<SEC-DOCUMENT>0001102624-16-002044.txt : 20160129
<SEC-HEADER>0001102624-16-002044.hdr.sgml : 20160129
<ACCEPTANCE-DATETIME>20160129061911
ACCESSION NUMBER:		0001102624-16-002044
CONFORMED SUBMISSION TYPE:	8-K
PUBLIC DOCUMENT COUNT:		2
CONFORMED PERIOD OF REPORT:	20160128
ITEM INFORMATION:		Entry into a Material Definitive Agreement
ITEM INFORMATION:		Financial Statements and Exhibits
FILED AS OF DATE:		20160129
DATE AS OF CHANGE:		20160129

FILER:

	COMPANY DATA:	
		COMPANY CONFORMED NAME:			IMMUCELL CORP /DE/
		CENTRAL INDEX KEY:			0000811641
		STANDARD INDUSTRIAL CLASSIFICATION:	IN VITRO & IN VIVO DIAGNOSTIC SUBSTANCES [2835]
		IRS NUMBER:				010382980
		STATE OF INCORPORATION:			DE
		FISCAL YEAR END:			1231

	FILING VALUES:
		FORM TYPE:		8-K
		SEC ACT:		1934 Act
		SEC FILE NUMBER:	001-12934
		FILM NUMBER:		161370889

	BUSINESS ADDRESS:	
		STREET 1:		56 EVERGREEN DR
		CITY:			PORTLAND
		STATE:			ME
		ZIP:			04103
		BUSINESS PHONE:		2078782770

	MAIL ADDRESS:	
		STREET 1:		56 EVERGREEN DRIVE
		CITY:			PORTLAND
		STATE:			ME
		ZIP:			04103
</SEC-HEADER>
<DOCUMENT>
<TYPE>8-K
<SEQUENCE>1
<FILENAME>immucellcorporation8k.htm
<DESCRIPTION>IMMUCELL CORPORATION 8-K
<TEXT>
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 <title>Edgar-8K</title>
 <!-- IMPORTANT NOTE: This form must comply with SEC's requirements for EDGAR online submissions,
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<body>
 <div style="text-align:center;height:20px"> </div>

 <div style="text-align:center;padding:1px;font-weight:bold;" id="header-static-country">UNITED STATES</div>
 <div style="text-align:center;padding:1px;font-weight:bold;" id="header-static-sec">SECURITIES AND EXCHANGE COMMISSION</div>
 <div style="text-align:center;padding:1px" id="header-static-washington">Washington, D.C. 20549</div>
 <hr style="width:350px" size="1">

 <div style="text-align:center;height:20px"> </div>
 <div style="text-align:center;padding:1px;font-weight:bold;" id="header-static-form">FORM 8-K</div>

 <div style="text-align:center;height:20px"> </div>
 <div style="text-align:center;padding:1px;font-weight:bold;" id="header-static-report">CURRENT REPORT</div>

 <div style="text-align:center;height:20px"> </div>
 <div style="text-align:center;padding:1px;font-weight:bold;" id="header-static-law">Pursuant to Section 13 or 15(d) of the<br>Securities Exchange Act of 1934</div>

 <div style="text-align:center;height:20px"> </div>
 <div style="text-align:center;padding:1px;">
  <font style="font-weight:bold" id="header-label-reportdate">Date of Report: </font>
  <font id="header-field-reportdate">January 28, 2016</font>
 </div>
 <div style="text-align:center;padding:1px;" id="header-static-reportdatecomment">(Date of earliest event reported)</div>

 <div style="text-align:center;height:20px"> </div>
 <div style="text-align:center;padding:1px;font-weight:bold;" id="header-field-companyname">ImmuCell Corporation</div>
 <div style="text-align:center;padding:1px;" id="header-static-companynamecomment">(Exact name of registrant as specified in its charter)</div>

 <div style="text-align:center;height:20px;"> </div>
 <div style="text-align:center;width:100%">
     <table style="margin-left:auto;margin-right:auto;width:80%;">
      <tr>
       <td style="text-align:center;padding:1px;font-weight:bold;width:30%" id="header-field-jurisdiction">DE</td>
       <td style="width:5%"> </td>
       <td style="text-align:center;padding:1px;font-weight:bold;width:30%" id="header-field-commisionfile">001-12934</td>
       <td style="width:5%"> </td>
       <td style="text-align:center;padding:1px;font-weight:bold;width:30%" id="header-field-employerid">01-0382980</td>
      </tr>
      <tr>
       <td style="text-align:center;padding:1px;" id="header-static-jurisdictioncomment">(State or other jurisdiction of incorporation)</td>
       <td> </td>
       <td style="text-align:center;padding:1px;" id="header-static-commisionfilecomment">(Commission File Number)</td>
       <td> </td>
       <td style="text-align:center;padding:1px;" id="header-static-employeridcomment">(IRS Employer Identification Number)</td>
      </tr>
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 </div>

