ANAVEX LIFE SCIENCES CORP. — Regulatory Filings 2021

Sep 27, 2021

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UNITED STATES SECURITIES AND EXCHANGE COMMISSION

Washington, DC 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 27, 2021

ANAVEX LIFE SCIENCES CORP.

(Exact name of registrant as specified in its charter)

Nevada	001-37606	98-0608404
(State or other jurisdiction	(Commission	(IRS Employer
of incorporation)	File Number)	Identification No.)

51 West 52nd Street 7th Floor New York , NY US A 10019 (Address of principal executive offices) (Zip Code)

1- 844 - 689-3939

(Registrant’s telephone number, including area code)

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:

| ☐ | Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425) | | --- | --- | | ☐ | Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12) | | ☐ | Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b)) | | ☐ | 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 | Trading Symbol | Name of Each Exchange on Which Registered | | --- | --- | --- | | Common Stock, par value $0.001 per share | AVXL | The Nasdaq Stock Market LLC |

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 ¨

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. ☐

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Item 8.01 Other Events.

On September 21, 2021, Anavex Life Sciences Corp., a Nevada corporation (the “ Company ”) received an approval letter from The Nasdaq Stock Market LLC approving the Company’s application to list the Company’s common stock, par value $0.001 per share (the “ Common Stock ”), on the Nasdaq Global Select Market. Shares of the Company’s Common Stock were previously listed on the Nasdaq Capital Market. The Company’s Common Stock is expected to begin trading on the Nasdaq Global Select Market under its current ticker symbol, “AXVL”, as of market open September 27, 2021.

On September 27, 2021, the Company issued a press release (the “ Press Release ”) announcing the commencement of trading of its Common Stock on the Nasdaq Global Select Market. A copy of the Press Release is attached to this Current Report on Form 8-K as Exhibit 99.1 and incorporated herein by reference.

Item 9.01 Financial Statements and Exhibits.

(d) Exhibits

| EXHIBIT

NO.	DESCRIPTION	LOCATION
99.1	Press Release	Furnished herewith

SIGNATURES

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.

ANAVEX LIFE SCIENCES CORP.
By:	/s/Christopher Missling
	Name:
Christopher Missling, PhD Title: Chief Executive Officer

Date: September 27, 2021

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