Obalon Therapeutics : Amendments to articles of incorporation/bylaws/change in fiscal year (Form 8-K)

Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year.

On June 15, 2021, the Company filed (a) the Certificate of Third Amendment with the Secretary of State of the State of Delaware to effect the Reverse Stock Split after the close of trading on June 15, 2021, (b) the Series C Certificate of Designation, and (c) a Certificate of Fourth Amendment (the 'Certificate of Fourth Amendment') with the Secretary of State of the State of Delaware to amend the Company's Restated Certificate of Incorporation, as amended, to change its corporate name to ReShape Lifesciences Inc. effective after the close of trading on June 15, 2021. The information set forth in Item 3.03 of this Current Report is incorporated by reference herein. The foregoing descriptions of the Certificate of Third Amendment and Certificate of Fourth Amendment are qualified in their entirety by reference to the Certificate of Third Amendment and Certificate of Fourth Amendment, which are filed as Exhibit 3.1 and Exhibit 3.2, respectively, to this Current Report and are incorporated herein by reference.

Financial Statements and Exhibits.

(d) Exhibits.

Exhibit Number		Description
2.1		Agreement and Plan of Merger, dated January 19, 2021, by and among Obalon Therapeutics, Inc., Optimus Merger Sub, Inc., and ReShape Lifesciences Inc. (incorporated by reference to Exhibit 2.1 to Obalon Therapeutics, Inc.'s Current Report on Form 8-K, filed with the SEC on January 20, 2021).*
3.1		Third Amendment to the Amended and Restated Certificate of Incorporation of the Company.
3.2		Fourth Amendment to the Amended and Restated Certificate of Incorporation of the Company
3.3		Certificate of Designation of Preferences, Rights and Limitations of Series C Convertible Preferred Stock
104		Cover Page Interactive Data File (embedded with the inline XBRL document)

* Schedules have been omitted pursuant to Item 601(b)(2) of Regulation S-K. The Company hereby undertakes to furnish supplementally copies of any of the omitted schedules upon request by the SEC; provided, however, that the Company may request confidential treatment pursuant to Rule 24b-2 of the Exchange Act for any schedule so furnished.