الإحصائيات الأساسية
| LEI | 5493002WV0KYX8JXAH52 |
| CIK | 1534525 |
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 Xenetic Biosciences, Inc.
SEC Filings (Chronological Order)
توفر هذه الصفحة قائمة كاملة ومرتبة ترتيبًا زمنيًا لتصريحات هيئة الأوراق المالية والبورصات، باستثناء تصريحات الملكية التي نقدمها في مكان آخر.
| August 13, 2025 |
Exhibit 99.1 Xenetic Biosciences, Inc. Reports Second Quarter 2025 Financial Results Expanded strategic partnership with The Scripps Research Institute to advance proof-of-concept studies and further develop its program combining systemic DNase I with CAR T-cell therapies Ended the quarter with $4.8 million of cash to fund operations FRAMINGHAM, MA – (August 13, 2025) – Xenetic Biosciences, Inc. ( |
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| August 13, 2025 |
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 13, 2025 Xenetic Biosciences, Inc. (Exact name of registrant as specified in charter) Nevada 001-37937 45-2952962 (State or other jurisdiction of incorporation) (Commission Fil |
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| August 12, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2025 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: 001-37937 XENETIC BIOSCIENCES, INC. |
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| August 12, 2025 |
EXHIBIT 10.1 CERTAIN INFORMATION IDENTIFIED IN THIS DOCUMENT, MARKED BY BRACKETS AND ASTERISKS (“[***]”), HAS BEEN EXCLUDED PURSUANT TO ITEM 601(B)(10) OF REGULATION S-K UNDER THE SECURITIES ACT OF 1933, AS AMENDED, BECAUSE IT IS (I) NOT MATERIAL AND (II) WOULD LIKELY CAUSE COMPETITIVE HARM TO THE REGISTRANT IF PUBLICLY DISCLOSED. THIRD AMENDMENT TO RESEARCH FUNDING AND OPTION AGREEMENT This Third |
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| May 14, 2025 |
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 14, 2025 Xenetic Biosciences, Inc. (Exact name of registrant as specified in charter) Nevada 001-37937 45-2952962 (State or other jurisdiction of incorporation) (Commission File N |
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| May 14, 2025 |
Exhibit 99.1 Xenetic Biosciences, Inc. Reports First Quarter 2025 Financial Results and Provides Business Update Strategic focus on exploratory investigator-initiated clinical studies with institutional partners Continued progress of DNase I development program towards IND and first-in-human study for treatment of pancreatic carcinoma Ended the quarter with $5.2 million of cash to fund operations |
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| May 13, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2025 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: 001-37937 XENETIC BIOSCIENCES, INC. |
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| May 13, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-K/A Amendment No. 2 Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-K/A Amendment No. 2 ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934. For the fiscal year ended December 31, 2024 ☐ TRANSITION REPORTS PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934. For the transition period from to Commission File Number: |
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| April 29, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-K/A Amendment No. 1 Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-K/A Amendment No. 1 ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934. For the fiscal year ended December 31, 2024 ☐ TRANSITION REPORTS PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934. For the transition period from to Commission File Number: |
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| April 10, 2025 |
Letter from Marcum LLP dated April 8, 2025 Exhibit 16.1 April 8, 2025 Securities and Exchange Commission 100 F Street, N.E. Washington, DC 20549 Commissioners: We have read the statements made by Xenetic Biosciences, Inc. under Item 4.01 of its Form 8-K. We agree with the statements concerning our Firm in such Form 8-K; we are not in a position to agree or disagree with other statements of Xenetic Biosciences, Inc. contained therein. Very |
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| April 10, 2025 |
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 8, 2025 Xenetic Biosciences, Inc. (Exact name of registrant as specified in charter) Nevada 001-37937 45-2952962 (State or other jurisdiction of incorporation) (Commission File |
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| March 19, 2025 |
EX-99.1 5 xeneticex9901.htm PRESS RELEASE Exhibit 99.1 CONFIDENTIAL DRAFT NOT FOR IMMEDIATE RELEASE Xenetic Biosciences, Inc. Reports Full Year 2024 Financial Results Encouraging preclinical data supporting the use of DNase-based technology to target NETosis and address difficult to treat cancers Strategic focus on exploratory investigator-initiated clinical studies with institutional partners Con |
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| March 19, 2025 |
Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K/A (Amendment No. 1) 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 19, 2025 (March 19, 2025) Xenetic Biosciences, Inc. (Exact name of registrant as specified in charter) Nevada 001-37937 45-2952962 (State or other jurisdicti |
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| March 19, 2025 |
Exhibit 99.1 Xenetic Biosciences, Inc. Reports Full Year 2024 Financial Results Encouraging preclinical data supporting the use of DNase-based technology to target NETosis and address difficult to treat cancers Strategic focus on exploratory investigator-initiated clinical studies with institutional partners Continued progress of DNase I development program towards IND and first-in-human study for |
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| March 19, 2025 |
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 19, 2025 Xenetic Biosciences, Inc. (Exact name of registrant as specified in charter) Nevada 001-37937 45-2952962 (State or other jurisdiction of incorporation) (Commission File |
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| March 18, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 Form 10-K Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 Form 10-K ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934. |
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| March 18, 2025 |
Consulting Agreement, dated January 1, 2025, between Xenetic Biosciences, Inc. and Dmitry Genkin Exhibit 10.31 CERTAIN INFORMATION IDENTIFIED IN THIS DOCUMENT, MARKED BY BRACKETS AND ASTERISKS (“[***]”), HAS BEEN EXCLUDED PURSUANT TO ITEM 601(B)(10) OF REGULATION S-K UNDER THE SECURITIES ACT OF 1933, AS AMENDED, BECAUSE IT IS (I) NOT MATERIAL AND (II) WOULD LIKELY CAUSE COMPETITIVE HARM TO THE REGISTRANT IF PUBLICLY DISCLOSED. CONFIDENTIAL CONSULTING AGREEMENT THIS CONSULTING AGREEMENT (the “ |
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| March 18, 2025 |
Exhibit 10.29 FIRST AMENDMENT to RESEARCH FUNDING AND OPTION AGREEMENT THIS FIRST AMENDMENT (the “Amendment”), effective as of June 1st, 2024 (“Amendment Effective Date”), is by and between the THE SCRIPPS RESEARCH INSTITUTE, a California nonprofit public benefit corporation with offices at 10550 North Torrey Pines Road, La Jolla, California 92037 (“TSRI”), and XENETIC BIOSCIENCES INC., a for-prof |
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| March 18, 2025 |
Insider Trading Policy and Procedures Exhibit 19.1 XENETIC BIOSCIENCES, INC. Statement of Company POLICY on Insider Trading and Disclosure This memorandum sets forth the policy of Xenetic Biosciences, Inc. and its subsidiaries which may exist from time to time (collectively, the “Company”) regarding trading in the Company’s securities as described below and the disclosure of information concerning the Company. This Statement of Compan |
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| March 18, 2025 |
Exhibit 21.1 SUBSIDIARIES OF REGISTRANT Subsidiary Country / State of Incorporation Xenetic Biosciences (UK), Ltd. United Kingdom registered company Lipoxen Technologies, Ltd. United Kingdom registered company Xenetic Bioscience, Inc. Delaware SymbioTec, GmbH German registered company Hesperix S.A. Swiss registered company |
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| March 18, 2025 |
Securities Registered Pursuant to Section 12 of the Securities Exchange Act of 1934 Exhibit 4.1 DESCRIPTION OF THE REGISTRANT’S SECURITIES REGISTERED PURSUANT TO SECTION 12 OF THE SECURITIES EXCHANGE ACT OF 1934 When used herein, the terms the “Company”, “we,” “our,” and “us” refer to Xenetic Biosciences, Inc. The following summary describes our capital stock and the material provisions of our articles of incorporation, as amended, and our amended and restated bylaws. Because the |
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| March 18, 2025 |
Exhibit 10.30 CERTAIN INFORMATION IDENTIFIED IN THIS DOCUMENT, MARKED BY BRACKETS AND ASTERISKS (“[***]”), HAS BEEN EXCLUDED PURSUANT TO ITEM 601(B)(10) OF REGULATION S-K UNDER THE SECURITIES ACT OF 1933, AS AMENDED, BECAUSE IT IS (I) NOT MATERIAL AND (II) WOULD LIKELY CAUSE COMPETITIVE HARM TO THE REGISTRANT IF PUBLICLY DISCLOSED. SECOND AMENDMENT TO RESEARCH FUNDING AND OPTION AGREEMENT This Sec |
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| December 13, 2024 |
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 11, 2024 Xenetic Biosciences, Inc. (Exact name of registrant as specified in charter) Nevada 001-37937 45-2952962 (State or other jurisdiction of incorporation) (Commission F |
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| November 13, 2024 |
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 13, 2024 Xenetic Biosciences, Inc. (Exact name of registrant as specified in charter) Nevada 001-37937 45-2952962 (State or other jurisdiction of incorporation) (Commission F |
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| November 13, 2024 |
Exhibit 99.1 Xenetic Biosciences, Inc. Reports Third Quarter 2024 Financial Results – Establishing growing body of preclinical data evaluating the DNase-based oncology platform across a number of high-value oncology indications – Ongoing progress towards first in human clinical study for locally advanced or metastatic solid tumors – Strategic focus on exploratory investigator-initiated studies wit |
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| November 12, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2024 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: 001-37937 XENETIC BIOSCIENCES, INC. |
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| November 7, 2024 |
Exhibit 99.1 Xenetic Biosciences, Inc. Extends Research and Development Collaboration with The Scripps Research Institute to Advance DNase Platform Company is advancing DNase-based oncology program towards clinical proof-of-concept studies in multiple indications FRAMINGHAM, MA – (November 7, 2024) – Xenetic Biosciences, Inc. (NASDAQ: XBIO) (“Xenetic” or the “Company”), a biopharmaceutical company |
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| November 7, 2024 |
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 1, 2024 Xenetic Biosciences, Inc. (Exact name of registrant as specified in charter) Nevada 001-37937 45-2952962 (State or other jurisdiction of incorporation) (Commission Fi |
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| October 31, 2024 |
Table of Contents SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 14A INFORMATION (Rule 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT 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 Stat |
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| October 31, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No.) Filed by the Registrant ý Filed by a Party other than the Registrant ¨ Check the appropriate box: o Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) o Defini |
