<SEC-DOCUMENT>0001654954-21-000584.txt : 20210119
<SEC-HEADER>0001654954-21-000584.hdr.sgml : 20210119
<ACCEPTANCE-DATETIME>20210119081530
ACCESSION NUMBER:		0001654954-21-000584
CONFORMED SUBMISSION TYPE:	8-K
PUBLIC DOCUMENT COUNT:		1
CONFORMED PERIOD OF REPORT:	20210113
ITEM INFORMATION:		Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers: Compensatory Arrangements of Certain Officers
FILED AS OF DATE:		20210119

FILER:

	COMPANY DATA:	
		COMPANY CONFORMED NAME:			GT Biopharma, Inc.
		CENTRAL INDEX KEY:			0000109657
		STANDARD INDUSTRIAL CLASSIFICATION:	PHARMACEUTICAL PREPARATIONS [2834]
		IRS NUMBER:				941620407
		STATE OF INCORPORATION:			DE
		FISCAL YEAR END:			1231

	FILING VALUES:
		FORM TYPE:		8-K
		SEC ACT:		1934 Act
		SEC FILE NUMBER:	000-08092
		FILM NUMBER:		21533998

	BUSINESS ADDRESS:	
		STREET 1:		9350 WILSHIRE BLVD.
		STREET 2:		SUITE 203
		CITY:			BEVERLY HILLS
		STATE:			CA
		ZIP:			90212
		BUSINESS PHONE:		(800) 304-9888

	MAIL ADDRESS:	
		STREET 1:		9350 WILSHIRE BLVD.
		STREET 2:		SUITE 203
		CITY:			BEVERLY HILLS
		STATE:			CA
		ZIP:			90212