 <div style="text-align:center;height:20px;"> </div>
 <div style="text-align:center;width:100%">
 <table style="margin-left:auto;margin-right:auto;width:80%;">
  <tr>
   <td style="text-align:center;padding:1px;font-weight:bold;width:45%" id="header-field-address">56 Evergreen Drive, Portland, Maine</td>
   <td style="width:10%"> </td>
   <td style="text-align:center;padding:1px;padding:1px;font-weight:bold;width:45%" id="header-field-zipcode">04103</td>
  </tr>
  <tr>
   <td style="text-align:center;" id="header-static-addresscomment">(Address of principal executive offices)</td>
   <td> </td>
   <td style="text-align:center;" id="header-static-zipcodecomment">(Zip Code)</td>
  </tr>
 </table>
 </div>

 <div style="text-align:center;height:20px"> </div>
 <div style="text-align:center;padding:1px;font-weight:bold;" id="header-field-telephone">207-878-2770</div>
 <div style="text-align:center;padding:1px;" id="header-static-telephonecomment">(Registrant's telephone number, including area code)</div>

 <div style="text-align:center;height:20px"> </div>
 <div style="text-align:center;padding:1px;font-weight:bold;">Not Applicable</div>
 <div style="text-align:center;padding:1px;">(Former Name or Former Address, if changed since last report)</div>

 <div style="text-align:center;height:20px"> </div>
 <div style="margin-left:auto;margin-right:auto;width:80%;">

     <p>Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following  provisions:</p>
     <table style="margin-left:auto; margin-right:auto; width:80%;">
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             <td style="width:20px; text-align:center; vertical-align:middle;">
                 <div id="header-field-rule425" style="width:1.2em; height:1.2em; padding:0; border:solid 1px #000000; font-size:0.8em; text-align:center; font-weight:bold;">&nbsp;</div>
             </td>
             <td style="width:auto;">Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)</td>
         </tr>
         <tr>
             <td style="width:20px; text-align:center; vertical-align:middle;">
                 <div id="Div1" style="width:1.2em; height:1.2em; padding:0; border:solid 1px #000000; font-size:0.8em; text-align:center; font-weight:bold;">&nbsp;</div>
             </td>
             <td style="width:auto;">Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)</td>
         </tr>
         <tr>
             <td style="width:20px; text-align:center; vertical-align:middle;">
                 <div id="Div2" style="width:1.2em; height:1.2em; padding:0; border:solid 1px #000000; font-size:0.8em; text-align:center; font-weight:bold;">&nbsp;</div>
             </td>
             <td style="width:auto;">Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))</td>
         </tr>
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             <td style="width:20px; text-align:center; vertical-align:middle;">
                 <div id="Div3" style="width:1.2em; height:1.2em; padding:0; border:solid 1px #000000; font-size:0.8em; text-align:center; font-weight:bold;">&nbsp;</div>
             </td>
             <td style="width:auto;">Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))</td>
         </tr>
     </table>
    </div>

    <hr>

 <div style="margin-left:auto;margin-right:auto;width:80%;" id="body-list-itmes">

     <div style="">
         <div style="text-align:center;height:20px"> </div>
         <div style="padding:1px;font-weight:bold">Item 1.01. Entry into a Material Definitive Agreement</div>
         <div style="padding:1px;">Item 2.02.  Results of Operations and Financial Condition.<br> <br>On January 28, 2016, ImmuCell Corporation (the &quot;Company&quot;) issued a press release announcing, among other things, the Company&#39;s preliminary results of operations for the quarter and year ended December 31, 2015. The press release is attached hereto as Exhibit 99.1 to this Current Report on Form 8-K and is incorporated herein in its entirety.<br> <br>The information included in this Item 2.02 of Current Report on Form 8-K, including the attached Exhibit 99.1, shall not be deemed &quot;filed&quot; for purposes of Section 18 of the Securities Exchange Act of 1934, as amended (the &quot;Exchange Act&quot;), or incorporated by reference in any filing under the Securities Act of 1933, as amended, or the Exchange Act, except as shall be expressly set forth by specific reference in such filing.</div>
     </div>































































