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As Of Filer Filing For·On·As Docs:Size Issuer Agent 5/01/19 SG Blocks, Inc. 8-K:1,3,9 4/29/19 3:345K Edgar Agents LLC/FA |
Document/Exhibit Description Pages Size 1: 8-K Current Report HTML 15K 2: EX-10.1 Form of Warrant, as Modified HTML 80K 3: EX-10.2 Form of Roth Warrant, as Modified HTML 153K
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): April 29, 2019
SG BLOCKS, INC.
(Exact Name of Registrant as Specified in its Charter)
| Delaware | 001-38037 | 95-4463937 |
| (State or Other Jurisdiction | (Commission File Number) | (I.R.S. Employer |
| of Incorporation) | Identification Number) |
195 Montague Street, 14th Floor
(Address of Principal Executive Offices, Zip Code)
Registrant’s telephone number, including area code: 646-240-4235
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)) |
Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (§230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (§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 provided pursuant to Section 13(a) of the Exchange Act. ☐
C:
| Item 1.01. | Entry into a Material Definitive Agreement. |
On April 29, 2019, in connection with the financing previously disclosed on the current report of SG Blocks, Inc. (the “Company”) on Form 8-K filed with the Securities and Exchange Commission on April 26, 2019 (“April 26th 8-K”), the Company and certain institutional and accredited investors (the “Investors”) modified the terms of the Warrants, as defined in the April 26th 8-K, to include a floor in the provision on voluntary adjustments to the then-current exercise price pursuant to the terms therein. The same modification was made to the Roth Warrants, as defined in the April 26th 8-K.
The foregoing description of the Warrants and the Roth Warrants are qualified in their entirety by reference to the Warrants and the Roth Warrants, which are filed as Exhibit 10.1 and Exhibit 10.2 to this current report on Form 8-K and is incorporated by reference herein.
| Item 3.03. | Material Modification to Rights of Security Holders. |
To the extent required by Item 3.03 of Form 8-K, the disclosure set forth in Item 1.01 of this Current Report on Form 8-K is incorporated by reference in this item 3.03.
| Item 9.01. | Financial Statements and Exhibits. |
(d) Exhibits
The following exhibits are furnished as part of this report:
| Exhibit No. | Description | |
| 10.1 | Form of Warrant, as modified | |
| 10.2 | Form of Roth Warrant, as modified |
C:
C: 1
SIGNATURE
Pursuant to the requirements of the Securities Exchange Act of 1934, as amended, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.
Dated: May 1, 2019
| SG Blocks, Inc. | ||
| By: | /s/ Mahesh Shetty | |
| Mahesh Shetty | ||
| President and Chief Financial Officer | ||
C:
2
| This ‘8-K’ Filing | Date | Other Filings | ||
|---|---|---|---|---|
 | ||||
| Filed on: | 5/1/19 | |||
| For Period End: | 4/29/19 | |||
| 4/26/19 | 424B5, 8-K | |||
| List all Filings | ||||
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