	FORMER COMPANY:	
		FORMER CONFORMED NAME:	OXIS INTERNATIONAL INC
		DATE OF NAME CHANGE:	19940916

	FORMER COMPANY:	
		FORMER CONFORMED NAME:	DDI PHARMACEUTICALS INC
		DATE OF NAME CHANGE:	19920703

	FORMER COMPANY:	
		FORMER CONFORMED NAME:	DIAGNOSTIC DATA INC /DE/
		DATE OF NAME CHANGE:	19850312
</SEC-HEADER>
<DOCUMENT>
<TYPE>8-K
<SEQUENCE>1
<FILENAME>gtbp_8k.htm
<DESCRIPTION>CURRENT REPORT
<TEXT>
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UNITED STATES</font></div>
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SECURITIES AND EXCHANGE COMMISSION</font></div>
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Washington, D.C. 20549</font></div>
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FORM 8-K</font></div>
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CURRENT REPORT</font></div>
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Pursuant to Section 13 or 15(d) of the</font></div>
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Securities Exchange Act of 1934</font></div>
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<font style="font-family: Times New Roman; font-size: 13px">Date of
Report (Date of earliest event reported): January 13,
2021</font></div>
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<font style="text-decoration: underline; font-weight: bold; font-family: Times New Roman; font-size: 13px">
GT Biopharma, Inc.</font></div>
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<font style="font-family: Times New Roman; font-size: 13px">(Exact
name of registrant as specified in its charter)</font></div>
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<font style="text-decoration: underline">000-08092</font></font></div>
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<font style="font-family: Times New Roman; font-size: 13px">(Commission
File Number)</font></div>
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<font style="text-decoration: underline">94-1620407</font></font></div>
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<font style="font-family: Times New Roman; font-size: 13px">(IRS
Employer Identification No.)</font></div>
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9350 Wilshire Blvd. Suite 203</font></div>
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<font style="font-weight: bold; color: #000000; font-family: Times New Roman; font-size: 13px">
Beverly Hills, CA 90212</font></div>
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Phone: (800) 304-9888</font></div>
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<font style="font-family: Times New Roman; font-size: 13px">(Address,
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of</font></div>
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<font style="font-family: Times New Roman; font-size: 13px">registrant&#x2019;s
principal executive offices)</font></div>
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N/A</font></div>
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<font style="font-family: Times New Roman; font-size: 13px">(Former
name, former address and former fiscal year, if changed since last
report)</font></div>
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below):</font></div>
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&#x2610;</font> Pre-commencement communications pursuant to Rule
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<font style="font-family: Times New Roman; font-size: 13px">Securities
registered pursuant to Section 12(b) of the Act:</font></div>
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Name of exchangeon which registered</font></div>
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<font style="font-family: Times New Roman; font-size: 13px;">&#xA0;</font></div>
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<font style="font-family: Times New Roman; font-size: 13px">Indicate
by check mark whether the registrant is an emerging growth company
as defined in Rule 405 of the Securities Act of 1933 (&#xA7;230.405
of this chapter) or Rule 12b-2 of the Securities Exchange Act of
1934 (&#xA7;240.12b-2 of this chapter).</font></div>
<div style="text-align: justify; margin-left: 0px; margin-right: 0px; text-indent: 0px">
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<font style="font-family: Times New Roman; font-size: 13px">Emerging
growth company &#x2610;<a name="Check1">
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<font style="font-family: Times New Roman; font-size: 13px">&#xA0;</font></div>
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<font style="font-size: 13px; font-family: Times New Roman">If an
emerging growth company, indicate by check mark if the registrant
has elected not to use the extended transition period for complying
with any new or revised financial accounting standards provided
pursuant to Section 13(a) of the Exchange Act. &#x2610;</font></div>
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<font>&#xA0;</font></div>
<div style="display: table">
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<div style="display: table-cell; width: 96px"><font style="font-weight: bold; font-family: Times New Roman; font-size: 13px"><font style="color: #000000">
Item 5.02</font>&#xA0;&#xA0;&#xA0;&#xA0;&#xA0;<br></font></div>
<div style="text-align: justify; display: table-cell"><font style="color: #000000; font-weight: bold; font-family: Times New Roman; font-size: 13px">
Departure of Directors or Principal Officers; Election of
Directors; Appointment of Principal Officers.</font></div>
</div>
</div>
<div style="text-align: justify; margin-left: 0px; margin-right: 0px; text-indent: 0px">
<font style="font-family: Times New Roman; font-size: 13px">&#xA0;</font></div>
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<font style="font-family: Times New Roman; font-size: 13px"><font style="color: #000000">
On January 13, 2021, the Board of Directors (the
&#x201C;</font><font style="text-decoration: underline; color: #000000">Board</font><font style="color: #000000">&#x201D;)
of GT Biopharma, Inc., a Delaware corporation (the
&#x201C;</font><font style="text-decoration: underline; color: #000000">Company</font><font style="color: #000000">&#x201D;),
