Attached files
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| EX-99.1 - PRESS RELEASE - LIGHTPATH TECHNOLOGIES INC | lpth_ex991.htm |
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
February 24, 2020
Date of Report (Date of earliest event reported)
LIGHTPATH TECHNOLOGIES, INC.
(Exact name of registrant as specified in its charter)
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Delaware
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000-27548
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86-0708398
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(State or other jurisdiction of
incorporation or organization)
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(Commission File Number)
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(I.R.S. Employer
Identification Number)
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2603 Challenger Tech Court, Suite 100
Orlando, Florida 32826
(Address of principal executive office, including zip
code)
(407) 382-4003
(Registrant’s telephone number, including area
code)
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:
☐Written communications pursuant to Rule 425 under the
Securities Act (17 CFR 230.425)
☐Soliciting material pursuant to Rule 14a-12 under the
Exchange Act (17 CFR 240.14a-12)
☐Pre-commencement communications pursuant to Rule
14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))
☐Pre-commencement communications pursuant to Rule
13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))
Securities registered pursuant to Section 12(b) of the
Act:
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Title of each class
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Trading Symbol(s)
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Name of each exchange on which registered
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Class A
Common Stock, par value $0.01
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LPTH
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The
Nasdaq Stock Market, LLC
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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 of this
chapter).
Emerging
growth company ☐
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 providing
pursuant to Section 13(a) of the Exchange Act. ☐
LightPath
Technologies, Inc.
Form
8-K
Item 8.01. Other Events.
As
previously disclosed by LightPath Technologies, Inc. (the
“Company”) on that certain Current Report on Form 8-K
filed on July 18, 2019 with the U.S. Securities and Exchange
Commission (the “SEC”), on July 15, 2019, the Company
received a written notice (the “Initial Notice”) from
the Listing Qualifications department of The Nasdaq Stock Market
LLC (“Nasdaq”) indicating that the Company was not in
compliance with Nasdaq Listing Rule 5550(a)(2), which requires a
minimum closing bid price of $1.00 per share of the Company’s
Class A common stock (the “Minimum Bid Price
Requirement”). The Initial Notice provided the Company 180
calendar days, or until January 13, 2020, to regain compliance with
Nasdaq Listing Rule 5550(a)(2).
Further,
as previously disclosed by the Company on that certain Current
Report on Form 8-K filed on January 16, 2020 with the SEC, on
January 14, 2020, the Company received a written notice from the
Listing Qualifications department of Nasdaq that the Company had
been granted an additional 180 calendar days, or until July 13,
2020, to regain compliance with the Minimum Bid Price
Requirement.
On
February 24, 2020, the Company received a letter (the
“Compliance Letter”) from the Listing Qualifications
department of Nasdaq notifying the Company that it has regained
compliance with the Minimum Bid Price Requirement. The Compliance
Letter noted that (i) the Company’s Class A common stock had
a closing bid price of at least $1.00 for a minimum of ten
consecutive trading days from February 7, 2020 to February 21,
2020, and (ii) the Company has regained compliance with the Minimum
Bid Price Requirement. Accordingly, Nasdaq considers the matter
closed.
On
February 26, 2020, the Company issued a press release with respect
to regaining compliance with the Minimum Bid Price Requirement, a
copy of which is attached as Exhibit 99.1 and is incorporated
herein by reference.
Item 9.01. Financial Statements and Exhibits.
(d)
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Exhibit No.
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Description
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Press
Release of LightPath Technologies, Inc., dated February 26,
2020
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SIGNATURES
Pursuant
to the requirements of the Securities Exchange Act of 1934, as
amended, the registrant has duly caused this Report to be signed in
its behalf by the undersigned, thereunto duly
authorized.
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LIGHTPATH
TECHNOLOGIES, INC.
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Dated:
February 26, 2020
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By:
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/s/
Donald O. Retreage, Jr.
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Donald O. Retreage, Jr.,
Chief Financial Officer
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