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Safeguard Scientifics Inc. – ‘8-K’ for 2/12/24

On: Monday, 2/12/24, at 9:58am ET · For: 2/12/24 · Accession #: 1437749-24-3695 · File #: 1-05620

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

 2/12/24  Safeguard Scientifics Inc.        8-K:8,9     2/12/24   12:154K                                   RDG Filings/FA

Current Report — Form 8-K

Filing Table of Contents

Document/Exhibit                   Description                      Pages   Size 

 1: 8-K         Current Report                                      HTML     24K 
 2: EX-99.1     Miscellaneous Exhibit                               HTML     10K 
 7: R1          Document And Entity Information                     HTML     44K 
 9: XML         IDEA XML File -- Filing Summary                      XML     12K 
12: XML         XBRL Instance -- sfe20240212_8k_htm                  XML     14K 
 8: EXCEL       IDEA Workbook of Financial Report Info              XLSX      8K 
 4: EX-101.DEF  XBRL Definitions -- sfe-20240212_def                 XML     36K 
 5: EX-101.LAB  XBRL Labels -- sfe-20240212_lab                      XML     46K 
 6: EX-101.PRE  XBRL Presentations -- sfe-20240212_pre               XML     35K 
 3: EX-101.SCH  XBRL Schema -- sfe-20240212                          XSD     14K 
10: JSON        XBRL Instance as JSON Data -- MetaLinks               12±    19K 
11: ZIP         XBRL Zipped Folder -- 0001437749-24-003695-xbrl      Zip     15K

‘8-K’ — Current Report

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

iX: C:

i false i 0000086115 0000086115 2024-02-12 2024-02-12

UNITED STATES SECURITIES AND EXCHANGE COMMISSION

Washington, DC 20549

FORM i 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): i February 12, 2024

i Safeguard Scientifics, Inc.

(Exact Name of registrant as Specified in Charter)

i Pennsylvania	i 001-05620	i 23-1609753
(State or other Jurisdiction of Incorporation)	(Commission File Number)	(IRS Employer ID No.)

i 150 N. Radnor Chester Rd., STE F-200 i Radnor, i PA	i 19087
(Address of Principal Executive Offices)	(Zip Code)

Registrant’s telephone number, including area code: i 610- i 293-0600

Not applicable

(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 (see General Instruction A.2. below):

i ☐ Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)

i ☐ Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)

i ☐ Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))

i ☐ 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:

Title of each class	Trading Symbol(s)	Name of each exchange on which registered
i Common Stock ($.10 par value)	i SFES	N/A

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 i ☐

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. ☐

Item 8.01.

Other Events.

On February 12, 2024, Safeguard Scientifics, Inc. (“Safeguard”) issued a press release announcing that Safeguard begins trading on OTCQX under the symbol “SFES” on February 12, 2024. A copy of the press release is attached as Exhibit 99.1 to this Current Report on Form 8-K and is incorporated herein by this reference.

Item 9.01

Financial Statements and Exhibits

(d) Exhibits

The following exhibits are filed herewith:


Number		Exhibit
99.1		Press Release, dated February 12, 2024
104		Cover Page Interactive Data File (formatted as Inline XBRL).

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 hereunto duly authorized.

	Safeguard Scientifics, Inc.

Date: February 12, 2024	By:	/s/ *G. Matthew Barnard*
	Name:	G. Matthew Barnard
	Title:	Special Counsel

Dates Referenced Herein

This ‘8-K’ Filing	Date	Other Filings

Filed on / For Period end:	2/12/24	None on these Dates
		List all Filings

1 Subsequent Filing that References this Filing

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

 2/20/24  Safeguard Scientifics Inc.        SC 13E3/A              1:44K  Safeguard Scientifics Inc.        Toppan Merrill/FA

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Filing Submission 0001437749-24-003695 – Alternative Formats (Word / Rich Text, HTML, Plain Text, et al.)