Market Exclusive

Delmar Bancorp (OTCMKTS:DBCP) Files An 8-K Other Events

ME Staff 8-k — Thu, 19 Sep 2019 01:43:45 +0000

Delmar Bancorp (OTCMKTS:DBCP) Files An 8-K Other Events
Item 8.01.Other Events

On September 18, 2019, Delmar Bancorp announced the declaration, on September 17, 2019, of a cash dividend of $0.025 per share, payable on October 8, 2019, to holders of record of its common stock as of the close of business on September 27, 2019. A copy of the press release announcing the dividend is included as Exhibit 99.1 attached to this report.

Item 9.01Financial Statements and Exhibits

(d) Exhibits.

DELMAR BANCORP Exhibit
EX-99.1 2 ex-99d1.htm EX-99.1 dbcp_Ex99_1 Exhibit 99.1 PRESS RELEASE DELMAR BANCORP ANNOUNCES DECLARATION OF DIVIDEND SALISBURY,…
To view the full exhibit click here

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U.S. ENERGY CORP. (NASDAQ:USEG) Files An 8-K Other Events

ME Staff 8-k — Thu, 19 Sep 2019 01:43:02 +0000

U.S. ENERGY CORP. (NASDAQ:USEG) Files An 8-K Other Events
Item 8.01. Other Events.

On September 16, 2019, U.S. Energy Corp. (the “Company”) filed its Annual Report on Form 10-K for the year ended December 31, 2018 (the “Annual Report”) with the U.S. Securities and Exchange Commission. As noted in the Annual Report, the Company’s reserve estimates as of December 31, 2018 are based on a reserve report prepared by Jane E. Trusty, PE. Ms. Trusty is an independent petroleum engineer and a State of Texas Licensed Professional Engineer (License #60812). A copy of Ms. Trusty’s report, which is referenced in the Annual Report, is filed as Exhibit 99.1.

Item 9.01. Financial Statements and Exhibits.

(d)	Exhibits.
99.1	Reserve Report (Jane E. Trusty, PE)

US ENERGY CORP Exhibit
…
To view the full exhibit click here

About U.S. ENERGY CORP. (NASDAQ:USEG)

U.S. Energy Corp. (U.S. Energy) is an independent energy company focused on the acquisition and development of oil and gas producing properties in the continental United States. The Company’s business activities are focused on South Texas and the Williston Basin in North Dakota. The Company operates through Oil and Gas segment. The Company participates in oil and gas projects primarily as a non-operating working interest owner through exploration and development agreements with various oil and gas exploration and production companies. The Company is also pursuing acquisitions of exploration, development and production-stage oil and gas properties or companies. The Company holds a geographically and geologically diverse portfolio of oil-weighted prospects in varying-stages of exploration and development. The Company engages in the prospect stages either for its own account or with prospective partners to enlarge its oil and gas lease ownership base.

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vTv Therapeutics Inc. (NASDAQ:VTVT) Files An 8-K Unregistered Sales of Equity Securities

ME Staff 8-k — Thu, 19 Sep 2019 01:13:07 +0000

vTv Therapeutics Inc. (NASDAQ:VTVT) Files An 8-K Unregistered Sales of Equity Securities
Item 3.02 Unregistered Sales of Equity Securities

On September 18, 2019, vTv Therapeutics Inc. (the “Company”) exercised its right to cause MacAndrews & Forbes Group LLC (the “Investor”) to purchase 606,061 shares of the Company’s Class A common stock at a per share price of $1.65 to the terms of the letter agreement between the Company and the Investor dated March 18, 2019 (the “March 2019 Letter Agreement”). The Investor funded $1.0 million to the Company in exchange for 606,061 shares of Class A common stock following the execution of definitive documentation by and between the Company and the Investor.

The foregoing disclosure regarding the March 2019 Letter Agreement is qualified in its entirety by reference to the March 2019 Letter Agreement, attached as Exhibit 10.2 to the Company’s Current Report on Form 8-K filed with the Securities and Exchange Commission (the “SEC”) on March 20, 2019.

About vTv Therapeutics Inc. (NASDAQ:VTVT)

vTv Therapeutics Inc. is a clinical-stage biopharmaceutical company. The Company is engaged in the discovery and development of orally administered small molecule drug candidates. Its drug candidate for the treatment of Alzheimer’s disease (AD) is azeliragon (TTP488), an orally administered, small molecule antagonist targeting the receptor for advanced glycation endproducts (RAGE), for which it has commenced patient enrollment in a Phase III clinical trial. Its type II diabetes drug candidates include TTP399, an orally administered, liver-selective glucokinase activator (GKA), for which it has completed enrollment in its Phase IIb clinical trial, and TTP273, an orally administered, non-peptide agonist that targets the glucagon-like peptide-1 receptor (GLP-1r), for which it began enrollment in a Phase II clinical trial. It has over three additional programs in various stages of clinical development for the prevention of muscle weakness and the treatment of inflammatory disorders.