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| October 31, 2024 |
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): October 29, 2024 Xenetic Biosciences, Inc. (Exact name of registrant as specified in charter) Nevada 001-37937 45-2952962 (State or other jurisdiction of incorporation) (Commission Fi |
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| October 30, 2024 |
945 Concord Street Framingham, Massachusetts 01701 945 Concord Street Framingham, Massachusetts 01701 October 30, 2024 VIA EDGAR Securities and Exchange Commission Division of Corporation Finance Office of Life Sciences 100 F Street, N. |
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| October 21, 2024 |
Form of Subordinated Indenture EXHIBIT 4.5 Xenetic Biosciences, Inc. and , Trustee INDENTURE Dated as of , Providing for Issuance of Senior Debt Securities in Series TABLE OF CONTENTS Page Article I DEFINITIONS AND OTHER PROVISIONS OF GENERAL APPLICATION 1 Section 1.01 Definitions 1 Section 1.02 Compliance Certificates and Opinions 10 Section 1.03 Form of Documents Delivered to Trustee 10 Section 1.04 Acts of Securityholders. 1 |
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| October 21, 2024 |
As filed with the Securities and Exchange Commission on October 21, 2024 As filed with the Securities and Exchange Commission on October 21, 2024 Registration Statement No. |
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| October 21, 2024 |
EXHIBIT 107 Calculation of Filing Fee Tables Form S-3 (Form Type) Xenetic Biosciences, Inc. |
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| October 21, 2024 |
EXHIBIT 4.4 Xenetic Biosciences, Inc. and , Trustee INDENTURE Dated as of , Providing for Issuance of Senior Debt Securities in Series TABLE OF CONTENTS Page Article I. DEFINITIONS AND OTHER PROVISIONS OF GENERAL APPLICATION 1 Section 1.01 Definitions 1 Section 1.02 Compliance Certificates and Opinions 9 Section 1.03 Form of Documents Delivered to Trustee 9 Section 1.04 Acts of Securityholders. 10 |
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| August 14, 2024 |
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 14, 2024 Xenetic Biosciences, Inc. (Exact name of registrant as specified in charter) Nevada 001-37937 45-2952962 (State or other jurisdiction of incorporation) (Commission Fil |
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| August 14, 2024 |
Xenetic Biosciences, Inc. Reports Second Quarter 2024 Financial Results and Provides Business Update Exhibit 99.1 Xenetic Biosciences, Inc. Reports Second Quarter 2024 Financial Results and Provides Business Update – Ongoing preclinical studies with data expected before year end – Focus on demonstration of DNase-based oncology program in clinical proof-of-concept studies in multiple indications – Ended the quarter with $7.3 million of cash to fund operations FRAMINGHAM, MA – (August 14, 2024) – X |
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| August 13, 2024 |
Exhibit 10.2 Execution Version CONFIDENTIAL SEPARATION AGREEMENT & GENERAL RELEASE THIS CONFIDENTIAL SEPARATION AGREEMENT & GENERAL RELEASE (“Agreement”) is made and entered into by and between Curtis Lockshin (“Executive”), and Xenetic Biosciences, Inc. (the “Company”). Executive and Company are collectively referred to herein as the “Parties.” I.Recitals A. Executive is currently employed by Com |
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| August 13, 2024 |
Exhibit 10.3 AMENDMENT TO EMPLOYMENT AGREEMENT This Amendment (the “Amendment”) to the Employment Agreement dated as of March 23, 2017 (the “Agreement”), between XENETIC BIOSCIENCES, INC., a Nevada corporation (the “Company”), and JAMES F. PARSLOW (the “Executive”) is dated as of June 18, 2024 (the “Execution Date”), and effective as of May 16, 2024 (the “Amendment Effective Date”). Capitalized te |
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| August 13, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2024 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: 001-37937 XENETIC BIOSCIENCES, INC. |
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| August 13, 2024 |
Exhibit 10.1 Execution Version CONFIDENTIAL SEPARATION AGREEMENT & GENERAL RELEASE THIS CONFIDENTIAL SEPARATION AGREEMENT & GENERAL RELEASE (“Agreement”) is made and entered into by and between Jeffrey Eisenberg ( “Executive”), and Xenetic Biosciences, Inc. (the “Company”). Executive and Company are collectively referred to herein as the “Parties.” I.Recitals A. Executive is currently employed by |
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| June 21, 2024 |
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 18, 2024 Xenetic Biosciences, Inc. (Exact name of registrant as specified in charter) Nevada 001-37937 45-2952962 (State or other jurisdiction of incorporation) (Commission File |
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| May 22, 2024 |
EX-99.1 2 xeneticex9901.htm PRESS RELEASE Exhibit 99.1 Xenetic Biosciences, Inc. Announces Executive Leadership Transition Company’s Board of Directors Appoint James F. Parslow to Interim Chief Executive Officer FRAMINGHAM, MA – (May 22, 2024) – Xenetic Biosciences, Inc. (NASDAQ: XBIO) (“Xenetic” or the “Company”), a biopharmaceutical company focused on advancing innovative immune-oncology technol |
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| May 22, 2024 |
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 16, 2024 Xenetic Biosciences, Inc. (Exact name of registrant as specified in charter) Nevada 001-37937 45-2952962 (State or other jurisdiction of incorporation) (Commission File N |
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| May 10, 2024 |
Xenetic Biosciences, Inc. Reports First Quarter 2024 Financial Results and Provides Business Update Exhibit 99.1 Xenetic Biosciences, Inc. Reports First Quarter 2024 Financial Results and Provides Business Update – Ongoing preclinical studies with multiple data readouts expected throughout remainder of 2024 – Continued advancement of DNase-based oncology program towards Phase 1 clinical study for the treatment of pancreatic carcinoma and other locally advanced or metastatic solid tumors – Ended |
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| May 10, 2024 |
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 10, 2024 Xenetic Biosciences, Inc. (Exact name of registrant as specified in charter) Nevada 001-37937 45-2952962 (State or other jurisdiction of incorporation) (Commission File N |
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| May 9, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2024 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: 001-37937 XENETIC BIOSCIENCES, INC. |
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| April 26, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-K/A Amendment No. 1 Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-K/A Amendment No. 1 ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934. For the fiscal year ended December 31, 2023 ☐ TRANSITION REPORTS PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934. For the transition period from to Commission File Number: |
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| March 22, 2024 |
Exhibit 99.1 Xenetic Biosciences, Inc. Reports Full Year 2023 Financial Results Continued advancement of DNase-based oncology program towards Phase 1 clinical study for the treatment of pancreatic carcinoma and other locally advanced or metastatic solid tumors Ended the year with $9.0 million of cash to fund operations FRAMINGHAM, MA – (March 22, 2024) – Xenetic Biosciences, Inc. (NASDAQ: XBIO) (“ |
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| March 22, 2024 |
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 22, 2024 Xenetic Biosciences, Inc. (Exact name of registrant as specified in charter) Nevada 001-37937 45-2952962 (State or other jurisdiction of incorporation) (Commission File |
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| March 21, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 Form 10-K Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 Form 10-K ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934. |
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| March 21, 2024 |
Exhibit 21.1 SUBSIDIARIES OF REGISTRANT Subsidiary Country / State of Incorporation Xenetic Biosciences (UK), Ltd. United Kingdom registered company Lipoxen Technologies, Ltd. United Kingdom registered company Xenetic Bioscience, Inc. Delaware SymbioTec, GmbH German registered company Hesperix S.A. Swiss registered company |
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| March 21, 2024 |
Exhibit 4.1 DESCRIPTION OF THE REGISTRANT’S SECURITIES REGISTERED PURSUANT TO SECTION 12 OF THE SECURITIES EXCHANGE ACT OF 1934 When used herein, the terms the “Company”, “we,” “our,” and “us” refer to Xenetic Biosciences, Inc. The following summary describes our capital stock and the material provisions of our articles of incorporation, as amended, and our amended and restated bylaws. Because the |
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| March 21, 2024 |
Policy Regarding the Mandatory Recovery of Compensation Exhibit 97.1 XENETIC BIOSCIENCES, INC. Policy Regarding the Mandatory Recovery of Compensation Effective October 2, 2023 I. Applicability and Administration. This Policy Regarding the Mandatory Recovery of Compensation (the “Policy”) applies to any Incentive Compensation paid to the Executive Officers of Xenetic Biosciences, Inc. (the “Company”). This Policy is intended to comply with and be inter |
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| March 18, 2024 |
1. Joint Filing Agreement, dated June 14, 2023 Exhibit 1 JOINT FILING AGREEMENT In accordance with Rule 13d-1(k)(1)(iii) promulgated under the Securities Exchange Act of 1934, as amended, the undersigned company and individuals agree to the joint filing on behalf of each of them of a Schedule 13D (including amendments thereto) with respect to the Common Stock of Xenetic Biosciences, Inc. |
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| March 18, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 2)* Xenetic Biosciences, Inc. (Name of Issuer) Common Stock, par value $0.001 per share (Title of Class of Securities) 984015503 (CUSIP Number) CLS Therapeutics LLC. Attention: Georgy Tetz, CEO 180 Varick street New York, NY 10014 (646) 617-3088 (Name, Addre |
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| February 12, 2024 |
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): February 12, 2024 Xenetic Biosciences, Inc. (Exact name of registrant as specified in charter) Nevada 001-37937 45-2952962 (State or other jurisdiction of incorporation) (Commission F |
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| December 8, 2023 |
Submission of Matters to a Vote of Security Holders 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 6, 2023 Xenetic Biosciences, Inc. (Exact name of registrant as specified in charter) Nevada 001-37937 45-2952962 (State or other jurisdiction of incorporation) (Commission Fi |
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| November 13, 2023 |
Exhibit 99.1 Xenetic Biosciences, Inc. Reports Third Quarter 2023 Financial Results - Encouraging growing body of preclinical data guiding pathway to first in human trial for DNase-based oncology platform - Driving development towards Phase 1 program for the treatment of pancreatic carcinoma and other locally advanced or metastatic solid tumors - Continuing partnering discussions to advance develo |
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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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| November 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): November 10, 2023 Xenetic Biosciences, Inc. (Exact name of registrant as specified in charter) Nevada 001-37937 45-2952962 (State or other jurisdiction of incorporation) (Commission F |
