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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington , D.C. 20549 FORM 10 - K ANNUAL REPORT PURSUANT TO SECTION 13 OR 15 ( d ) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31 , 2020 Commission File Number : 000-08092 GT BIOPHARMA , INC . ( Exact name of Registrant as specified in its charter ) Delaware ( State of incorporation or organization ) 9350 Wilshire Blvd. Suite 203 Beverly Hills , CA 90212 94-1620407 ( I.R.S. Employer Identification No. ) ( Address of principal executive offices ) ( Zip code ) ( 800 ) 304-9888 ( Registrant's telephone number including area code ) Securities registered pursuant to Section 12 ( b ) of the Act : None . Securities registered pursuant to section 12 ( g ) of the Act : Title of Securities Common Stock , $ .001 Par Value Exchanges on which Registered None Indicate by check mark if the registrant is a well - known seasoned issuer , as defined in Rule 405 of the Securities Act . Yes ☐ No Indicate by check mark if the registrant is not required to file reports pursuant to Section 13 or Section 15 ( d ) of the Act . Yes □ No ☑ Indicate by check mark whether the registrant ( 1 ) has filed all reports required to be filed by Section 13 or 15 ( d ) of the Securities Exchange Act of 1934 during the preceding 12 months ( or for such shorter period that the registrant was required to file such reports ) , and ( 2 ) has been subject to such filing requirements for the past 90 days . Yes > No □ Indicate by check mark whether the registrant has submitted electronically and posted on its corporate website , if any , every Interactive Data File required to be submitted and posted pursuant to Rule 405 of Regulation S - T during the preceding 12 months ( or for such shorter period that the registrant was required to submit and post such files ) . Yes > No □ Indicate by check mark if disclosure of delinquent filers pursuant to Item 405 of Regulation S - K ( §229.405 ) is not contained herein , and will not be contained , to the best of registrant's knowledge , in definitive proxy or information statements incorporated by reference in Part III of this Form 10 - K or any amendment to this Form 10 - K . Yes □ No Indicate by check mark whether the registrant is a large accelerated filer , an accelerated filer , a non - accelerated filer , a smaller reporting company , or emerging growth company . See the definitions of “ large accelerated filer , " " accelerated filer , ” “ smaller reporting company , ” and " emerging growth company ” in Rule 12b - 2 of the Exchange Act . Large accelerated filer Non - accelerated filer ( Do not check if a smaller reporting company ) Accelerated filer ☐ Smaller reporting company Emerging growth company 凶 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 . Indicate by check mark whether the registrant is a shell company ( as defined in Rule 12b - 2 of the Exchange Act ) . Yes □ No The aggregate market value of the registrant's common stock , $ 0.001 par value per share , held by non - affiliates on June 30 , 2020 was approximately $ 8.9 million . As of April 12 , 2021 , there were 28,393,960 shares of the registrant's common stock , $ 0.001 par value , issued or issuable and outstanding .