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OpGen, Inc. (NASDAQ:OPGN) Files An 8-K Other Events

ME Staff 8-k — Thu, 19 Sep 2019 00:43:44 +0000

OpGen, Inc. (NASDAQ:OPGN) Files An 8-K Other Events
Item 8.01 — Other Events.

About OpGen, Inc. (NASDAQ:OPGN)

OpGen, Inc. (OpGen) is a precision medicine company using molecular diagnostics and informatics to combat infectious disease. The Company is engaged in developing molecular information solutions to combat infectious disease in global healthcare settings, helping to guide clinicians with information about life threatening infections, managing patient outcomes, and the spread of infections caused by multidrug-resistant microorganisms. Its deoxyribonucleic acid (DNA) tests and bioinformatics address the threat of anti-biotic resistance by helping physicians and healthcare providers manage patient care decisions and protect the hospital biome through customized screening and surveillance solutions. It is working to deliver its molecular information solution to a global network of customers and partners. It is also working to provide precise diagnostic information powered by pathogen surveillance data. The Company’s high-resolution DNA tests are marketed under the Acuitas trade name.

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CYTOSORBENTS CORPORATION (NASDAQ:CTSO) Files An 8-K Other Events

ME Staff 8-k — Thu, 19 Sep 2019 00:42:12 +0000

CYTOSORBENTS CORPORATION (NASDAQ:CTSO) Files An 8-K Other Events
Item 8.01

On September 16, 2019, CytoSorbents Corporation issued a press release announcing that the Hannover Medical School in Germany will begin the CYTORELEASE clinical study, the first clinical study to evaluate the use of CytoSorb^® in treating Cytokine Release Syndrome and CAR-related Encephalopathy Syndrome, following CAR-T immunotherapy.

The full text of the press release is filed as Exhibit 99.1 to this Current Report on Form 8-K.

(d)

Exhibit No.	Exhibit Name
99.1	CytoSorbents Corporation Press Release dated September 16, 2019

Cytosorbents Corp Exhibit
EX-99.1 2 tv529574_ex99-1.htm EXHIBIT 99.1 Exhibit 99.1 First Study to Evaluate CytoSorb in Cytokine Release Syndrome (CRS) Following CAR T-cell Immunotherapy to Commence MONMOUTH JUNCTION,…
To view the full exhibit click here

About CYTOSORBENTS CORPORATION (NASDAQ:CTSO)

CytoSorbents Corporation is a critical care focused immunotherapy company. The Company is engaged in commercializing its product, CytoSorb, which is a blood purification technology with focus in preventing or treating multiple organ failure. The Company’s purification technologies are based on biocompatible, porous polymer beads that remove toxic substances from blood and other bodily fluids by pore capture and surface adsorption. The Company’s CytoSorb is an extracorporeal cytokine filter and is designed to reduce the cytokine storm that causes inflammation, organ failure and death in common critical illnesses, such as sepsis, burn injury, trauma, lung injury and pancreatitis. In addition, CytoSorb is used in other inflammatory conditions, such as cardiac surgery and autoimmune disease flares and cancer cachexia. It also has other products under development based upon its blood purification technology, including HemoDefend, ContrastSorb, DrugSorb, BetaSorb and others.

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INVACARE CORPORATION (NYSE:IVC) Files An 8-K Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers

ME Staff 8-k — Thu, 19 Sep 2019 00:40:28 +0000

INVACARE CORPORATION (NYSE:IVC) Files An 8-K Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers
Item 5.02.

On September 18, 2019, the Board of Directors of Invacare Corporation (the “Company”) appointed Julie Beck as a director of the Company on the unanimous recommendation of the Nominating and Governance Committee. Ms. Beck has been appointed to serve a term expiring at the Company’s 2020 Annual Meeting of Shareholders.

Ms. Beck has more than 30 years of experience in the manufacturing, industrial and consumer industries, and is a certified public accountant. Ms. Beck was unanimously appointed by the current members of the Board after an extensive search conducted by an internationally recognized executive search firm. She will serve as a member of the company’s Audit Committee and its Nominating and Governance Committee. Her appointment brings the number of Invacare directors to a total of nine, eight of whom are considered independent directors.

There is no arrangement or understanding between Ms. Beck and any other person to which Ms. Beck was elected as a director of the Company. Ms. Beck has not entered into any related party transactions with the Company that are required to be disclosed to Item 404(a) of Regulation S-K.

As a director, Ms. Beck will participate in the Company’s current program for the compensation of non-employee directors, which is described under the caption “Director Compensation Program” in the Company’s Definitive Proxy Statement on Schedule 14A filed with Securities and Exchange Commission on April 12, 2019. In accordance with the director compensation program, Ms. Beck is expected to receive a grant of 9,023 restricted stock units under the Company’s 2018 Equity Compensation Plan.

