 9 Secti |
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| December 29, 2020 |
SC 13D/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 4) Navidea Biopharmaceuticals, Inc. (Name of Issuer) Common Stock, par value $0.001 per share (Title of Class of Securities) 63937X202 (CUSIP Number) John K. Scott, Jr. 5251 DTC Parkway, Suite 285 Greenwood Village, CO 80111 Tel: (303) 399-6177 With |
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| December 28, 2020 |
Navidea Biopharmaceuticals Strengthens Board of Directors with the Appointment of Malcolm Witter Exhibit 99.1 Navidea Biopharmaceuticals Strengthens Board of Directors with the Appointment of Malcolm Witter DUBLIN, Ohio-(BUSINESS WIRE) - Navidea Biopharmaceuticals, Inc. (NYSE American: NAVB) (“Navidea” or the “Company”), a company focused on the development of precision immunodiagnostic agents and immunotherapeutics, today announced the appointment Malcolm G. Witter to its Board of Directors. |
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| December 28, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (date of earliest event reported) December 28, 2020 NAVIDEA BIOPHARMACEUTICALS, INC. (Exact name of registrant as specified in its charter) Delaware 001-35076 31-1080091 (State or other jurisdiction (Commission (IRS Em |