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| November 9, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 10-Q ☒ 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: 001-37937 XENETIC BIOSCIENCES, INC. |
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| September 18, 2023 |
2. Consent of M. Scott Maguire EX-2 3 ea185350ex99-2xeneticbio.htm CONSENT OF M. SCOTT MAGUIRE Exhibit 2 The undersigned, being a Proposed Nominee as defined in the letter to which this Exhibit is attached, consents to being named in a proxy statement as a nominee for election to the Board at the Annual Meeting and to serving as a director on the Board, if elected. /s/ M. Scott Maguire Name: M. Scott Maguire |
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| September 18, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 1)* Xenetic Biosciences, Inc. (Name of Issuer) Common Stock, par value $0.001 per share (Title of Class of Securities) 984015503 (CUSIP Number) CLS Therapeutics LLC. Attention: Georgy Tetz, CEO 180 Varick street New York, NY 10014 (646) 617-3088 (Name, Addre |
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| September 18, 2023 |
1. Joint Filing Agreement, dated June 14, 2023 EX-1 2 ea185350ex99-1xeneticbio.htm JOINT FILING AGREEMENT, DATED JUNE 14, 2023 Exhibit 1 JOINT FILING AGREEMENT In accordance with Rule 13d-1(k)(1)(iii) promulgated under the Securities Exchange Act of 1934, as amended, the undersigned company and individuals agree to the joint filing on behalf of each of them of a Schedule 13D (including amendments thereto) with respect to the Common Stock of Xe |
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| August 11, 2023 |
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, 2023 Xenetic Biosciences, Inc. (Exact name of registrant as specified in charter) Nevada 001-37937 45-2952962 (State or other jurisdiction of incorporation) (Commission Fil |
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| August 11, 2023 |
Exhibit 99.1 Xenetic Biosciences, Inc. Reports Second Quarter 2023 Financial Results - Company continues to execute on plan to advance DNase-based oncology program towards Phase 1 clinical development for the treatment of pancreatic carcinoma and other locally advanced or metastatic solid tumors FRAMINGHAM, MA – (August 11, 2023) – Xenetic Biosciences, Inc. (NASDAQ: XBIO) (“Xenetic” or the “Compan |
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| August 10, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 10-Q ☒ 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: 001-37937 XENETIC BIOSCIENCES, INC. |
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| June 15, 2023 |
XBIO / Xenetic Biosciences Inc / CLS Therapeutics, LLC - SCHEDULE 13D Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. )* Xenetic Biosciences, Inc. (Name of Issuer) Common Stock, par value $0.001 per share (Title of Class of Securities) 984015503 (CUSIP Number) CLS Therapeutics LLC. Attention: Georgy Tetz, CEO 180 Varick street New York, NY 10014 (646) 617-3088 (Name, Addres |
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| June 15, 2023 |
1. Joint Filing Agreement, dated June 14, 2023 EX-99.1 2 ea180429ex99-1xeneticbio.htm JOINT FILING AGREEMENT, DATED JUNE 14, 2023 Exhibit 1 JOINT FILING AGREEMENT In accordance with Rule 13d-1(k)(1)(iii) promulgated under the Securities Exchange Act of 1934, as amended, the undersigned company and individuals agree to the joint filing on behalf of each of them of a Schedule 13D (including amendments thereto) with respect to the Common Stock of |
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| June 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 6, 2023 Xenetic Biosciences, Inc. (Exact name of registrant as specified in charter) Nevada 001-37937 45-2952962 (State or other jurisdiction of incorporation) (Commission File N |
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| June 6, 2023 |
Exhibit 99.1 nasdaq : XBIO xeneticbio.com Corporate Presentation June 2023 This presentation contains forward - looking statements that we intend to be subject to the safe harbor provisions of the Private Securities Litigation Reform Act of 1995 . All statements contained in this presentation other than statements of historical facts may constitute forward - looking statements within the meaning o |
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| June 2, 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 30, 2023 Xenetic Biosciences, Inc. (Exact name of registrant as specified in charter) Nevada 001-37937 45-2952962 (State or other jurisdiction of incorporation) (Commission File N |
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| May 12, 2023 |
Certificate of Change to Articles of Incorporation Exhibit 3.1 Business Number E0450492011 - 8 Filed in the Office of Secretary of State State Of Nevada Filing Number 20233191096 Filed On 5/11/2023 8:58:00 AM Number of Pages 1 |
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| May 12, 2023 |
Xenetic Biosciences, Inc. Announces Reverse Stock Split of Common Stock Exhibit 99.1 Xenetic Biosciences, Inc. Announces Reverse Stock Split of Common Stock FRAMINGHAM, MA – (May 12, 2023) – Xenetic Biosciences, Inc. (NASDAQ: XBIO) (“Xenetic” or the “Company”), a biopharmaceutical company focused on advancing innovative immune-oncology technologies addressing hard to treat cancers, today announced it will effect a one-for-ten reverse stock split of its authorized, iss |
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| May 12, 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 11, 2023 Xenetic Biosciences, Inc. (Exact name of registrant as specified in charter) Nevada 001-37937 45-2952962 (State or other jurisdiction of incorporation) (Commission File N |
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| May 11, 2023 |
Exhibit 99.1 Xenetic Biosciences, Inc. Reports First Quarter 2023 Financial Results and Provides Business Update - Continued progress with the DNase-based oncology program towards Phase 1 study for the treatment of pancreatic carcinoma and other locally advanced or metastatic solid tumors - Ended the quarter with $12.0 million of cash to fund operations and drive pipeline forward FRAMINGHAM, MA – |
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| May 11, 2023 |
Exhibit 10.1 CERTAIN INFORMATION IDENTIFIED IN THIS DOCUMENT, MARKED BY BRACKETS AND ASTERISKS (“[***]”), HAS BEEN EXCLUDED PURSUANT TO ITEM 601(B)(10) OF REGULATION S-K UNDER THE SECURITIES ACT OF 1933, AS AMENDED, BECAUSE IT IS (I) NOT MATERIAL AND (II) WOULD LIKELY CAUSE COMPETITIVE HARM TO THE REGISTRANT IF PUBLICLY DISCLOSED. RESEARCH FUNDING AND OPTION AGREEMENT This Agreement is entered int |
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| May 11, 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 11, 2023 Xenetic Biosciences, Inc. (Exact name of registrant as specified in charter) Nevada 001-37937 45-2952962 (State or other jurisdiction of incorporation) (Commission File N |
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| May 11, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 10-Q ☒ 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: 001-37937 XENETIC BIOSCIENCES, INC. |
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| April 28, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-K/A Amendment No. 1 Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-K/A Amendment No. 1 (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 ☐ TRANSITION REPORTS PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission Fil |
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| March 23, 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 23, 2023 Xenetic Biosciences, Inc. (Exact name of registrant as specified in charter) Nevada 001-37937 45-2952962 (State or other jurisdiction of incorporation) (Commission File |
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| March 23, 2023 |
Exhibit 99.1 Xenetic Biosciences, Inc. Reports Full Year 2022 Financial Results and Provides Business Update - Year marked by transformational strategic license of the DNase oncology platform and shift in focus to treatment of locally advanced or metastatic solid tumors - DNase program progressing towards Phase 1 clinical development - Closed the year with $13.1 million of cash expected to fund op |
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| March 22, 2023 |
Certificate of Amendment to Articles of Incorporation Exhibit 3.14 NEVADA STATE BUSINESS LICENSE XENETIC BIOSCIENCES, INC. Nevada Business Identification # NV20111523936 Expiration Date: 08/31/2023 In accordance with Title 7 of Nevada Revised Statutes, pursuant to proper application duly filed and payment of appropriate prescribed fees, the above named is hereby granted a Nevada State Business License for business activities conducted within the Stat |
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| March 22, 2023 |
Exhibit 21.1 SUBSIDIARIES OF REGISTRANT Subsidiary Country / State of Incorporation Xenetic Biosciences (UK), Ltd. United Kingdom registered company Lipoxen Technologies, Ltd. United Kingdom registered company Xenetic Bioscience, Inc. Delaware SymbioTec, GmbH German registered company Hesperix S.A. Swiss registered company |
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| March 22, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 Form 10-K Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 Form 10-K ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934. |
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| March 22, 2023 |
Exhibit 4.1 DESCRIPTION OF THE REGISTRANT’S SECURITIES REGISTERED PURSUANT TO SECTION 12 OF THE SECURITIES EXCHANGE ACT OF 1934 When used herein, the terms the “Company”, “we,” “our,” and “us” refer to Xenetic Biosciences, Inc. The following summary describes our capital stock and the material provisions of our articles of incorporation, as amended, and our amended and restated bylaws. Because the |
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| December 22, 2022 |
Submission of Matters to a Vote of Security Holders 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 21, 2022 Xenetic Biosciences, Inc. (Exact name of registrant as specified in charter) Nevada 001-37937 45-2952962 (State or other jurisdiction of incorporation) (Commission F |
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| December 9, 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 7, 2022 Xenetic Biosciences, Inc. (Exact name of registrant as specified in charter) Nevada 001-37937 45-2952962 (State or other jurisdiction of incorporation) (Commission Fi |
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| December 2, 2022 |
Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing 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 1, 2022 Xenetic Biosciences, Inc. (Exact name of registrant as specified in charter) Nevada 001-37937 45-2952962 (State or other jurisdiction of incorporation) (Commission Fi |
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| November 10, 2022 |
Exhibit 99.1 Xenetic Biosciences, Inc. Reports Third Quarter 2022 Financial Results and Provides Business Update - Continued advancement of lead technology, DNase-based oncology platform, in locally advanced or metastatic solid tumors towards Phase 1 clinical development - Ended the quarter with $13.8 million of cash expected to fund operations and drive expanded pipeline development forward FRAMI |
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| November 10, 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): November 10, 2022 Xenetic Biosciences, Inc. (Exact name of registrant as specified in charter) Nevada 001-37937 45-2952962 (State or other jurisdiction of incorporation) (Commission F |