     <div style="">
         <div style="text-align:center;height:20px"> </div>
         <div style="padding:1px;font-weight:bold">Item 9.01. Financial Statements and Exhibits</div>
         <div style="padding:1px;"></div>







         <div style="">
             <div style="text-align:center;height:20px"> </div>
             <div style="padding:1px;font-weight:bold">(d) Exhibits</div>
             <div style="padding:1px;"><a href="exhibit99.htm" id="body-field-exhibits">Press Release of <font>ImmuCell Corporation dated January 28, 2016</font></a></div>
         </div>
     </div>
 </div>

 <hr>

 <div style="text-align:center;height:20px"> </div>
 <div style="text-align:center;margin-left:auto;margin-right:auto;width:80%;">
  <div style="text-align:center;padding:1px;font-weight:bold;">Signature</div>
  <p>Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.</p>
  <table style="width:100%">
   <tr>
    <td style="width:30%;text-align:left">
     <font>Dated: </font><font id="signature-field-date">January 28, 2016</font>
    </td>
    <td style="width:40%"> </td>
    <td style="width:30%;text-align:left">
     <font style="font-weight:bold" id="signature-field-company">ImmuCell Corporation</font><br><br>
     <font>By: </font><font style="text-decoration:underline" id="signature-field-signature">/s/  Michael F. Brigham</font><br>
     <font> &nbsp;&nbsp;&nbsp;&nbsp;&nbsp;</font><font id="signature-field-signaturename"> Michael F. Brigham</font><br>
     <font> &nbsp;&nbsp;&nbsp&nbsp;&nbsp;</font><font style="font-style:italic" id="signature-field-signaturetitle">President, Chief Executive Officer and Principal Financial Officer</font>
    </td>
   </tr>
  </table>
 </div>

 <hr>

 <div style="text-align:center;height:20px"> </div>
 <div style="text-align:center;padding:1px;font-weight:bold;" id="header-static-exhibitindex">Exhibit Index</div>

 <table style="margin-left:auto;margin-right:auto;width:80%;">
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   <td style="text-align:center;text-decoration:underline;padding:1px;font-weight:bold;width:35%" id="footer-label-exhibitno">Exhibit No.</td>
   <td style="width:30%"> </td>
   <td style="text-align:center;text-decoration:underline;padding:1px;font-weight:bold;width:35%" id="footer-label-description">Description</td>
  </tr>
  <tr>
   <td style="text-align:center;padding:1px;" id="footer-field-exhibitno">99.1</td>
   <td> </td>
   <td style="text-align:center;padding:1px;" id="footer-field-exhibitdescription">Press Release of <font>ImmuCell Corporation dated January 28, 2016</font></td>
  </tr>
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</DOCUMENT>
<DOCUMENT>
<TYPE>EX-99
<SEQUENCE>2
<FILENAME>exhibit99.htm
<DESCRIPTION>PRESS RELEASE
<TEXT>
<p></p>
<b>ImmuCell Corporation Announces Proposed Public Offering of Common Stock and Preliminary Full Year 2015 Results</b>
<p>
PORTLAND, ME -- (Marketwired - January 28, 2016) - ImmuCell Corporation ("ImmuCell" or the "Company") (NASDAQ: ICCC), an animal health company that is developing, manufacturing and selling products that improve health and productivity in the dairy and beef industries, today announced a proposed registered underwritten public offering of its common stock, subject to market and other conditions.
</p>

<p>
Craig-Hallum Capital Group LLC is acting as sole underwriter for the offering.
</p>

<p>
ImmuCell intends to use the net proceeds from the offering, if completed, to construct and equip a facility that will produce Nisin, the active ingredient in the Company's Mast Out&#174; product for treatment of subclinical mastitis in lactating dairy cows.
</p>

<p>
The shares are being offered pursuant to an effective shelf registration statement on Form S-3 that was previously filed with the Securities and Exchange Commission ("SEC"). The securities may be offered only by means of a prospectus. The prospectus and a preliminary prospectus supplement related to the offering have been filed with the SEC and are available on the SEC's website located at http://www.sec.gov and may also be obtained from Craig-Hallum Capital Group, 222 South Ninth Street, Suite 350, Minneapolis, MN 55402, telephone 612-334-6300, email: prospectus@chlm.com.
</p>

