SEC Info - CUI Global, Inc. - ‘8-K’ for 12/17/19

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CUI Global, Inc. – ‘8-K’ for 12/17/19

On: Tuesday, 12/17/19, at 3:56pm ET · For: 12/17/19 · Accession #: 1437749-19-24524 · File #: 1-35407

  As Of               Filer                 Filing    For·On·As Docs:Size             Issuer                      Filing Agent

12/17/19  CUI Global, Inc.                  8-K:8,9    12/17/19    2:38K                                    RDG Filings/FA

Current Report — Form 8-K — Sect. 13 / 15(d) – SEA’34
Filing Table of Contents

Document/Exhibit                   Description                      Pages   Size 

 1: 8-K         Current Report                                      HTML     14K 
 2: EX-99.1     Miscellaneous Exhibit                               HTML      8K

‘8-K’ — Current Report

This is an HTML Document rendered as filed. [ Alternative Formats ]

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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):

December 17, 2019

Commission File Number: 0-29923

CUI Global, Inc.

(Exact Name of registrant as specified in Its Charter)

Colorado	84-1463284
(State or jurisdiction of	(I.R.S. Employer
incorporation or organization)	Identification No.)

20050 SW 112th Avenue, Tualatin, Oregon	97062
(Address of Principal Executive Offices)	(Zip Code)

(503) 612-2300

(Registrant’s telephone number)

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 (see General Instruction A.2. below):

	☐	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 240.1 4d-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. ☐

Securities registered pursuant to Section 12(b) of the Act:

Title of each class	Trading Symbol(s)	Name of each exchange on which registered
Common stock, $0.001 par value	CUI	Nasdaq Capital Market

Section 8 - Other Events

Item 8.01 Other Events.

On December 17, 2019, CUI Global, Inc. ("the Company") announced that it has received written notice from the Nasdaq Stock Market Listing Qualifications Staff on December 17, 2019, indicating that the Company has regained compliance with the minimum bid price requirement as set forth in Nasdaq Capital Markets Listing Rule 5550(a)(2).

Section 9 - Financial Statements and Exhibits

Item 9.01 Financial Statements and Exhibits.

(d)

Exhibits

Exhibit No.	Description

99.1	Press release - CUI Global Regains NASDAQ Listing Compliance

SIGNATURES

Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned thereunto duly authorized.

Signed and submitted this 17th day of December 2019.

CUI Global, Inc.

(Registrant)

By:	/s/ *Daniel N. Ford*
	Daniel N. Ford
	Chief Financial Officer

Dates Referenced Herein and Documents Incorporated by Reference

This ‘8-K’ Filing	Date	Other Filings

Filed on / For Period end:	12/17/19	4
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Filing Submission 0001437749-19-024524 – Alternative Formats (Word / Rich Text, HTML, Plain Text, et al.)