<SEC-DOCUMENT>0001654954-21-001802.txt : 20210218
<SEC-HEADER>0001654954-21-001802.hdr.sgml : 20210218
<ACCEPTANCE-DATETIME>20210218060316
ACCESSION NUMBER:		0001654954-21-001802
CONFORMED SUBMISSION TYPE:	8-K
PUBLIC DOCUMENT COUNT:		1
CONFORMED PERIOD OF REPORT:	20210217
ITEM INFORMATION:		Unregistered Sales of Equity Securities
FILED AS OF DATE:		20210218
DATE AS OF CHANGE:		20210218

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:	001-40023
		FILM NUMBER:		21647574

	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): February 17,
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"><font style="font-weight: bold; font-family: Times New Roman; font-size: 13px">Delaware</font></font></div>
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or other jurisdiction of</font></div>
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<font style="font-family: Times New Roman; font-size: 13px">incorporation
or organization)</font></div>
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<font style="text-decoration: underline"><font style="font-weight: bold; font-family: Times New Roman; font-size: 13px">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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<td style="vertical-align: top; width: 34%;">
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<font style="text-decoration: underline"><font style="font-weight: bold; font-family: Times New Roman; font-size: 13px">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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<font style="font-weight: bold; color: #000000; font-family: Times New Roman; font-size: 13px">
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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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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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 (see General Instruction A.2.
below):</font></div>
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&#x2610;</font> Written communications pursuant to Rule 425 under
the Securities Act (17 CFR 230.425)</font></div>
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&#x2610;</font> Soliciting material pursuant to Rule l 4a- l 2 under
the Exchange Act ( 17 CFR 240. l 4a- l 2)</font></div>
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<font style="font-family: Times New Roman; font-size: 13px"><font>
&#x2610;</font> Pre-commencement communications pursuant to Rule l
4d-2(b) under the Exchange Act (17 CFR 240. l 4d-2(b))</font></div>
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<font style="font-family: Times New Roman; font-size: 13px"><font>
&#x2610;</font> Pre-commencement communications pursuant to Rule
13e-4(c) under the Exchange Act (17 CFR 240. l
3e-4(c))</font></div>
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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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Title of each class</font></div>
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Trading Symbol</font></div>
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Name of exchange</font></div>
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<font style="font-weight: bold; font-family: Times New Roman; font-size: 13px">
on which registered</font></div>
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<font style="font-family: Times New Roman; font-size: 13px">Common
Stock, par value $0.001 per share</font></div>
</td>
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<div><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">GTBP</font></div>
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<div><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">Nasdaq
Capital Market</font></div>
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<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-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">
<font style="font-family: Times New Roman; font-size: 13px">&#xA0;</font></div>
<div style="text-align: right; margin-left: 0px; margin-right: 0px; text-indent: 0px">
<font style="font-family: Times New Roman; font-size: 13px">Emerging
growth company&#xA0; &#x2610;</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"><font style="font-size: 13px">
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.&#xA0; &#x2610;</font></font></div>
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<font style="font-weight: bold; color: #000000; font-family: Times New Roman; font-size: 13px">
Item 3.02.&#xA0;Unregistered Sales of Equity
Securities.</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>
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<font style="font-family: Times New Roman; font-size: 13px"><font style="color: #000000">
On February 17, 2021, Empery Asset Master Ltd., Empery Tax
Efficient, LP and Empery Tax Efficient II, LP (collectively, the
&#x201C;</font><font style="text-decoration: underline; color: #000000">Empery
Funds</font><font style="color: #000000">&#x201D;) voluntarily
converted their Settlement Notes dated June 19, 2020, with an
aggregate principal amount of $517,500 and $34,213 of accrued
interest into 162,268 shares of common stock of the Company at a
conversion rate of $3.40 per share, after giving effect to the
1-for-17 reverse stock split effected on February 10, 2021. The
Empery Funds contemporaneously exercised their pre-funded warrants
to acquire 83,825 shares of common stock The issuance of the shares
of common stock to the Empery Funds upon conversion of the
Settlement Notes and the exercise of the warrants was made in
reliance in reliance upon the exemption from registration provided
by Section 3(a)(9) of the Securities Act of 1933, as
amended.</font></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>
</td>
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<font style="font-family: Times New Roman; font-size: 13px">Dated:
February 17, 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">/s/
Michael Handelman</font></div>
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<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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