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| November 9, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 10-Q ☒ 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: 001-37937 XENETIC BIOSCIENCES, INC. |
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| October 21, 2022 |
XBIO / Xenetic Biosciences Inc / CLS Therapeutics, LLC - 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. )* Xenetic Biosciences, Inc. (Name of Issuer) Common stock, par value $0.001 per share (Title of Class of Securities) 984015503 (CUSIP Number) October 12, 2022 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate t |
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| October 17, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A 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: o Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) o Defini |
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| October 17, 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 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): October 12, 2022 Xenetic Biosciences, Inc. (Exact name of registrant as specified in charter) Nevada 001-37937 45-2952962 (State or other jurisdiction of incorporation) (Commission Fi |
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| October 3, 2022 |
SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. |
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| August 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): August 12, 2022 Xenetic Biosciences, Inc. (Exact name of registrant as specified in charter) Nevada 001-37937 45-2952962 (State or other jurisdiction of incorporation) (Commission Fil |
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| August 12, 2022 |
Exhibit 99.1 Xenetic Biosciences, Inc. Reports Second Quarter 2022 Financial Results and Provides Business Update - Second quarter marked by deal to in-license DNase-based oncology platform which expands pipeline with well-defined and accelerated path to clinic - Advancing lead DNase program towards Phase 1 study for the treatment of pancreatic carcinoma and other locally advanced or metastatic so |
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| August 11, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 10-Q ? 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: 001-37937 XENETIC BIOSCIENCES, INC. |
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| August 11, 2022 |
Exhibit 10.2 CERTAIN INFORMATION IDENTIFIED IN THIS DOCUMENT, MARKED BY BRACKETS AND ASTERISKS (?[***]?), HAS BEEN EXCLUDED PURSUANT TO ITEM 601(B)(10) OF REGULATION S-K UNDER THE SECURITIES ACT OF 1933, AS AMENDED, BECAUSE IT IS (I) NOT MATERIAL AND (II) WOULD LIKELY CAUSE COMPETITIVE HARM TO THE REGISTRANT IF PUBLICLY DISCLOSED. EXECUTION VERSION EXCLUSIVE LICENSE AGREEMENT BY AND BETWEEN CLS Th |
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| August 11, 2022 |
Exhibit 10.3 THE SECURITIES HAVE NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933 OR THE SECURITIES LAWS OF ANY STATE OR ANY OTHER JURISDICTION. THERE ARE FURTHER RESTRICTIONS ON THE TRANSFERABILITY OF THE SECURITIES DESCRIBED HEREIN. THE PURCHASE OF THE SECURITIES INVOLVES A HIGH DEGREE OF RISK AND SHOULD BE CONSIDERED ONLY BY PERSONS WHO CAN BEAR THE RISK OF THE LOSS OF THEIR ENTIRE INVESTME |
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| August 11, 2022 |
Exhibit 10.4 CERTAIN INFORMATION IDENTIFIED IN THIS DOCUMENT, MARKED BY BRACKETS AND ASTERISKS (?[***]?), HAS BEEN EXCLUDED PURSUANT TO ITEM 601(B)(10) OF REGULATION S-K UNDER THE SECURITIES ACT OF 1933, AS AMENDED, BECAUSE IT IS (I) NOT MATERIAL AND (II) WOULD LIKELY CAUSE COMPETITIVE HARM TO THE REGISTRANT IF PUBLICLY DISCLOSED. Xenetic Biosciences, Inc. SOW: QTE-9206256XNT23DEC2021.v5PD to 500L |
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| August 11, 2022 |
Exhibit 10.1 CERTAIN INFORMATION IDENTIFIED IN THIS DOCUMENT, MARKED BY BRACKETS AND ASTERISKS (?[***]?), HAS BEEN EXCLUDED PURSUANT TO ITEM 601(B)(10) OF REGULATION S-K UNDER THE SECURITIES ACT OF 1933, AS AMENDED, BECAUSE IT IS (I) NOT MATERIAL AND (II) WOULD LIKELY CAUSE COMPETITIVE HARM TO THE REGISTRANT IF PUBLICLY DISCLOSED. EXECUTION VERSION EXCLUSIVE SUBLICENSE AGREEMENT BY AND BETWEEN CLS |
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| July 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): June 30, 2022 Xenetic Biosciences, Inc. (Exact name of registrant as specified in charter) Nevada 001-37937 45-2952962 (State or other jurisdiction of incorporation) (Commission File |
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| July 7, 2022 |
Exhibit 99.1 Xenetic Biosciences, Inc. Engages Catalent for Clinical Manufacturing to Advance DNase-Based Oncology Platform Towards Phase 1 Study ? DNase-based oncology platform has the potential to improve outcomes of existing therapeutic agents in multiple solid tumor indications ? Systemic DNase program initially targeting multi-billion-dollar indications including pancreatic carcinoma FRAMINGH |
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| June 6, 2022 |
Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing 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 3, 2022 Xenetic Biosciences, Inc. (Exact name of registrant as specified in charter) Nevada 001-37937 45-2952962 (State or other jurisdiction of incorporation) (Commission File N |
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| May 12, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 10-Q ? 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: 001-37937 XENETIC BIOSCIENCES, INC. |
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| April 28, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-K/A Amendment No. 1 Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-K/A Amendment No. 1 (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 ? TRANSITION REPORTS PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission Fil |
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| April 27, 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 26, 2022 Xenetic Biosciences, Inc. (Exact name of registrant as specified in charter) Nevada 001-37937 45-2952962 (State or other jurisdiction of incorporation) (Commission File |
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| April 27, 2022 |
EX-99.1 2 xeneticex9901.htm PRESS RELEASE Exhibit 99.1 Xenetic Biosciences, Inc. Expands Oncology Pipeline with In-Licensing of DNase Based Oncology Platform Comprising Multiple Therapeutic Modalities Transaction with CLS Therapeutics for DNase platform includes two pre-clinical development programs and creates near-term clinical development opportunity DNase based oncology platform has the potent |
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| March 23, 2022 |
Exhibit 99.1 Xenetic Biosciences, Inc. Reports Full Year 2021 Financial Results and Provides Business Update ? XCARTTM continuing to advance toward IND-enabling studies ? PolyXen? platform technology growing royalty stream through license agreement ? Closed the year with $18.2 million of cash FRAMINGHAM, MA ? (March 23, 2022) ? Xenetic Biosciences, Inc. (NASDAQ: XBIO) (?Xenetic? or the ?Company?), |
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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 Xenetic Biosciences, Inc. (Exact name of registrant as specified in charter) Nevada 001-37937 45-2952962 (State or other jurisdiction of incorporation) (Commission File |
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| March 22, 2022 |
Exhibit 10.3 NOVATION of Agreement on Co-Development and the Terms of Exclusive License This Novation of Agreement on Co-Development and the Terms of Exclusive License (the ?Agreement?) is made on December 17, 2021 between: (1) Xenetic Biosciences (UK) Limited (formerly before 5th September 2011 Lipoxen PLC), a Company registered under the laws of England with Company number 03213174 located at: 5 |
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| March 22, 2022 |
Exhibit 21.1 SUBSIDIARIES OF REGISTRANT Subsidiary Country / State of Incorporation Xenetic Biosciences (UK), Ltd. United Kingdom registered company Lipoxen Technologies, Ltd. United Kingdom registered company Xenetic Bioscience, Inc. Delaware SymbioTec, GmbH German registered company Hesperix S.A. Swiss registered company |
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| March 22, 2022 |
Exhibit 10.4 CERTAIN INFORMATION IDENTIFIED IN THIS DOCUMENT, MARKED BY BRACKETS AND ASTERISKS (?[***]?), HAS BEEN EXCLUDED PURSUANT TO ITEM 601(B)(10) OF REGULATION S-K UNDER THE SECURITIES ACT OF 1933, AS AMENDED, BECAUSE IT IS (I) NOT MATERIAL AND (II) WOULD LIKELY CAUSE COMPETITIVE HARM TO THE REGISTRANT IF PUBLICLY DISCLOSED. EXCLUSIVE LICENSE AGREEMENT ? 201221/1 December 20, 2021 LIPOXEN TE |
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| March 22, 2022 |
Exhibit 10.28 CERTAIN INFORMATION IDENTIFIED IN THIS DOCUMENT, MARKED BY BRACKETS AND ASTERISKS (?[***]?), HAS BEEN EXCLUDED PURSUANT TO ITEM 601(B)(10) OF REGULATION S-K UNDER THE SECURITIES ACT OF 1933, AS AMENDED, BECAUSE IT IS (I) NOT MATERIAL AND (II) WOULD LIKELY CAUSE COMPETITIVE HARM TO THE REGISTRANT IF PUBLICLY DISCLOSED. AMENDMENT NUMBER ONE TO THE MASTER SERVICES AGREEMENT THIS AMENDME |
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| March 22, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 Form 10-K Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 Form 10-K ? ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934. |
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| March 22, 2022 |
Exhibit 10.29 CERTAIN INFORMATION IDENTIFIED IN THIS DOCUMENT, MARKED BY BRACKETS AND ASTERISKS (?[***]?), HAS BEEN EXCLUDED PURSUANT TO ITEM 601(B)(10) OF REGULATION S-K UNDER THE SECURITIES ACT OF 1933, AS AMENDED, BECAUSE IT IS (I) NOT MATERIAL AND (II) WOULD LIKELY CAUSE COMPETITIVE HARM TO THE REGISTRANT IF PUBLICLY DISCLOSED. WORK ORDER No 2 This Work Order (?Work Order?) is between Xenetic |
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| December 30, 2021 |
As filed with the Securities and Exchange Commission on December 30, 2021 As filed with the Securities and Exchange Commission on December 30, 2021 Registration No. |
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| December 9, 2021 |
Submission of Matters to a Vote of Security Holders 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 7, 2021 Xenetic Biosciences, Inc. (Exact name of registrant as specified in charter) Nevada 001-37937 45-2952962 (State or other jurisdiction of incorporation) (Commission Fi |
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| December 2, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A 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: o Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) o Defini |
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| November 19, 2021 |
Exhibit 1.1 AT THE MARKET OFFERING AGREEMENT November 19, 2021 H.C. Wainwright & Co., LLC 430 Park Avenue New York, NY 10022 Ladies and Gentlemen: Xenetic Biosciences, Inc., a corporation organized under the laws of Nevada (the ?Company?), confirms its agreement (this ?Agreement?) with H.C. Wainwright & Co., LLC (the ?Manager?) as follows: 1. Definitions. The terms that follow, when used in this A |
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| November 19, 2021 |
Entry into a Material Definitive Agreement, 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): November 19, 2021 Xenetic Biosciences, Inc. (Exact name of registrant as specified in charter) Nevada 001-37937 45-2952962 (State or other jurisdiction of incorporation) (Commission F |
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| November 19, 2021 |
