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 46, 2020

~~NEON~~BIONTECH ~~THERAPEUTICS,~~US INC.

(Exact name of registrant as specified in its charter)



Delaware	001-38551	46-3915846
(State or other jurisdiction	(Commission	(I.R.S. Employer
of incorporation)	File Number)	Identification No.)

40 Erie St., Suite 110

Cambridge, MA 02139

(Address of principal executive offices, including zip code)

(617) 337-4701

(Registrant’s telephone number, including area code)

~~Not~~Neon ~~Applicable~~Therapeutics, Inc.

(Former Name or Former Address, if Changed Since Last Report)

Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions:

o Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)

o Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)

o Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))

o Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))

Securities registered pursuant to Section 12(b) of the Act:



Title of each class	Trade Symbol(s)	Name of each exchange on which registered
Common Stock, $0.001 par value per share	NTGN	The Nasdaq Global Select Market

Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (§ 230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (§ 240.12b-2 of this chapter).

Emerging growth company x

If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. x

~~Item 5.07. Submission~~INTRODUCTORY ~~of Matters to a Vote of Security Holders.~~NOTE

On May 46, 2020, BioNTech US Inc. (f/k/a Neon Therapeutics, Inc.), a Delaware corporation (the “Company” or “Neon”), ~~held~~completed its previously announced merger (the “Merger”) with BioNTech SE, a ~~virtual~~Societas ~~special~~Europaea ~~meeting~~organized ofand ~~its~~existing ~~stockholders~~under (the ~~“Special~~laws ~~Meeting~~of Germany (“Parent”)., ~~Neon’s~~and ~~stockholders~~Endor ~~voted~~Lights, onInc., ~~Proposal~~a 1Delaware atcorporation ~~the~~and ~~Special~~a ~~Meeting~~direct, ~~which~~wholly isowned ~~described~~subsidiary inof ~~more~~Parent ~~detail~~(“Merger inSub”), pursuant to the ~~definitive~~Agreement ~~proxy~~and ~~statement~~Plan ~~filed~~of Merger, dated as of January 15, 2020, by and among Parent, Merger Sub and Neon ~~with~~(the “Merger Agreement”). Neon was the ~~Securities~~surviving corporation of the Merger and, ~~Exchange~~as ~~Commission~~a onresult ~~April~~of 2the Merger, ~~2020~~has become a wholly owned subsidiary of Parent (the “Surviving Corporation”).

~~Neon’s~~Item ~~stockholders were entitled to one vote for each share of common stock, $0~~2.~~001 par value per share (each, a “Share”), held as of the close of business on March 23, 2020 (the “Record Date”)~~01. Completion ~~At the close~~ of ~~business~~Acquisition ~~on the Record Date, there were 28,931,978 Shares entitled to vote at the Special Meeting. Present at the Special Meeting~~ or byDisposition ~~proxy were holders~~ of 20,363,853 Shares, representing 70.38% of the outstanding Shares eligible to vote at the Special Meeting, and constituting a quorum. The final results with respect to such proposal are set forth below.Assets

~~Proposal~~Completion ~~1 - The Merger Proposal. To approve and adopt the Agreement and Plan~~ of ~~Merger, dated as of January 15, 2020, or as amended, modified or otherwise supplemented from time to time (~~the “Merger Agreement”), by and among Neon, BioNTech SE, a Societas Europaea organized and existing under the laws of Germany (“BioNTech”), and Endor Lights, Inc., a Delaware corporation and a direct, wholly-owned subsidiary of BioNTech:

Votes For			Votes Against			Abstentions
19,696,223			73,646			593,984

As described above in the Introductory Note to this Current Report on Form 8-K, on May 6, 2020, Neon completed the Merger pursuant to the Merger Agreement and became a wholly owned subsidiary of Parent. Pursuant to the Merger Agreement, at the effective time of the Merger (the “Effective Time”):

~~Stockholder~~• ~~action~~each onshare aof ~~second~~Neon ~~proposal~~common stock (“Shares”), toissued ~~approve~~and ~~the~~outstanding ~~adjournment~~immediately ofprior to the ~~Special~~Effective ~~Meeting~~Time, ifwas ~~necessary~~automatically orcancelled ~~appropriate,~~and converted into the right to ~~solicit~~receive ~~additional~~0.063 ~~proxies~~of inan ~~favor~~American Depositary Share of ~~approving~~Parent ~~the~~(“Parent ~~Merger~~ADS”), ~~Proposal~~with each Parent ADS representing one ordinary share of Parent, ~~was~~without ~~not~~interest ~~required~~but ~~and~~subject noto ~~vote~~any ~~was~~withholding ~~taken~~required onunder ~~that~~applicable ~~proposal.~~law (the “Merger Consideration”);

2• each Neon stock option, whether or not then vested or exercisable, that was outstanding immediately prior to the Effective Time was cancelled and converted automatically into the right to receive, as soon as reasonably practicable after the Effective Time (but no later than ten business days thereafter), a cash payment in an amount equal to the product of (x) the total number of Shares subject to such stock option immediately prior to such cancellation and (y) the excess, if any, of the Merger Consideration over the exercise price per share subject to such stock option immediately prior to such cancellation;