approved the appointment of Michael Breen and Rajesh Shrotriya to
each serve as directors of the Company. Mr. Breen will chair the
Audit Committee and be a member of the Nominating Committee. Dr.
Shrotriya will be a member of the Audit Committee and the
Nominating Committee.</font></font></div>
<div style="text-align: justify; margin-left: 0px; margin-right: 0px; text-indent: 0px">
<font style="font-family: Times New Roman; font-size: 13px">&#xA0;</font></div>
<div style="text-align: justify; margin-left: 0px; margin-right: 0px; text-indent: 0px">
<font style="font-style: italic; color: #000000; font-family: Times New Roman; font-size: 13px">
Mr. Michael Breen</font></div>
<div style="text-align: justify; margin-left: 0px; margin-right: 0px; text-indent: 0px">
<font style="font-family: Times New Roman; font-size: 13px">&#xA0;</font></div>
<div style="text-align: justify; margin-left: 0px; margin-right: 0px; text-indent: 0px">
<font style="color: #000000; font-family: Times New Roman; font-size: 13px">
Mr. Breen has no direct or indirect material interest in any
transaction required to be disclosed pursuant to
Item&#xA0;404(a)&#xA0;of&#xA0;Regulation S-K, has no arrangement or
understanding between him and any other person required to be
disclosed pursuant to Item&#xA0;401(b)&#xA0;of&#xA0;Regulation
S-K&#xA0;and has no family relationships required to be disclosed
pursuant to Item&#xA0;401(d)&#xA0;of&#xA0;Regulation
S-K.</font></div>
<div style="text-align: justify; margin-left: 0px; margin-right: 0px; text-indent: 0px">
<font style="font-family: Times New Roman; font-size: 13px">&#xA0;</font></div>
<div style="text-align: justify; margin-left: 0px; margin-right: 0px; text-indent: 0px">
<font style="color: #000000; font-family: Times New Roman; font-size: 13px">
Mr. Breen will receive an annual stipend of $20,000.00 for director
compensation, which includes all fees as part of being a member of
the Nominating Committee and the chairman of the Audit Committee.
The Company will also grant a stock award of shares of common stock
of the Company equal to 1.00% of the number of fully diluted shares
of common stock of the Company, calculated on the fully diluted
equity of the Company upon the Company&#x2019;s completion of a
NASDAQ qualifying capital raise of $15,000,000.00.</font></div>
<div style="text-align: justify; margin-left: 0px; margin-right: 0px; text-indent: 0px">
<font style="font-family: Times New Roman; font-size: 13px">&#xA0;</font></div>
<div style="text-align: justify; margin-left: 0px; margin-right: 0px; text-indent: 0px">
<font style="font-style: italic; color: #000000; font-family: Times New Roman; font-size: 13px">
Dr. Rajesh Shrotriya</font></div>
<div style="text-align: justify; margin-left: 0px; margin-right: 0px; text-indent: 0px">
<font style="font-family: Times New Roman; font-size: 13px">&#xA0;</font></div>
<div style="text-align: justify; margin-left: 0px; margin-right: 0px; text-indent: 0px">
<font style="color: #000000; font-family: Times New Roman; font-size: 13px">
Dr. Shrotriya has no direct or indirect material interest in any
transaction required to be disclosed pursuant to
Item&#xA0;404(a)&#xA0;of&#xA0;Regulation S-K, has no arrangement or
understanding between him and any other person required to be
disclosed pursuant to Item&#xA0;401(b)&#xA0;of&#xA0;Regulation
S-K&#xA0;and has no family relationships required to be disclosed
pursuant to Item&#xA0;401(d)&#xA0;of&#xA0;Regulation
S-K.</font></div>
<div style="text-align: justify; margin-left: 0px; margin-right: 0px; text-indent: 0px">
<font style="font-family: Times New Roman; font-size: 13px">&#xA0;</font></div>
<div style="text-align: justify; margin-left: 0px; margin-right: 0px; text-indent: 0px">
<font style="color: #000000; font-family: Times New Roman; font-size: 13px">
Dr. Shrotriya will receive an annual stipend of $20,000.00 for
director compensation, an additional $5,000.00 annually as a member
of the Audit committee and reimbursement of all reasonable expenses
for his service of his duties on the Board. The Company will also
grant a stock award of shares of common stock of the Company equal
to 1.00% of the number of fully diluted shares of common stock of
the Company, calculated on the fully diluted equity of the Company
upon the Company&#x2019;s national exchange financing
date.</font></div>
<div style="text-align: justify; margin-left: 0px; margin-right: 0px; text-indent: 0px">
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Mr. Breen and Dr. Shrotriya have each entered into Board Service
Agreements with the Company, effective as of January 13, 2021,
which supplement the indemnification provisions of the
Company&#x2019;s bylaws and obligate the company to insure them both
under the Company&#x2019;s director and officer&#x2019;s insurance
policy.</font></div>
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SIGNATURE PAGE</font></div>
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<font style="font-family: Times New Roman; font-size: 13px">Pursuant
to the requirement of the Securities and Exchange Act of 1934, the
Registrant has duly caused this report to be signed on its behalf
by the undersigned hereunto duly authorized.</font></div>
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<font style="font-weight: bold; font-family: Times New Roman; font-size: 13px">
GT Biopharma, Inc.</font></div>
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<font style="font-family: Times New Roman; font-size: 13px">Dated:
January 19, 2021</font></div>
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<font style="font-family: Times New Roman; font-size: 13px">By:</font></div>
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<font style="font-family: Times New Roman; font-size: 13px">&#xA0;/s/
Michael Handelman</font></div>
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<div style="text-align: left; margin-left: 24px; margin-right: 0px; text-indent: 0px">
<font style="font-family: Times New Roman; font-size: 13px">Michael
Handelman</font></div>
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<font style="font-family: Times New Roman; font-size: 13px">Chief
Financial Officer</font></div>
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