XENETIC BIOSCIENCES, INC. Up to $4,000,000 of shares of Common Stock Table of Contents Filed Pursuant to Rule 424(b)(5) Registration No. 333-260201 PROSPECTUS SUPPLEMENT (To prospectus dated October 22, 2021) XENETIC BIOSCIENCES, INC. Up to $4,000,000 of shares of Common Stock Xenetic Biosciences, Inc. has entered into an At The Market Offering Agreement (the ?Sales Agreement?) with H.C. Wainwright & Co., LLC (?Wainwright?), as sales agent, relating to the offer an |
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| November 16, 2021 |
Entry into a Material Definitive Agreement, 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): November 15, 2021 Xenetic Biosciences, Inc. (Exact name of registrant as specified in charter) Nevada 001-37937 45-2952962 (State or other jurisdiction of incorporation) (Commission F |
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| November 16, 2021 |
Exhibit 10.1 November 15, 2021 The Holder of Common Stock Purchase Warrants of Xenetic Biosciences, Inc. Re: Amendment of Purchase Agreement and Warrant Exchange Dear Holder: Xenetic Biosciences, Inc. (the ?Company?) desires to amend the Securities Purchase Agreement, dated as of March 5, 2019, by and between the Company and the purchaser signatory thereto pursuant to which the Company issued, amo |
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| November 12, 2021 |
Exhibit 99.1 Xenetic Biosciences, Inc. Reports Third Quarter 2021 Financial Results and Provides Business Update ? Company advancing XCARTTM pre-clinical development plan toward IND-enabling studies ? Strengthened cash position to fund operations through XCART IND filing with recently completed $12.5 million private placement ? Continued royalty stream growth through license agreement with PolyXen |
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| November 12, 2021 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 10-Q ? 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: 001-37937 XENETIC BIOSCIENCES, INC. |
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| November 12, 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 12, 2021 Xenetic Biosciences, Inc. (Exact name of registrant as specified in charter) Nevada 001-37937 45-2952962 (State or other jurisdiction of incorporation) (Commission F |
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| October 20, 2021 |
40 Speen Street, Suite 102 Framingham, Massachusetts 01701 40 Speen Street, Suite 102 Framingham, Massachusetts 01701 October 20, 2021 VIA EDGAR Securities and Exchange Commission Division of Corporation Finance Office of Life Sciences 100 F Street, N. |
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| October 20, 2021 |
As filed with the Securities and Exchange Commission on October 20, 2021 Table of Contents As filed with the Securities and Exchange Commission on October 20, 2021 Registration Statement No. |
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| October 15, 2021 |
Table of Contents SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. |
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| October 15, 2021 |
Entry into a Material Definitive Agreement, Termination of a Material Definitive Agreement 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): October 12, 2021 Xenetic Biosciences, Inc. (Exact name of registrant as specified in charter) Nevada 001-37937 45-2952962 (State or other jurisdiction of incorporation) (Commission Fi |
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| October 12, 2021 |
Form of Subordinated Indenture EXHIBIT 4.5 Xenetic Biosciences, Inc. and , Trustee INDENTURE Dated as of , Providing for Issuance of Subordinated Debt Securities in Series TABLE OF CONTENTS ARTICLE I 1 Section 1.01 Definitions 1 Section 1.02 Compliance Certificates and Opinions 9 Section 1.03 Form of Documents Delivered to Trustee 10 Section 1.04 Acts of Securityholders 10 Section 1.05 Notices, etc., to Trustee and Company 11 S |
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| October 12, 2021 |
EXHIBIT 4.4 Xenetic Biosciences, Inc. and , Trustee INDENTURE Dated as of , Providing for Issuance of Senior Debt Securities in Series Table of Contents ARTICLE I DEFINITIONS AND OTHER PROVISIONS OF GENERAL APPLICATION 1 Section 1.01 Definitions 1 Section 1.02 Compliance Certificates and Opinions 8 Section 1.03 Form of Documents Delivered to Trustee 9 Section 1.04 Acts of Securityholders 9 Section |
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| October 12, 2021 |
Table of Contents As filed with the Securities and Exchange Commission on October 12, 2021 Registration Statement No. |
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| September 13, 2021 |
Exhibit 99.1 Expanding the Potential of CAR T CellTherapy NASDAQ:XBIO xeneticbio.com InvestorPresentation September 2021 Forward-LookingStatements Thispresentationcontainsforward-lookingstatementsthatweintendtobesubjecttothesafeharborprovisionsofthePrivateSecuritiesLitigationReform Act of1995.Allstatementscontainedinthispresentationotherthanstatementsofhistoricalfactsmayconstituteforward-lookingst |
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| September 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): September 13, 2021 Xenetic Biosciences, Inc. (Exact name of registrant as specified in charter) Nevada 001-37937 45-2952962 (State or other jurisdiction of incorporation) (Commission |
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| August 19, 2021 |
40 Speen Street, Suite 102 Framingham, Massachusetts 01701 40 Speen Street, Suite 102 Framingham, Massachusetts 01701 August 19, 2021 VIA EDGAR Securities and Exchange Commission Division of Corporation Finance Office of Life Sciences 100 F Street, N. |
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| August 13, 2021 |
Exhibit 99.1 Xenetic Biosciences, Inc. Reports Second Quarter 2021 Financial Results and Provides Business Update – Continued execution on XCART™ pre-clinical development plan and progress toward IND-enabling studies – Strong royalty growth with PolyXen® platform technology – Bolstered cash position with recently completed $12.5 million private placement FRAMINGHAM, MA – (August 13, 2021) – Xeneti |
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| August 13, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM S-3 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 XENETIC BIOSCIENCES, INC. (Exact name of registrant as specified in its charter) Nevada 45-2952962 (State or other jurisdiction of incorporation or organization) (I.R.S. Employer Identification Number) 40 Speen Street, Suite 102 Framingham, Massachusetts 01701 (7 |
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| August 13, 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 13, 2021 Xenetic Biosciences, Inc. (Exact name of registrant as specified in charter) Nevada 001-37937 45-2952962 (State or other jurisdiction (Commission File Number) (IRS Emp |
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| August 12, 2021 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 10-Q ? 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: 001-37937 XENETIC BIOSCIENCES, INC. |
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| July 28, 2021 |
Exhibit 4.1 NEITHER THIS SECURITY NOR THE SECURITIES FOR WHICH THIS SECURITY IS EXERCISABLE HAVE BEEN REGISTERED WITH THE SECURITIES AND EXCHANGE COMMISSION OR THE SECURITIES COMMISSION OF ANY STATE IN RELIANCE UPON AN EXEMPTION FROM REGISTRATION UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE ?SECURITIES ACT?), AND, ACCORDINGLY, MAY NOT BE OFFERED OR SOLD EXCEPT PURSUANT TO AN EFFECTIVE REGISTR |
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| July 28, 2021 |
Exhibit 4.2 NEITHER THIS SECURITY NOR THE SECURITIES FOR WHICH THIS SECURITY IS EXERCISABLE HAVE BEEN REGISTERED WITH THE SECURITIES AND EXCHANGE COMMISSION OR THE SECURITIES COMMISSION OF ANY STATE IN RELIANCE UPON AN EXEMPTION FROM REGISTRATION UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE ?SECURITIES ACT?), AND, ACCORDINGLY, MAY NOT BE OFFERED OR SOLD EXCEPT PURSUANT TO AN EFFECTIVE REGISTR |
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| July 28, 2021 |
Exhibit 10.2 REGISTRATION RIGHTS AGREEMENT This Registration Rights Agreement (this ?Agreement?) is made and entered into as of July 26, 2021, between Xenetic Biosciences, Inc., a Nevada corporation (the ?Company?), and each of the several purchasers signatory hereto (each such purchaser, a ?Purchaser? and, collectively, the ?Purchasers?). This Agreement is made pursuant to the Securities Purchase |
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| July 28, 2021 |
Exhibit 99.1 Xenetic Biosciences, Inc. Announces Closing of $12.5 Million Private Placement Priced at a Premium to Market FRAMINGHAM, MA / ACCESSWIRE / July 28, 2021 / Xenetic Biosciences, Inc. (NASDAQ:XBIO) ("Xenetic" or the "Company"), a biopharmaceutical company focused on advancing XCART?, a personalized CAR T platform technology engineered to target patient- and tumor-specific neoantigens, to |
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| July 28, 2021 |
Exhibit 10.3 Execution Version July 25, 2021 STRICTLY CONFIDENTIAL Xenetic Biosciences, Inc. 40 Speen Street, Suite 102 Framingham, Massachusetts 01701 Attn: Jeffrey F. Eisenberg, Chief Executive Officer Dear Mr. Eisenberg: This letter agreement (this ?Agreement?) constitutes the agreement between Xenetic Biosciences, Inc. (the ?Company?) and H.C. Wainwright & Co., LLC (?Wainwright?), that Wainwri |
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| July 28, 2021 |
8-K 1 xenetic8k.htm FORM 8-K 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 26, 2021 Xenetic Biosciences, Inc. (Exact name of registrant as specified in its charter) Nevada 001-37937 45-2952962 (State or other jurisdiction of |
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| July 28, 2021 |
Exhibit 10.1 Execution Copy SECURITIES PURCHASE AGREEMENT This Securities Purchase Agreement (this ?Agreement?) is dated as of July 26, 2021, between Xenetic Biosciences, Inc., a Nevada corporation (the ?Company?), and each purchaser identified on the signature pages hereto (each, including its successors and assigns, a ?Purchaser? and collectively, the ?Purchasers?). WHEREAS, subject to the terms |
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| July 16, 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 15, 2021 Xenetic Biosciences, Inc. (Exact name of registrant as specified in charter) Nevada 001-37937 45-2952962 (State or other jurisdiction (Commission File Number) (IRS Emplo |
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| May 12, 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 12, 2021 Xenetic Biosciences, Inc. (Exact name of registrant as specified in charter) Nevada 001-37937 45-2952962 (State or other jurisdiction (Commission File Number) (IRS Employ |
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| May 12, 2021 |
Exhibit 99.1 Xenetic Biosciences, Inc. Reports First Quarter 2021 Financial Results ? Continued execution on XCART? development plan with commencement of exploratory patient biopsy trial expected to position the Company to conduct IND-enabling studies in the United States ? Licensing partners leveraging PolyXen? platform technology continue to make clinical, regulatory and commercial advancements |
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| May 11, 2021 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 10-Q ? 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: 001-37937 XENETIC BIOSCIENCES, INC. |
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| April 28, 2021 |
Annual Report - FORM 10-K AMENDMENT Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-K/A Amendment No. 1 (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 ? TRANSITION REPORTS PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission Fil |
