4D PHARMA: “4D pharma”) RECEIVES DELISTING NOTICE FROM NASDAQ – Form 6-K

4D PHARMA PLC (“4D pharma”) RECEIVES DELISTING NOTICE FROM NASDAQ

Leeds, UK, June 28, 2022 – 4D pharma plc (AIM: DDDD, NASDAQ: LBPS), a leading pharmaceutical company in the development of living biotherapeutics (LBPs), a new class of microbiome-derived drugs, today announces that on June 27, 2022, it has received written notice from The Nasdaq Stock Market LLC (“Nasdaq”) that, pursuant to Listing Rules 5101, 5110(b), and IM-5101-1, Nasdaq staff (the “Staff”) has determined that 4D pharma shares will be delisted from the Nasdaq stock market. As a result, trading in 4D pharma’s LBPS will be suspended at the opening of business on July 7, 2022, and a Form 25-NSE will be filed with the Securities and Exchange Commission, which will delist 4D pharma’s securities from trading and from listing on the Nasdaq. Sotck exchange.

Staff’s decision was based on the following factors: the associated public interest concerns raised by 4D pharma’s press release dated June 24, 2022 in which 4D pharma announced that it had been placed into administration under English law ; and concerns about the residual stake of current holders of listed securities.

4D pharma may appeal the staff’s decision to the Hearing Panel, in accordance with the procedures set forth in the 5800 series of the Nasdaq Listing Rules.

About 4D pharma

4D pharma is a world leader in the development of Live Biotherapeutics, a new emerging class of drugs, defined by the FDA as biological products containing a living organism, such as a bacterium, applicable to the prevention, treatment or cure of A disease. 4D pharma has developed a proprietary platform, MicroRx®, which rationally identifies living biotherapies based on an in-depth understanding of function and mechanism.

4D pharma’s Live Biotherapeutic Products (LBPs) are unique strains of bacteria found naturally in the healthy human gut. 4D pharma has six clinical programs, namely a Phase I/II study of MRx0518 in combination with KEYTRUDA® (pembrolizumab) in solid tumors, a Phase II clinical trial of MRx0518 in combination with BAVENCIO® (avelumab) in maintenance of first line for urothelial carcinoma, a Phase I study of MRx0518 in the neoadjuvant setting in patients with solid tumors, a Phase I study of MRx0518 in patients with pancreatic cancer, a Phase I/II study of MRx -4DP0004 in asthma and Blautix® in irritable bowel syndrome (IBS) patients which successfully completed a phase II trial. Other preclinical-stage programs include candidates for CNS diseases, immuno-inflammatory conditions and cancer. 4D pharma has a research collaboration with MSD (a trade name of Merck & Co., Inc., Kenilworth, NJ, USA), to discover and develop live biotherapeutics for vaccines.

For more information, refer to https://www.4dpharmaplc.com.

Forward-looking statements

This announcement contains “forward-looking statements”. All statements other than statements of historical facts contained in this announcement, including, without limitation, statements regarding the timing of studies, are forward-looking statements within the meaning of Section 27A of the United States Securities Act. Securities Act of 1933, as amended (the “Securities Act”), and Section 21E of the United States Securities Exchange Act of 1934, as amended (the “Exchange Act”). Forward-looking statements are often identified by the words “believe”, “expect”, “anticipate”, “plan”, “intend”, “anticipate”, “should”, “should”, “could”, ” could”, “estimate”, “outlook” and similar expressions, including their negative form. The absence of these words, however, does not mean that the statements are not forward-looking. Such forward-looking statements are based on expectations, beliefs and current assumptions of 4D pharma regarding future developments and commercial terms and their potential effect on 4D pharma. Although management believes that these forward-looking statements are reasonable as made, there can be no assurance that future developments affecting 4D pharma will be those that it anticipates.

4d Pharma PLC

All forward-looking statements by 4D pharma involve known and unknown risks and uncertainties, some of which are material or beyond its control, and assumptions that could cause actual results to differ materially from 4D pharma’s historical experience and its current expectations or projections. The above factors and other risks and uncertainties that could cause actual results to differ materially include potential delays in the delisting process and, if 4D pharma pursues, the outcome of any appeal of the staff’s decision. 4D pharma would like to caution you not to place undue reliance on forward-looking statements, which speak only as of the date hereof. 4D pharma undertakes no obligation to publicly update or revise any of its forward-looking statements after the date on which they are made, whether as a result of new information, future events or otherwise, except to the extent required by law.

Contact information:

4D pharmaceutical

Investor Relations [email protected]

Singer Capital Markets – Designated Advisor and Co-Broker

Philip Davies / James Fischer (Corporate Finance) +44 (0)20 7496 3000

Tom Salvesen (corporate brokerage)

Bryan Garnier & Cie Limitée – Co-Broker

Dominique Wilson +44 (0)20 7332 2500

Serious investor relations

Julie Seidel+1-212-362-1200

[email protected]

Image box communication

Neil Hunter / Michelle Boxall +44 (0)20 8943 4685

[email protected] / [email protected]

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