~~SIGNATURES~~• each share of Neon restricted stock that was outstanding as of immediately prior to the Effective Time vested in full and was cancelled and converted automatically into the right to receive the Merger Consideration in the same manner as all other outstanding Shares; and

~~Pursuant~~• each Neon restricted stock unit (“RSU”) that was held by any then-current Neon employee and was outstanding as of immediately prior to the ~~requirements~~Effective ofTime vested in full and each such RSU was cancelled and converted automatically into the ~~Securities~~right ~~Exchange~~to ~~Act~~receive offrom ~~1934~~the Company Trust (as defined in the Merger Agreement), as soon as reasonably practicable after the ~~registrant~~Effective ~~has~~Time ~~duly~~(but ~~caused~~no ~~this~~later ~~report~~than tofive bebusiness ~~signed~~days onthereafter), ~~its~~the ~~behalf~~Merger byConsideration in respect of each Share underlying the ~~undersigned~~portion ~~hereunto~~of ~~duly~~the ~~authorized~~RSU that was unsettled as of the Effective Time.

	Neon Therapeutics, Inc.
Date: May 5, 2020	By:	/s/ Jolie M. Siegel
	Name:	Jolie M. Siegel
	Title:	Vice President, General Counsel and Secretary

As a result of the Merger, holders of Shares immediately prior to the Effective Time will receive approximately 1,824,900 shares of Parent ADSs for their Shares, with the total consideration valued at approximately $97 million, based on the closing price of the Parent ADSs on May 5, 2020.

The foregoing summary does not purport to be complete and is qualified in its entirety by reference to the full text of the Merger Agreement, which is incorporated by reference as Exhibit 2.1 hereto and incorporated herein by reference.

Item 3.01. Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing

On May 6, 2020, Neon notified The Nasdaq Stock Market LLC (“Nasdaq”) that the Merger was completed, and on the same day, trading of the Shares on Nasdaq was suspended. In addition, on May 6, 2020, Neon requested that Nasdaq file a delisting application on Form 25 with the Securities and Exchange Commission (the “SEC”) to report the delisting of the Shares from Nasdaq. Neon intends to file a certification on Form 15 with the SEC requesting that Neon’s reporting obligations under Sections 13 and 15(d) of the Securities Exchange Act of 1934, as amended, be suspended.

Item 3.03. Material Modifications to Rights of Security Holders

The information set forth under the Introductory Note and Item 2.01 of this Current Report on Form 8-K is incorporated herein by reference.

Item 5.01. Changes in Control of Registrant

As a result of the Merger, a change in control of Neon occurred, and Neon is now a wholly owned subsidiary of Parent. The information set forth under the Introductory Note and Items 2.01 and 5.02 of this Current Report on Form 8-K is incorporated herein by reference.

Item 5.02. Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers

In accordance with the Merger, each of Hugh O’Dowd, Robert Bazemore, Cary Pfeffer, Robert Kamen, Eric Lander, Stephen Sherwin, Robert Tepper and Meryl Zausner ceased serving as directors of Neon, and new directors will be appointed to the board of directors of the surviving corporation.

In addition, at the Effective Time, following the closing of the Merger, each named executive officer of the Company listed below ceased to hold the positions indicated beside such executive officer’s name:


•	Hugh O'Dowd President and Chief Executive Officer


•	Yasir B. Al-Wakeel Chief Financial Officer

At or following the Effective Time of the Merger, Neon expects to enter into a separation agreement and release with each of Hugh O’Dowd and Yasir B. Al-Wakeel, entitling each executive to severance benefits in accordance with their respective existing employment agreements, dated June 29, 2018 for each of Mr. O’Dowd and Mr. Al-Wakeel.

Item 5.03. Amendments to Certificate of Incorporation or Bylaws

In connection with the completion of the Merger, Neon’s amended and restated certificate of incorporation was further amended and restated to be the same as the certificate of incorporation of Merger Sub, as in effect immediately prior to the Effective Time. Neon’s Amended and Restated Certificate of Incorporation is filed as Exhibit 3.1 and is incorporated herein by reference. In connection with the Merger, Neon expects to further amend and restate its bylaws to be the same as the bylaws of Merger Sub, as in effect immediately prior to the Effective Time.

Item 8.01. Other Events

On May 6, 2020, Parent issued a press release announcing the completion of the Merger. A copy of the press release is attached hereto as Exhibit 99.1 and incorporated herein by reference.

Item 9.01. Financial Statements and Exhibits

(d) Exhibits



Exhibit No.		Description
2.1		Agreement and Plan of Merger, dated January 15, 2020, by and among Neon Therapeutics, Inc., BioNTech SE, and Endor Lights, Inc. (incorporated herein by reference to Exhibit 2.1 to Neon Therapeutics, Inc.’s Current Report on Form 8-K filed with the SEC on January 16, 2020)
3.1		Amended and Restated Certificate of Incorporation of the Company
99.1		Press Release, dated May 6, 2020

SIGNATURE

Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.



	BIONTECH US INC. (f/k/a/ NEON THERAPEUTICS, INC.) (Registrant)

Dated: May 6, 2020	By:	/s/ Richard Gaynor
	Name:	Richard Gaynor
	Title:	President of Research and Development

Filing Compare · Neon Therapeutics, Inc.