(Amendment No. 1)


Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934

Date of report (Date of earliest event reported): September 30, 2021

Bellerophon Therapeutics, Inc.

(Exact Name of Registrant as Specified in Charter)






(State or Other Jurisdiction of Incorporation)

File Number)

(IRS Employer
Identification No.)

184 Liberty Corner Road, Suite 302
Warren, New Jersey



(Address of Principal Executive Offices)

(Zip Code)

Registrant’s telephone number, including area code: (908) 574-4770

(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 (see General Instruction A.2. below):

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(s)


Name of each exchange on which registered

Common Stock, $0.01 par value per share


The Nasdaq Capital 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

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.

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

(c)On September 30, 2021, the Board of Directors of Bellerophon Therapeutics, Inc. (the "Company") appointed Nicholas Laccona, the Company's Controller, to serve as the Principal Financial Officer and Principal Accounting Officer of the Company, effective as of September 30, 2021. Mr. Laccona has served as the Controller of the Company since August 2020. Prior to joining the Company, Mr. Laccona served as Senior Manager, Audit at KPMG LLP from December 2014 to August 2020. Prior to KPMG LLP, Mr. Laccona was an auditor with Sobel & Co., LLC. Mr. Laccona holds a Bachelor's degree from the University of Maryland, College Park and is a Certified Public Accountant.

Mr. Laccona did not receive additional compensation upon his appointment as Principal Financial Officer and Principal Accounting Officer of the Company.

Mr. Laccona has no family relationships with any of the executive officers or directors of the Company. There are no arrangements or understandings between Mr. Laccona and any other person pursuant to which she was elected as an officer of the Company.



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 6, 2021


/s/ Fabian Tenenbaum

Name: Fabian Tenenbaum
Title: Chief Executive Officer