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| March 17, 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 17, 2021 Xenetic Biosciences, Inc. (Exact name of registrant as specified in charter) Nevada 001-37937 45-2952962 (State or other jurisdiction (Commission File Number) (IRS Empl |
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| March 17, 2021 |
Exhibit 99.1 Xenetic Biosciences, Inc. Reports Fourth Quarter and Full Year 2020 Financial Results – Driving development of XCART™ platform and leveraging academic collaborations through preclinical development – Recent clinical, regulatory and commercial advancements from licensing partners leveraging PolyXen® platform technology FRAMINGHAM, MA – (March 17, 2021) – Xenetic Biosciences, Inc. (NASD |
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| March 16, 2021 |
Exhibit 21.1 SUBSIDIARIES OF REGISTRANT Subsidiary Country / State of Incorporation Xenetic Biosciences (UK), Ltd. United Kingdom registered company Lipoxen Technologies, Ltd. United Kingdom registered company Xenetic Bioscience, Inc. Delaware SymbioTec, GmbH German registered company Hesperix S.A. Swiss registered company |
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| March 16, 2021 |
Exhibit 4.1 DESCRIPTION OF THE REGISTRANT?S SECURITIES REGISTERED PURSUANT TO SECTION 12 OF THE SECURITIES EXCHANGE ACT OF 1934 When used herein, the terms the ?Company?, ?we,? ?our,? and ?us? refer to Xenetic Biosciences, Inc. The following summary describes our capital stock and the material provisions of our articles of incorporation, as amended, and our amended and restated bylaws. Because the |
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| March 16, 2021 |
Certificate of Amendment to Articles of Incorporation Exhibit 3.13 1 2 ATTACHMENT BARBARA K. CEGAVSKE Secretary of State 202 North Carson Street Carson City, Nevada 89701-4201 (775) 684-5708 Website: www.nvsos.gov. Certificate of Amendment (PURSUANT TO NRS 78.385 and 78.390) Certificate of Amendment to Articles of Incorporation For Nevada Profit Corporations (Pursuant to NRS 78.385 and 78,390 - After Issuance of Stock) 1. Name of Corporation: XENETIC |
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| March 16, 2021 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 Form 10-K ? ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934. |
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| March 16, 2021 |
Certificate of Amendment to Articles of Incorporation EX-3.12 2 xeneticex0312.htm CERTIFICATE OF AMENDMENT Exhibit 3.12 1 2 EXHIBIT A BARBARA K. CEGAVSKE Secretary of State 202 North Carson Street Carson City, Nevada 89701-4201 (775) 684-5708 Website: www.nvsos.gov. Certificate of Amendment (PURSUANT TO NRS 78.385 and 78.390) Certificate of Amendment to Articles of Incorporation For Nevada Profit Corporations (Pursuant to NRS 78.385 and 78,390 - Afte |
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| January 19, 2021 |
Regulation FD Disclosure, Financial Statements and Exhibits - FORM 8-K 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 19, 2021 Xenetic Biosciences, Inc. (Exact name of registrant as specified in charter) Nevada 001-37937 45-2952962 (State or other jurisdiction of incorporation) (Commission Fi |
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| January 19, 2021 |
EX-99.1 2 xeneticex9901.htm PRESENTATION Exhibit 99.1 Expanding the Potential of CAR T Cell Therapy NASDAQ: XBIO xeneticbio.com 2021 Investor Presentation JANUARY Forward - Looking Statements This presentation contains forward - looking statements for purposes of the safe harbor provisions of the Private Securities Litigation Reform Act of 1995 . All statements contained in this presentation other |
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| December 21, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* Xenetic Biosciences, Inc. (Name of Issuer) Common stock, par value $0.001 per share (Title of Class of Securities) 984015503 (CUSIP Number) December 10, 2020 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate th |
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| December 16, 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 11, 2020 Xenetic Biosciences, Inc. (Exact name of registrant as specified in charter) Nevada 001-37937 45-2952962 (State or other jurisdiction (Commission File Number) (IRS E |
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| December 14, 2020 |
Exhibit 10.1 SECURITIES PURCHASE AGREEMENT This Securities Purchase Agreement (this “Agreement”) is dated as of December 10, 2020, between Xenetic Biosciences, Inc., a Nevada corporation (the “Company”), and each purchaser identified on the signature pages hereto (each, including its successors and assigns, a “Purchaser” and collectively the “Purchasers”). WHEREAS, subject to the terms and conditi |
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| December 14, 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 10, 2020 Xenetic Biosciences, Inc. (Exact name of registrant as specified in charter) Nevada 001-37937 45-2952962 (State or other jurisdiction (Commission File Number) (IRS E |
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| December 14, 2020 |
Exhibit 99.1 Xenetic Biosciences, Inc. Announces $6.0 Million Registered Direct Offering Priced At-The-Market under Nasdaq Rules FRAMINGHAM, MA – (December 10, 2020) – Xenetic Biosciences, Inc. (NASDAQ: XBIO) (“Xenetic” or the “Company”), a biopharmaceutical company focused on advancing XCART™, a personalized CAR T platform technology engineered to target patient- and tumor-specific neoantigens, a |
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| December 14, 2020 |
Exhibit 99.2 Xenetic Biosciences, Inc. Announces Closing of $6.0 Million Registered Direct Offering Priced At-The-Market under Nasdaq Rules FRAMINGHAM, MA – (December 14, 2020) – Xenetic Biosciences, Inc. (NASDAQ: XBIO) (“Xenetic” or the “Company”), a biopharmaceutical company focused on advancing XCART™, a personalized CAR T platform technology engineered to target patient- and tumor-specific neo |
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| December 14, 2020 |
Exhibit 10.2 Execution Version December 9, 2020 STRICTLY CONFIDENTIAL Xenetic Biosciences, Inc. 40 Speen Street, Suite 102 Framingham, Massachusetts 01701 Attn: Jeffrey F. Eisenberg, Chief Executive Officer Dear Mr. Eisenberg: This letter agreement (this “Agreement”) constitutes the agreement between Xenetic Biosciences, Inc. (the “Company”) and H.C. Wainwright & Co., LLC (“Wainwright”), that Wain |
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| December 11, 2020 |
Table of Contents Filed pursuant to Rule 424(b)(5) Registration No. 333-227572 PROSPECTUS SUPPLEMENT (To Prospectus dated October 12, 2018) 2,448,980 Shares of Common Stock We are offering 2,448,980 shares of our common stock, par value $0.001 per share, pursuant to this prospectus supplement and accompanying prospectus to certain institutional and accredited investors. Each share of our common st |
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| December 9, 2020 |
Submission of Matters to a Vote of Security Holders 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 4, 2020 Xenetic Biosciences, Inc. (Exact Name of Registrant as Specified in Charter) Nevada 001-37937 45-2952962 (State or Other Jurisdiction of Incorporation) (Commission Fi |
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| November 13, 2020 |
Financial Statements and Exhibits, Results of Operations and Financial Condition - FORM 8-K 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 13, 2020 Xenetic Biosciences, Inc. (Exact name of registrant as specified in charter) Nevada 001-37937 45-2952962 (State or other jurisdiction (Commission File Number) (IRS E |
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| November 13, 2020 |
Exhibit 99.1 Xenetic Biosciences, Inc. Reports Third Quarter 2020 Financial Results and Provides Corporate Update – Continued advancement of XCART™ platform towards an IND filing and Phase 1 Study – Leveraging partnerships with leading global academic institutions, including Scripps Research FRAMINGHAM, MA – (November 13, 2020) – Xenetic Biosciences, Inc. (NASDAQ: XBIO) (“Xenetic” or the “Company” |
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| November 12, 2020 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 10-Q x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934. |
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| October 30, 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): October 29, 2020 Xenetic Biosciences, Inc. (Exact name of registrant as specified in charter) Nevada 001-37937 45-2952962 (State or other jurisdiction (Commission File Number) (IRS Em |
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| October 13, 2020 |
Table of Contents 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, 2020 |
October 6, 2020 VIA EDGAR Securities and Exchange Commission Division of Corporation Finance, Office of Life Sciences 100 F Street, N. |
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| September 30, 2020 |
Table of Contents SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. |
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| August 13, 2020 |
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 13, 2020 Xenetic Biosciences, Inc. (Exact name of registrant as specified in charter) Nevada 001-37937 45-2952962 (State or other jurisdiction (Commission File Number) (IRS Emp |
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| August 13, 2020 |
Exhibit 99.1 Xenetic Biosciences, Inc. Reports Second Quarter 2020 Financial Results and Provides Corporate Update – Successfully established two strategic academic collaborations in Q2 2020 to advance development of XCART™, its differentiated CAR T therapy platform – – Strengthened panel of experts on the Scientific Advisory Board, bringing valuable expertise across all phases of preclinical and |
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| August 12, 2020 |
Master Service Agreement, dated June 12, 2020, between the Company and PJSC Pharmsynthez Exhibit 10.2 CERTAIN INFORMATION IDENTIFIED IN THIS DOCUMENT, MARKED BY BRACKETS AND ASTERISKS (?[***]?), HAS BEEN EXCLUDED PURSUANT TO ITEM 601(B)(10) OF REGULATION S-K UNDER THE SECURITIES ACT OF 1933, AS AMENDED, BECAUSE IT IS (I) NOT MATERIAL AND (II) WOULD LIKELY CAUSE COMPETITIVE HARM TO THE REGISTRANT IF PUBLICLY DISCLOSED. MASTER SERVICES AGREEMENT This Master Services Agreement (?Agreemen |
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| August 12, 2020 |
Exhibit 10.3 CERTAIN INFORMATION IDENTIFIED IN THIS DOCUMENT, MARKED BY BRACKETS AND ASTERISKS (?[***]?), HAS BEEN EXCLUDED PURSUANT TO ITEM 601(B)(10) OF REGULATION S-K UNDER THE SECURITIES ACT OF 1933, AS AMENDED, BECAUSE IT IS (I) NOT MATERIAL AND (II) WOULD LIKELY CAUSE COMPETITIVE HARM TO THE REGISTRANT IF PUBLICLY DISCLOSED. WORK ORDER This Work Order (?Work Order?) is between Xenetic Biosci |
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| August 12, 2020 |
Exhibit 10.1 CERTAIN INFORMATION IDENTIFIED IN THIS DOCUMENT, MARKED BY BRACKETS AND ASTERISKS (?[***]?), HAS BEEN EXCLUDED PURSUANT TO ITEM 601(B)(10) OF REGULATION S-K UNDER THE SECURITIES ACT OF 1933, AS AMENDED, BECAUSE IT IS (I) NOT MATERIAL AND (II) WOULD LIKELY CAUSE COMPETITIVE HARM TO THE REGISTRANT IF PUBLICLY DISCLOSED. RESEARCH FUNDING AND OPTION AGREEMENT This Agreement is entered int |
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| August 12, 2020 |
Quarterly Report - QUARTERLY REPORT Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 10-Q x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934. |
