美国

证券交易委员会

华盛顿，特区。20549

表格8-K

当前报告

根据第13条或第15(d)条规定

证券交易所

报告日期（最早事件日期）：May 24, 20242024年10月 10日

INTERPACE 生命科学，公司.

(按其章程规定的注册人名称)

水景广场, 310套房

2001 路线46,

帕西帕尼, 新泽西州 07054

（总行政办公地址， 包括邮政编码）

(855) 776-6419

注册人的电话号码，包括区号

不适用

(如自上次报告以来地址或名称有变化，填上旧称或旧地址)

如果本表8-K的提交同时满足申报人根据下列规定的任何一个申报义务，请在下面适当的方框中打“X”:

根据法案第12(b)节注册的证券:

在勾选标记旁边注明发行人是否是根据1933年证券法规则405条（本章节的§230.405）或1934年证券交易法规则12亿.2条（本章节§2401.2亿.2）定义的新兴成长公司

☐ 新兴成长公司

如果是新兴成长型企业，请打勾，以表明注册人已选择不使用遵守《证券交易法》第13(a)条所规定的任何新的或修订后的财务会计准则的延长过渡期。 ☐

项目1.01.与实质性决定协议的签署。

交易所 协议

开启 2024 年 10 月 10 日，Interpace Biosciences, Inc.（”公司”)、Ampersand 2018 有限合伙企业（“Ampersand”） 还有 1315 Capital II, L.P. (”1315 Capital 以及，与 Ampersand 一起，”投资者”) 已进入 交换协议（”交换协议”) 据此，公司交易了（”交换”) 公司现有的b系列可转换优先股共计47,000股，面值每股0.01美元 分享（”B 系列优先股”），由Ampersand持有的28,000股b系列优先股组成，以及 1315 Capital持有的19,000股b系列优先股，代表公司所有已发行和流通的系列股票 b 优先股，用于新创建的47,000股C系列优先股，面值每股0.01美元（”C 系列首选 股票”），每股发行价格为1,000美元（”陈述价值”）。在交易所中，Ampersand 收到了 28,000股C系列优先股和1315股获得了19,000股C系列优先股。该公司认为 根据公认的会计原则，新发行的C系列优先股应构成股东权益。

这个 C系列优先股可转换为公司的普通股，面值每股0.01美元（”普通股”) 普通股的转换价格为每股2.02美元（如果有任何股票分红、股票拆分，则可能进一步调整） 合并，或其他影响此类股票的类似资本重组）（”C 系列转换价格”) 那是 交易协议签订之日普通股的收盘价。C系列优先股没有清算 如果公司出售或解散，则优先于普通股，没有董事指定权而且 包括有限的习惯保护条款。b系列优先股的转换价格为普通股每股6.00美元 并包括不适用于C系列优先股的额外保护条款，包括（i）对董事会的限制 本公司董事人数（”板”）宣布分红，（ii）每位投资者的董事指定权， (iii) 持有人在 “视同清算” 事件中的清算权，包括相对于普通股的清算优先权 股票，（iv）对授权、发行或创建债务证券的能力的限制，（v）对合并能力的限制 或收购以及（vi）对公司普通股公开发行能力的限制。

根据交易协议规定的惯例条件得以满足，交易所协议约定的交易已于2024年10月11日完成，公司未收到任何现金收益。

指定证明

关于交易所，2024年10月11日，公司提交了一份关于C系列可转换优先股权益和限制的指定证书，表格附在了交易协议中作为附件A，并作为附件3.1一并提交。权利指定书。与此有关的每个大写字母术语在此处使用且未另有定义的均应具有指定证书中赋予的含义。

投票

针对公司提交给股东以行动或考虑的任何事项，在公司股东会议上（或通过股东书面同意取代会议），每个持有已发行的C系列优先股的股东有权投票数等于截至确定有权对该事项表决的股东的记录日，其持有的C系列优先股可换股为整数股普通股数量。除非法律或《指定证明书》另有规定，C系列优先股持有人将作为一个单一类别与普通股持有人一起投票，并在按照换算为普通股的基础上投票。

转换

《指定证书》规定, 从发行日期开始及根据《指定证书》的条款, 每股C系列优先股都可以在持有人选择的任何时间和不时情况下，按照C系列转换比率（“C系列转换比率”）转换为普通股数量，该数量等于C系列优先股每股面值除以C系列转换价格的乘积。C系列转换比率由C系列优先股每股面值除以C系列转换价格计算。C系列转换比率会根据任何股票股利、股票拆分、合并或其他类似资本重整等事项进行调整，从而调整C系列转换价格。C系列转换比率

通过转换所有交易所股份发行的普通股股票总数为23,267,326股（在任何股票股利、股票分割、组合或其他类似影响这些股票的资本重组事件中进行适当调整后）。

强制转换

在公司的普通股在纳斯达克股票交易所上市之前，所有未解红利股的股份将自动转换为普通股的股数，该股数等于各持有人拥有的未解红利股数乘以未解红利C系列转换比率。

分红派息

The Certificate of Designation does not provide for mandatory dividends on the Series C Preferred Stock. Dividends may be declared and paid on the Series C Preferred Stock from funds lawfully available and as determined by the Board.

Protective Provisions

For so long as any shares of Series C Preferred Stock are outstanding, the written consent of each holder of the then outstanding shares of Series C Preferred Stock is required for the Company or its subsidiaries to (i) amend, waive, alter or repeal the preferences, rights, privileges or powers of the holders of the Series C Preferred Stock, (ii) amend, alter or repeal any provision of the Certificate of Designation in a manner adverse to the holders of the Series C Preferred Stock or (iii) authorize, create or issue any equity securities senior to or pari passu with the Series C Preferred Stock.

