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): October 6, 2011
ECOTALITY, INC.
(Exact name of Registrant as specified in its charter)
Nevada
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000-50983
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68-0515422
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(State of Other Jurisdiction of Incorporation)
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(Commission File Number)
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(IRS Employer Identification No.)
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Four Embarcadero Center, Suite 3720
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San Francisco, CA
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94111
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(Address of Principal Executive Offices)
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(Zip Code)
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Registrant’s telephone number, including area code: (415) 992-3000
(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:
Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))
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Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))
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ITEM 8.01 Other Events
As previously disclosed, ECOtality, Inc. (the “Company”) is party to an Underwriting Agreement dated June 22, 2011 (the “Underwriting Agreement”) with Roth Capital Partners, LLC (“Roth”), as representative for the underwriters. The Underwriting Agreement contains provisions that prevent the Company from selling, or taking other similar actions with respect to, its securities for 120 days following the date of the Underwriting Agreement, subject to certain extensions (the “Company Lock-Up”). Roth also received Lock-Up Letters from certain directors and officers of the Company relating to the Company’s securities (the “Director and Officer Lock-Ups”).
Effective October 6, 2011, Roth, on behalf of itself and the underwriters, agreed to terminate the Director and Officer Lock-Ups and the Company Lock-Up.
SIGNATURES
Pursuant to the requirements of the Securities Exchange Act of 1934, the Company has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.
ECOTALITY, INC.
(Company)
Signature
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Title
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Date
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/s/ Jonathan R. Read
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President and CEO
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October 11, 2011
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Jonathan R. Read
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/s/ H. Ravi Brar
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Chief Financial Officer
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October 11, 2011
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H. Ravi Brar
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