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| June 24, 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): June 22, 2020 Xenetic Biosciences, Inc. (Exact name of registrant as specified in charter) Nevada 001-37937 45-2952962 (State or other jurisdiction (Commission File Number) (IRS Emplo |
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| June 16, 2020 |
Exhibit 99.1 Xenetic Biosciences, Inc. Announces Collaboration with Pharmsynthez and Multiple Academic Institutions in Russia and Belarus to Advance Development of XCART™ Platform · Goal of XCART collaboration to optimize XCART process, develop manufacturing processes and to ultimately dose non-Hodgkin lymphoma (NHL) patients · Pharmsynthez to act as primary contract research organization coordina |
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| June 16, 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): June 12, 2020 Xenetic Biosciences, Inc. (Exact name of registrant as specified in charter) Nevada 001-37937 45-2952962 (State or other jurisdiction (Commission File Number) (IRS Emplo |
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| May 19, 2020 |
Exhibit 99.1 Xenetic Biosciences, Inc. Announces Research and Development Collaboration with Scripps Research to Advance XCART™ Platform – Represents significant milestone in strategic development plan to advance XCART through academic collaborations – – Provides access to leading research institution with world renowned immunology expertise – – Company engaged in ongoing discussions to potentiall |
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| May 19, 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): May 15, 2020 Xenetic Biosciences, Inc. (Exact name of registrant as specified in charter) Nevada 001-37937 45-2952962 (State or other jurisdiction (Commission File Number) (IRS Employ |
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| May 14, 2020 |
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 14, 2020 Xenetic Biosciences, Inc. (Exact name of registrant as specified in charter) Nevada 001-37937 45-2952962 (State or other jurisdiction (Commission File Number) (IRS Employ |
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| May 14, 2020 |
Quarterly Report - QUARTERLY REPORT Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 10-Q x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934. |
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| May 14, 2020 |
Exhibit 99.1 Xenetic Biosciences, Inc. Reports First Quarter 2020 Financial Results and Provides Corporate Update – Company poised to execute on near- and long-term value-driving milestones to advance preclinical development of its XCART™ CAR T therapy platform – – Continuing to progress discussions to secure academic collaborations to advance the XCART platform – – Cash on hand expected to fund o |
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| April 29, 2020 |
Annual Report - AMENDMENT NO. 1 Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 Form 10-K/A Amendment No. |
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| April 24, 2020 |
Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing 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, 2020 Xenetic Biosciences, Inc. (Exact name of registrant as specified in charter) Nevada 001-37937 45-2952962 (State or other jurisdiction (Commission File Number) (IRS Empl |
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| April 1, 2020 |
XBIO / Xenetic Biosciences, Inc. S-8 - - FORMS-8 As filed with the Securities and Exchange Commission on April 1, 2020 Registration No. |
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| March 27, 2020 |
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 27, 2020 Xenetic Biosciences, Inc. (Exact name of registrant as specified in charter) Nevada 001-37937 45-2952962 (State or other jurisdiction (Commission File Number) (IRS Empl |
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| March 27, 2020 |
Exhibit 99.1 Xenetic Biosciences, Inc. Reports 2019 Year End Results and Provides Corporate Update – Company continues to advance preclinical development of its XCART™ CAR T therapy platform – – Expands XCART resources by adding expertise in cell therapy translational science and CMC – – Cash on hand expected to fund operations through mid-2021 – FRAMINGHAM, MA – (March 27, 2020) – Xenetic Bioscie |
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| March 26, 2020 |
Form of Xenetic Biosciences, Inc. Stock Option Grant Notice Exhibit 10.52 Option No. XENETIC BIOSCIENCES, INC. Stock Option Grant Notice Stock Option Grant under the Amended and Restated Xenetic Biosciences, Inc. Equity Incentive Plan, adopted by the Board of Directors on September 26, 2019 and approved by stockholders on December 4, 2019 1. Name and Address of Participant: 2. Date of Option Grant: 3. Type of Grant: 4. Maximum Number of Shares for which th |
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| March 26, 2020 |
Exhibit 10.53 Option No. 131 XENETIC BIOSCIENCES, INC. Stock Option Grant Notice Stock Option Grant under the Amended and Restated Xenetic Biosciences, Inc. Equity Incentive Plan, adopted by the Board of Directors on September 26, 2019 and approved by stockholders on December 4, 2019 1. Name and Address of Participant: Jeffrey Eisenberg c/o Xenetic Biosciences, Inc. 40 Speen Street, Framingham, MA |
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| March 26, 2020 |
Exhibit 21.1 SUBSIDIARIES OF REGISTRANT Subsidiary Country / State of Incorporation Xenetic Biosciences (UK), Ltd. United Kingdom registered company Lipoxen Technologies, Ltd. United Kingdom registered company Xenetic Bioscience, Inc. Delaware SymbioTec, GmbH German registered company Hesperix S.A. Swiss registered company |
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| March 26, 2020 |
Exhibit 10.51 Xenetic Biosciences, Inc. 40 Speen Street, Suite 102 Framingham, MA 01701 t 781-778-7720 e [email protected] [DATE] [NAME] [ADDRESS] Re: Board of Directors Appointment Dear []: This Letter Agreement (the “Agreement”) is to confirm the terms of your proposed appointment on [] as a non-employee, [independent] Director of the Board of Directors (the “Board”) of Xenetic Biosciences, In |
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| March 26, 2020 |
Exhibit 4.1 DESCRIPTION OF THE REGISTRANT’S SECURITIES REGISTERED PURSUANT TO SECTION 12 OF THE SECURITIES EXCHANGE ACT OF 1934 When used herein, the terms the “Company”, “we,” “our,” and “us” refer to Xenetic Biosciences, Inc. The following summary describes our capital stock and the material provisions of our articles of incorporation, as amended, and our amended and restated bylaws. Because the |
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| March 26, 2020 |
XBIO / Xenetic Biosciences, Inc. 10-K - Annual Report - FORM 10-K Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 Form 10-K ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934. |
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| March 26, 2020 |
Exhibit 10.50 Xenetic Biosciences, Inc. 40 Speen Street, Suite 102 Framingham, MA 01701 t 781-778-7720 e [email protected] Effective as of September 26, 2019 Mr. Grigory G. Borisenko 6-20 Pobedy Street Apartment 7 Moscow Region Town of Khimki, Russia Re: Board of Directors Appointment Dear Mr. Borisenko: This Letter Agreement (the "Agreement") is to confirm the terms of your proposed appointment |
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| February 14, 2020 |
XBIO / Xenetic Biosciences, Inc. / Frigate Ventures LP - SC 13G/A Passive Investment SC 13G/A SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 SCHEDULE 13G/A (Rule 13d-102) (Amendment No. |
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| February 13, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G/A Under the Securities Exchange Act of 1934 (Amendment No. 1)* Xenetic Biosciences, Inc. (Name of Issuer) Common Stock (Title of Class of Securities) 984015503 (CUSIP Number) December 31, 2019 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which |
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| February 10, 2020 |
XBIO / Xenetic Biosciences, Inc. / CVI Investments, Inc. - SC 13G/A Passive Investment CUSIP No: 984015503 SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G (Rule 13d-102) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO § 240.13d-1(b), (c) AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO § 240.13d-2. (Amendment No. 1)* Xenetic Biosciences, Inc. (Name of Issuer) Common Stock, $0.001 par value per share (Title of Class of Securities) 984015503 (CUSIP Nu |
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| January 21, 2020 |
SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1)* Xenetic Biosciences, Inc. (Name of Issuer) Common Stock, $0.001 par value (Title of Class of Securities) 984015503 (CUSIP Number) December 31, 2019 (Date of event which requires filing of this statement) Check the appropriate box to designate the rule pursuant to whic |
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| December 6, 2019 |
Submission of Matters to a Vote of Security Holders 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 4, 2019 Xenetic Biosciences, Inc. (Exact Name of Registrant as Specified in Charter) Nevada 001-37937 45-2952962 (State or Other Jurisdiction of Incorporation) (Commission Fi |
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| November 15, 2019 |
Exhibit 99.1 Xenetic Biosciences, Inc. Reports Third Quarter 2019 Financial Results and Provides Corporate Update – Company ramps up activities to execute XCART’s preclinical and regulatory strategy – – Cash runway expected to fund Company through preclinical advancements towards IND filing – FRAMINGHAM, MA – (November 15, 2019) – Xenetic Biosciences, Inc. (NASDAQ: XBIO) (“Xenetic” or the “Company |
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| November 15, 2019 |
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 15, 2019 Xenetic Biosciences, Inc. (Exact name of registrant as specified in charter) Nevada 001-37937 45-2952962 (State or other jurisdiction (Commission File Number) (IRS E |
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| November 14, 2019 |
XBIO / Xenetic Biosciences, Inc. 10-Q - Quarterly Report - FORM 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 10-Q x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934. |
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| November 8, 2019 |
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, 2019 |
XBIO / Xenetic Biosciences, Inc. / Opko Health, Inc. - SC 13D/A Activist Investment SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D/A Under the Securities Exchange Act of 1934 (Amendment No. 1)* Xenetic Biosciences, Inc. (Name of Issuer) Common Shares, par value $0.001 per share (Title of Class of Securities) 984015503 (CUSIP Number) Kate Inman General Counsel, Secretary OPKO Health, Inc. 4400 Biscayne Boulevard Miami, Florida 33137 Telephone: (305) 575-410 |
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| October 8, 2019 |
Exhibit 99.1 Xenetic Biosciences, Inc. Provides Business Outlook – Recent completion of acquisition of innovative CAR T technology platform (XCART) has the potential to drive significant value for shareholders – – Management working with KOLs and subject matter experts to formalize XCART development plan – – Completion of recent financing expected to fund operations through key development milesto |
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| October 8, 2019 |
Regulation FD Disclosure, 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): October 8, 2019 Xenetic Biosciences, Inc. (Exact name of registrant as specified in charter) Nevada 001-37937 45-2952962 (State or other jurisdiction (Commission File Number) (IRS Emp |