<p>
The Company also announced that, based on currently available information, estimated revenues for the full year ended December 31, 2015 are expected to be approximately $10.2 million and earnings per share for the full year ended December 31, 2015 are expected to be between $0.34 and $0.41. The Company's estimated cash, cash equivalents, short-term and long-term investments balance was approximately $6.5 million as of December 31, 2015. These expected results are preliminary, are subject to the completion of an audit of the Company's December 31, 2015 financial statements, and are not necessarily indicative of the results to be expected for future periods.
</p>

<p>
This press release shall not constitute an offer to sell, or the solicitation of an offer to buy, nor may there be any sale of these securities in any state or jurisdiction in which such an offer, solicitation or sale would be unlawful prior to registration or qualification under the securities laws of any such state or jurisdiction.
</p>

<p>
About ImmuCell
</p>

<p>
ImmuCell Corporation's (NASDAQ: ICCC) purpose is to create scientifically-proven and practical products that improve animal health and productivity in the dairy and beef industries. ImmuCell has developed products that provide significant, immediate immunity to newborn dairy and beef livestock. The Company has also developed products that address mastitis, the most significant cause of economic loss to the dairy industry. Press releases and other information about the Company are available at: http://www.immucell.com.
</p>

<p>
Safe Harbor Statement:
</p>
<p>
This press release contains "forward-looking statements" within the meaning of Section 27A of the Securities Act of 1933 and Section 21E of the Securities Exchange Act of 1934. Such statements include, but are not limited to, any statements relating to: projections of future financial performance; the scope and timing of future product development work and commercialization of our products; future costs of product development efforts; the estimated prevalence rate of subclinical mastitis; future market share of and revenue generated by products still in development; future sources of financial support for our product development, manufacturing and marketing efforts; the future adequacy of our own manufacturing facilities or those of third parties with which we have contractual relationships to meet demand for our products on a timely basis; the amount and timing of future investments in facility modifications and production equipment; the future adequacy of our working capital and the availability of third party financing; timing and future costs of a facility to produce the Drug Substance (active pharmaceutical ingredient) for Mast Out&#174;; the timing and outcome of pending or anticipated applications for future regulatory approvals; future regulatory requirements relating to our products; future expense ratios and margins; future compliance with bank debt covenants; future realization of deferred tax assets; costs associated with sustaining compliance with cGMP regulations in our current operations and attaining such compliance for the facility to produce the Drug Substance for Mast Out&#174;; factors that may affect the dairy and beef industries and future demand for our products; the cost-effectiveness of additional sales and marketing expenditures and resources; the accuracy of our understanding of our distributors' ordering patterns; anticipated changes in our manufacturing capabilities and efficiencies; anticipated competitive and market conditions; and any other statements that are not historical facts. Forward-looking statements can be identified by the use of words such as "expects", "may", "anticipates", "aims", "intends",  "would", "could", "should", "will", "plans", "believes", "estimates", "targets", "projects", "forecasts" and similar words and expressions. In addition, there can be no assurance that future developments affecting us will be those that we anticipate. Such statements involve risks and uncertainties, including, but not limited to, those risks and uncertainties relating to difficulties or delays in development, testing, regulatory approval, production and marketing of our products, competition within our anticipated product markets, alignment between our manufacturing resources and product demand, the uncertainties associated with product development and Drug Substance manufacturing, our potential reliance upon third parties for financial support, products and services, changes in laws and regulations, decision making by regulatory authorities, possible dilutive impacts on existing stockholders from any equity financing transactions in which we may engage, currency fluctuations and other risks detailed from time to time in filings we make with the Securities and Exchange Commission, including our Quarterly Reports on Form 10-Q, our Annual Reports on Form 10-K and our Current Reports on Form 8-K. Such statements are based on our current expectations, but actual results may differ materially due to various factors, including the risk factors summarized in our quarterly filings with the SEC and uncertainties otherwise referred to in this press release.
</p>

<pre>
Contact:
Michael F. Brigham
President and CEO
ImmuCell Corporation
(207) 878-2770

Joe Diaz, Robert Blum and Joe Dorame
Lytham Partners, LLC
(602) 889-9700
iccc@lythampartners.com</pre>
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