Liquidation

Upon any voluntary or involuntary liquidation, dissolution or winding up of the Company, the holders of shares of Series C Preferred Stock then outstanding will be entitled to be paid out of the assets of the Corporation available for distribution to its stockholders on a pari passu basis with the holders of the Common Stock of the Company.

Amended and Restated Investor Rights Agreement

In connection with the Exchange, on October 10, 2024, the Company and the Investors entered into an amended and restated investor rights agreement (the “Amended and Restated Investor Rights Agreement”), which amended and restated that certain Amended and Restated Investor Rights Agreement, dated as of January 15, 2020, among the Company and the Investors (the “Prior Investor Rights Agreement”), the form of which was filed as Exhibit 10.1 to the Company’s Current Report on Form 8-K on January 17, 2020. Pursuant to the Amended and Restated Investor Rights Agreement, the Company and the Investors established certain terms and conditions concerning the rights of and restrictions on the Investors with respect to the ownership of the Series C Preferred Stock of the Company.

The Amended and Restated Investor Rights Agreement provides the Investors with (1) demand registration rights exercisable beginning on the date of the Closing and subject to certain limitations described therein, (2) piggy-back registration rights at any time the Company proposes to file a registration statement under the Securities Act of 1933, as amended (the “Securities Act”), with respect to an offering of equity securities, or securities or other obligations exercisable or exchangeable for, or convertible into, equity securities, subject to certain exceptions described therein, and (3) shelf registration rights.

The foregoing description of the Amended and Restated Investor Rights Agreement is qualified in its entirety by reference to the full text of the Amended and Restated Investor Rights Agreement, a copy of which is filed as Exhibit 10.1 to this Current Report on Form 8-K and incorporated herein by reference in its entirety.

Termination of Support Agreement

As previously reported on the Company’s Form 10-Q for the period ended June 30, 2020, filed on October 19, 2020, the Company entered into a Support Agreement (the “Support Agreement”) with 1315 Capital, pursuant to which 1315 Capital consented to, and agreed to vote (by proxy or otherwise), all shares of Series B Preferred Stock registered in its name or beneficially owned by it and/or over which it exercises voting control as of the date of the Support Agreement and any other shares of Series B Preferred Stock legally or beneficially held or acquired by 1315 Capital after the date of the Support Agreement or over which it exercises voting control, in favor of any Fundamental Action desired to be taken by the Company as determined by the Board. For purposes of the Support Agreement, “Fundamental Action” means any action proposed to be taken by the Company and set forth in Section 4(d)(i), 4(d)(ii), 4(d)(v), 4(d)(vi), 4(d)(viii) or 4(d)(ix) of the Series B Preferred Stock designated in the Certificate of Designation of Preferences, Rights and Limitations of Series B Convertible Preferred Stock, which was filed as Exhibit 3.1 to the Company’s Current Report on Form 8-K on January 17, 2020, or Section 8.5.1.1, 8.5.1.2, 8.5.1.5, 8.5.1.6, 8.5.1.8 or 8.5.1.9 of the Prior Investor Rights Agreement.

In connection with the Exchange, the Company and 1315 Capital entered into a Termination of Support Agreement, dated October 14, 2024 (the “Support Termination Agreement”), pursuant to which the parties agreed that the Support Agreement would immediately terminate and be of no further force and effect as of the date of the Support Termination Agreement.

The foregoing description of the Support Termination Agreement is not complete and is subject to and qualified in its entirety by reference to the full text of the Support Termination Agreement, a copy of which is filed as Exhibit 10.3 to this Current Report on Form 8-K and is incorporated herein by reference.

Item 3.02. Unregistered Sales of Equity Securities.

The shares of Series C Preferred Stock issued in the Exchange were not registered under the Securities Act, and were issued in reliance on the exemptions from registration provided by Section 4(a)(2) under the Securities Act and Regulation D promulgated thereunder, for transactions not involving a public offering.

The information regarding the Exchange, including entry into the Exchange Agreement, as set forth in Item 1.01 of this Current Report on Form 8-K, is incorporated by reference into this Item 3.02.

Item 3.03. Material Modification to Rights of Security Holders.

The information regarding the Exchange, including entry into the Exchange Agreement and the filing of the Certificate of Designation concurrent with Closing, as set forth in Item 1.01 of this Current Report on Form 8-K, is incorporated by reference into this Item 3.03.

Item 5.03. Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year.

The information regarding the filing of the Certificate of Designation with the Secretary of State of Delaware on October 11, 2024, as set forth in Item 1.01 of this Current Report on Form 8-K, is incorporated by reference into this Item 5.03.

Item 7.01 Regulation FD Disclosure.

On October 15, 2024, the Company issued a press release announcing the execution of the Exchange Agreement and the Closing. A copy of the press release is furnished as Exhibit 99.1 to this Current Report on Form 8-K.

The information furnished pursuant to this Item 7.01, including Exhibit 99.1, will not be deemed “filed” for purposes of Section 18 of the Securities Exchange Act of 1934, as amended (the “Exchange Act”), or otherwise subject to the liabilities under that Section and will not be deemed to be incorporated by reference into any filing of the Company under the Securities Act or the Exchange Act, except as will be expressly set forth by specific reference in such filing.

Item 9.01. Financial Statements and Exhibits

(d) Exhibits.

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.

Date: October 15, 2024