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| September 30, 2019 |
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 25, 2019 Xenetic Biosciences, Inc. (Exact name of registrant as specified in charter) Nevada 001-37937 45-2952962 (State or other jurisdiction (Commission File Number) (IRS |
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| September 19, 2019 |
XBIO / Xenetic Biosciences, Inc. CORRESP - - XENETIC BIOSCIENCES, INC. 40 Speen Street, Suite 102 Framingham, Massachusetts 01701 September 19, 2019 VIA EDGAR Securities and Exchange Commission 100 F. Street, N.E. Washington, D.C. 20549 Re: Xenetic Biosciences, Inc. Registration Statement on Form S-3 File No. 333-233769 Ladies and Gentlemen: Pursuant to Rule 461 of the General Rules and Regulations promulgated under the Securities Act of 193 |
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| September 13, 2019 |
XBIO / Xenetic Biosciences, Inc. S-3 - - FORM S-3 REGISTRATION STATEMENT Table of Contents As filed with the Securities and Exchange Commission on September 13, 2019 Registration No. |
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| September 9, 2019 |
Regulation FD Disclosure, 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): September 9, 2019 Xenetic Biosciences, Inc. (Exact name of registrant as specified in charter) Nevada 001-37937 45-2952962 (State or other jurisdiction of incorporation) (Commission F |
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| September 9, 2019 |
Exhibit 99.1 Enhancing lives with transformative therapies www.xeneticbio.com NASDAQ: XBIO Corporate Presentation September 2019 Forward - Looking Statements This presentation contains forward - looking statements for purposes of the safe harbor provisions of the Private Securities Litigation Reform Act of 1995 . All statements contained in this presentation other than statements of historical fac |
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| August 15, 2019 |
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 15, 2019 Xenetic Biosciences, Inc. (Exact name of registrant as specified in charter) Nevada 001-37937 45-2952962 (State or other jurisdiction (Commission File Number) (IRS Emp |
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| August 15, 2019 |
Exhibit 99.1 Xenetic Biosciences, Inc. Reports Second Quarter 2019 Financial Results and Provides Corporate Update – Building momentum with recent acquisition of innovative XCART platform technology and closing of $15 million underwritten public offering – Corporate strategy shift with entry into the CAR T space positions Company to drive significant value for shareholders – Company executes on in |
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| August 14, 2019 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 10-Q x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934. |
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| August 7, 2019 |
XBIO / Xenetic Biosciences, Inc. / CVI Investments, Inc. - SC 13G Passive Investment CUSIP No: 984015503 SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G (Rule 13d-102) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO § 240.13d-1(b), (c) AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO § 240.13d-2. (Amendment No. )* Xenetic Biosciences, Inc. (Name of Issuer) Common Stock, $0.001 par value per share (Title of Class of Securities) 984015503 (CUSIP Num |
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| July 29, 2019 |
XBIO / Xenetic Biosciences, Inc. / Frigate Ventures LP - SC 13G Passive Investment SC 13G SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 SCHEDULE 13G (Rule 13d-102) (Amendment No. |
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| July 29, 2019 |
XBIO / Xenetic Biosciences, Inc. / Opko Health, Inc. - SC 13D Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D (Rule 13d-101) INFORMATION TO BE INCLUDED IN STATEMENTS FILE PURSUANT TO RULE 13d-1(a) AND AMENDMENTS THERETO FILED PURUSANT TO RULE 13d-2(a) Under the Securities Exchange Act of 1934 Xenetic Biosciences, Inc. (Name of Issuer) Common Stock, par value $0.001 per share (Title of Class of Securities) 984015503 (CUSIP |
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| July 29, 2019 |
EX-99.1 EXHIBIT 99.1 JOINT FILING AGREEMENT In accordance with Rule 13d-1(k) under the Securities Exchange Act of 1934, as amended, the undersigned agree to the joint filing on behalf of each of them of a Statement on Schedule 13G (including any and all amendments thereto) with respect to the Common Stock, par value $0.001 per share, of Xenetic Biosciences, Inc., a Nevada corporation, and further |
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| July 25, 2019 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No.)* Xenetic Biosciences, Inc. (Name of Issuer) Common Stock, $.0001 par value (Title of Class of Securities) 984015503 (CUSIP Number) July 17, 2019 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant |
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| July 22, 2019 |
Exhibit 99.1 Xenetic Biosciences, Inc. Closes $15.0 Million Underwritten Public Offering and Completes Acquisition of Innovative CAR T Technology Platform – Innovative XCART technology platform designed to target personalized, patient-specific tumor neoantigens has the potential to transform CAR T cell therapy – XCART expected to initially target B-cell lymphomas and has the potential to address m |
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| July 22, 2019 |
Exhibit 10.1 XENETIC BIOSCIENCES, INC. and Empire Stock Transfer, Inc., as Warrant Agent Warrant Agency Agreement Dated as of July 19, 2019 WARRANT AGENCY AGREEMENT WARRANT AGENCY AGREEMENT, dated as of July 19, 2019 (“Agreement”), between Xenetic Biosciences, Inc., a corporation organized under the laws of the State of Nevada (the “Company”), and Empire Stock Transfer, Inc. (the “Warrant Agent”). |
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| July 22, 2019 |
Form of Pre-Funded Common Stock Purchase Warrant Exhibit 4.1 FORM OF PRE-FUNDED COMMON STOCK PURCHASE WARRANT XENETIC BIOSCIENCES, INC. Warrant Shares: [] Initial Exercise Date: [], 2019 THIS PRE-FUNDED COMMON STOCK PURCHASE WARRANT (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 aft |
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| July 22, 2019 |
Exhibit 1.1 1,730,000 SHARES of Common Stock, 570,000 PRE-FUNDED warrants (exercisable for 570,000 Shares) and 2,300,000 Warrants (exercisable for 2,300,000 Shares) of XENETIC BIOSCIENCES, INC. UNDERWRITING AGREEMENT July 17, 2019 Maxim Group LLC As the Representative of the Several underwriters, if any, named in Schedule I hereto c/o Maxim Group LLC Investment Banking 405 Lexington Avenue, 2nd Fl |
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| July 22, 2019 |
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 17, 2019 Xenetic Biosciences, Inc. (Exact name of registrant as specified in charter) Nevada 001-37937 45-2952962 (State or other jurisdiction of incorporation) (Commission File |
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| July 22, 2019 |
Form of Common Stock Purchase Warrant Exhibit 4.2 FORM OF COMMON STOCK PURCHASE WARRANT XENETIC BIOSCIENCES, INC. Warrant Shares: [ ] THIS COMMON STOCK PURCHASE WARRANT (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 (the "Initial Exercise Date") and |
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| July 22, 2019 |
XBIO / Xenetic Biosciences, Inc. 8-A12B - - FORM 8-A 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 (g) OF THE SECURITIES EXCHANGE ACT OF 1934 XENETIC BIOSCIENCES, INC. (Exact name of registrant as specified in its charter) Nevada 45-2952962 (State or other jurisdiction of (I.R.S. Employer incorporation or organization) Identification No. |
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| July 19, 2019 |
Filed Pursuant to Rule 424(b)(5) Registration No. 333-231508 1,730,000 Shares of Common Stock Pre-Funded Warrants to Purchase 570,000 Shares of Common Stock Warrants to Purchase 2,300,000 Shares of Common Stock Xenetic Biosciences, Inc. This is a firm commitment offering of 1,730,000 shares of common stock, par value $0.001 per share, and warrants to purchase up to 1,730,000 shares of our common s |
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| July 17, 2019 |
Exhibit 99.1 Xenetic Biosciences, Inc. (Nasdaq: XBIO) Announces Pricing of $15.0 Million Underwritten Public Offering FRAMINGHAM, MA - (July 17, 2019) – Xenetic Biosciences, Inc. (NASDAQ: XBIO) (“Xenetic” or the “Company”), a clinical-stage biopharmaceutical company focused on the discovery, research and development of next-generation biologic drugs and novel orphan oncology therapeutics, announce |
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| July 17, 2019 |
Other Events, 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): July 17, 2019 Xenetic Biosciences, Inc. (Exact name of registrant as specified in charter) Nevada 001-37937 45-2952962 (State or other jurisdiction of incorporation) (Commission File |
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| July 16, 2019 |
Consent Agreement by and among Xenetic Biosciences, Inc. and certain purchasers dated July 16, 2019 Exhibit 10.1 CONSENT AGREEMENT This Consent Agreement (this "Consent Agreement"), dated as of July 16, 2019, is by and among Xenetic Biosciences, Inc., a Nevada corporation (the “Company”), and each of the purchasers identified on the signature pages hereto (each, including its successors and assigns, a "Purchaser" and collectively, the "Purchasers"). Reference is made to that certain Securities P |
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| July 16, 2019 |
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 16, 2019 Xenetic Biosciences, Inc. (Exact name of registrant as specified in charter) Nevada 001-37937 45-2952962 (State or other jurisdiction of incorporation) (Commission File |
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| July 15, 2019 |
Third Amendment to Share Purchase Agreement dated July 15, 2019 Exhibit 2.1 THIRD AMENDMENT TO SHARE PURCHASE AGREEMENT THIS THIRD AMENDMENT TO SHARE PURCHASE AGREEMENT (this “Amendment”), dated July 15, 2019, is entered into by and between Xenetic Biosciences, Inc., a Nevada corporation (“Buyer”) and Alexey Andreevich Vinogradov, as the representative of each Seller as more fully described in the Purchase Agreement (as defined below) (the “Sellers’ Representa |
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| July 15, 2019 |
Third Amendment to Assignment Agreement dated July 15, 2019 Exhibit 10.1 THIRD AMENDMENT TO ASSIGNMENT AGREEMENT THIS THIRD AMENDMENT TO ASSIGNMENT AGREEMENT (this “Amendment”), dated July 15, 2019, is entered into by and between Xenetic Biosciences, Inc., a Nevada corporation (“Buyer”), and OPKO PHARMACEUTICALS, LLC (“OPKO”). RECITALS WHEREAS, Buyer and OPKO previously entered into that certain Assignment Agreement, dated as of March 1, 2019, as amended ( |
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| July 15, 2019 |
Entry into a Material Definitive Agreement, 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): July 15, 2019 Xenetic Biosciences, Inc. (Exact name of registrant as specified in charter) Nevada 001-37937 45-2952962 (State or other jurisdiction of incorporation) (Commission File |
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| July 15, 2019 |
XBIO / Xenetic Biosciences, Inc. CORRESP - - July 15, 2019 VIA EDGAR Securities and Exchange Commission 100 F Street, N.E. Washington, DC 20549 Attn: Don Field Re: Xenetic Biosciences, Inc. Registration Statement on Form S-1, as amended (File No. 333-231508) Registration Statement on Form S-1, as amended (File No. 333-231508) Ladies and Gentlemen: As the underwriter of the proposed offering of Xenetic Biosciences, Inc. (the “Company”), we he |
