Current Report Filing (8-k)
01 Juillet 2021 - 2:00PM
Edgar (US Regulatory)
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 27, 2021
CARDAX,
INC.
(Exact
name of registrant as specified in its charter)
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Delaware
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333-181719
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45-4484428
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(State
or other jurisdiction
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(Commission
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(IRS
Employer
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of
incorporation)
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File
Number)
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Identification
No.)
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2800
Woodlawn Drive, Suite 129, Honolulu, Hawaii 96822
(Address
of principal executive offices) (Zip Code)
Registrant’s
telephone number, including area code: (808) 457-1400
Not
applicable
(Former
name or former address, if changed since last report)
Securities
registered pursuant to Section 12(b) of the Act: None
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 (see General Instruction A.2. below):
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Written
communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)
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Soliciting
material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a -12)
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Pre-commencement
communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d -2(b))
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Pre-commencement
communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e -4(c))
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ITEM
4.01 CHANGES IN REGISTRANT’S CERTIFYING ACCOUNTANT
On June 27, 2021, Cardax, Inc. (the “Company”)
was notified by KBL, LLP (“KBL”) that it would resign as the Company’s independent registered public accounting firm
effective June 30, 2021, for factors unrelated to the Company.
KBL’s reports on the Company’s consolidated financial
statements for the fiscal years ended December 31, 2020 and 2019, did not contain any adverse opinion or disclaimer of opinion, and were
not qualified or modified as to uncertainty, audit scope, or accounting principles, except that such audit reports each contained an explanatory
paragraph about the Company’s ability to continue as a going concern.
During the fiscal years ended December 31, 2020 and
2019, and the subsequent interim period through June 30, 2021, (i) there were no disagreements with KBL on any matter of accounting principles
or practices, financial statement disclosure, or auditing scope or procedure, which if not resolved to the satisfaction of KBL would have
caused it to make reference to the matter in connection with its reports on the Company’s consolidated financial statements for such years,
and (ii) there were no “reportable events” as defined in Item 304(a)(1)(v) of Regulation S-K.
The Company provided KBL with a copy of the foregoing
disclosures prior to the filing of this Current Report on Form 8-K and requested that KBL furnish a letter addressed to the Securities
and Exchange Commission, as required by Item 304(a)(3) of Regulation S-K, stating whether it agrees with the above statements. A copy
of KBL’s letter, dated July 1, 2021, is filed herewith as Exhibit 16.1 and incorporated herein by reference.
The action by KBL was not subject to recommendation or approval by the
Audit Committee of the Board of Directors of the Company. The Audit Committee is evaluating the Company’s options with respect
to engaging a successor independent registered public accounting firm.
ITEM
9.01 FINANCIAL STATEMENTS AND EXHIBITS
SIGNATURE
Pursuant
to the requirements of the Securities Exchange Act of 1934, the Company has duly caused this report to be signed on its behalf
by the undersigned hereunto duly authorized.
Dated:
July 1, 2021
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CARDAX,
INC.
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By:
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/s/
David G. Watumull
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David
G. Watumull
Chief
Executive Officer and President
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Cardax (CE) (USOTC:CDXI)
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