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): ~~August~~September 328, 2017

OCERA THERAPEUTICS, INC.

(Exact name of registrant as specified in its charter)



DELAWARE	001-35119	63-1192270
(State or other jurisdiction	(Commission File Number)	(I.R.S. Employer
of		Identification No.)
incorporation)



555 Twin Dolphin Drive, Suite 615
Redwood City, CA		94065
(Address of principal executive offices)		(Zip Code)

Registrant’s telephone number, including area code (650) 475-0150

Not applicable

(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:

o Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)

o Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)

o Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))

o Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))

Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (17 CFR §230.405) or Rule 12b-2 of the Securities Exchange Act of 1934 (17 CFR §240.12b-2). Emerging growth company o

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. o

Item 3.01. Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing.

On ~~August~~September 328, 2017, Ocera Therapeutics, Inc. (the “Company”) received aapproval ~~letter~~ from the Listing Qualifications Department of The Nasdaq Stock Market (“~~Nasdaq~~NASDAQ”) ~~informing~~to transfer the ~~Company~~listing ~~that~~of the ~~$9.3 million in stockholders~~Company’s ~~equity~~common ~~reported~~stock infrom ~~its~~The ~~most~~Nasdaq ~~recent~~Global ~~Form~~Market ~~10-Q~~to ~~for~~The ~~the~~Nasdaq ~~quarter~~Capital ~~ended~~Market. ~~June~~This ~~30,~~transfer ~~2017~~will ~~fell~~be ~~below~~effective at the ~~minimum~~opening of ~~$10.0~~business ~~million~~on ~~for~~October ~~continued~~2, ~~listing~~2017. on The Nasdaq ~~Global~~Capital Market ~~under~~is ~~Listing~~a ~~Rule 5450(b)(1)(A).~~continuous ~~The~~trading ~~letter~~market ~~stated~~ that ~~the~~operates ~~Company~~in ~~may~~substantially ~~submit~~the asame ~~plan~~manner toas ~~regain~~The ~~compliance to~~ Nasdaq ~~within~~Global 45Market ~~days~~and oflisted ~~receipt~~companies ofmust ~~the~~meet ~~letter. The~~certain ~~Company~~financial ~~intends~~requirements toand docomply ~~so.~~with IfNASDAQ’s ~~the~~corporate ~~plan~~governance ~~is accepted, Nasdaq can grant an extension of up to 180 days for the Company to regain compliance~~requirements. The ~~letter has no immediate effect on the listing of the~~ Company'’s common stock onwill ~~The~~continue ~~Nasdaq~~to ~~Global~~trade ~~Market~~under the symbol “OCRX.”

As previously reported on a Current Report on Form 8-K filed with The Securities and Exchange Commission on August 4, 2017, the Company received a letter from NASDAQ informing the Company that the $9.3 million in stockholders’ equity reported in its most recent Form 10-Q for the quarter ended June 30, 2017, fell below the minimum of $10.0 million for continued listing on The Nasdaq Global Market under Listing Rule 5450(b)(1)(A). After consultation with NASDAQ, the Company decided to transfer the listing of its common stock from The Nasdaq Global Market to The Nasdaq Capital Market.

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.

August 4, 2017	Ocera Therapeutics, Inc.
September 29, 2017	Ocera Therapeutics, Inc.
	By:	/s/ Michael Byrnes
	Name:	Michael Byrnes
	Title:	Chief Financial Officer and Treasurer

Filing Compare · Ocera Therapeutics, Inc.