On September 18, 2019, the Company issued a press release announcing the appointment of Ms. Beck to the Board of Directors, which is attached as Exhibit 99.1 to this Current Report on Form 8-K.

Item 9.01. Financial Statements and Exhibits.

INVACARE CORP Exhibit
EX-99.1 2 sep2019exhibit.htm EXHIBIT 99.1 Exhibit Exhibit 99.1NEWS RELEASECONTACT:Lois Lee loislee@invacare.com 440-329-6435INVACARE CORPORATION APPOINTS JULIE BECK TO BOARD OF DIRECTORSELYRIA,…
To view the full exhibit click here

About INVACARE CORPORATION (NYSE:IVC)

Invacare Corporation is a manufacturer and distributor for medical equipment used in non-acute care settings. The Company’s geographical segments are Europe; North America, which includes North America/Home Medical Equipment (North America/HME) and Institutional Products Group (IPG) segments, and Asia/Pacific. The Company manufactures and distributes three product categories: mobility and seating, lifestyle and respiratory therapy. It provides medical device solutions for congenital (cerebral palsy, muscular dystrophy and spina bifida), acquired (stroke, spinal cord injury, traumatic brain injury, post-acute recovery and pressure ulcers) and degenerative (amyotrophic lateral sclerosis, multiple sclerosis, chronic obstructive pulmonary disease (COPD), elderly and bariatric) ailments. The Company sells its products to home medical equipment providers with retail and e-commerce channels, residential living operators, distributors and government health services.

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LIBERTY TAX, INC. (NASDAQ:TAX) Files An 8-K Submission of Matters to a Vote of Security Holders

ME Staff 8-k — Wed, 18 Sep 2019 22:09:00 +0000

LIBERTY TAX, INC. (NASDAQ:TAX) Files An 8-K Submission of Matters to a Vote of Security Holders
Item 5.07 Submission of Matters to a Vote of Security Holders

1) Each of the following nominees for director was elected by the holders of the Company’s outstanding capital stock to serve until the next annual meeting of stockholders or until a respective successor is elected and qualified:

2) The proposal for the approval, in an advisory and non-binding vote, of the compensation of the Company’s named executive officers as disclosed in the proxy statement was approved as follows:

About LIBERTY TAX, INC. (NASDAQ:TAX)

Liberty Tax, Inc. is the holding company for JTH Tax, Inc. The Company is a provider of tax preparation services. The Company provides retail federal and state income tax preparation services and related tax settlement products in the United States and Canada. The Company’s tax preparation services and related tax settlement products are offered primarily through franchised locations. All of the Company’s offices are operated under the Liberty Tax Service and SiempreTax+ brands. The Company also provides an online digital Do-It-Yourself (DIY) tax program in the United States. The Company offers two types of tax settlement financial products: refund transfer products, which include providing a means by which a customer receives his or her refund, and refund-based loans. The Company’s LibTax software allows tax customers to have their federal and state income tax returns filed electronically.

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AMAZING ENERGY OIL AND GAS, CO. (OTCMKTS:AMAZ) Files An 8-K Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant

ME Staff 8-k — Wed, 18 Sep 2019 22:07:58 +0000

AMAZING ENERGY OIL AND GAS, CO. (OTCMKTS:AMAZ) Files An 8-K Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant
Item 2.03

Creation of a Direct Financial Obligation

On September 18, 2019 Amazing Energy Oil & Gas, Co. (“Amazing” or the “Company”) finalized a loan agreement with FirstFire Global Opportunities Fund, LLC whereby the Company borrowed the aggregate sum of two hundred fifty thousand and no/100 dollars ($250,000.00) (the “Loan”).

The loan contained an original issue discount of ten percent (10%), bears interest at the rate of twelve percent (12%) per annum, matures on March 09, 2020 (the “Maturity Date”) and is convertible in whole or in part, at any time prior to the date the Loan is repaid in full, into shares of the Company’s common stock at a fifty percent (50%) discount to the market price of the Company’s common stock. The Company may pre-pay the Loan, in full, at any time prior to the Maturity Date so long as Company is not in default under any terms of the Loan.

The proceeds of the Loan will be used for general working capital.

Item 3.02

Unregistered Sales of Equity Securities.

The Company issued, as a commitment fee related to the Loan, a total of one million eight hundred seventy-five thousand (1,875,000) shares of its common stock (the “Shares”). If the Loan is paid off on or before the Maturity Date, one million five hundred sixty-two thousand five hundred (1,562,500) of the Shares will be returned to the Company and canceled.

About AMAZING ENERGY OIL AND GAS, CO. (OTCMKTS:AMAZ)

Amazing Energy Oil and Gas, Co. is an independent energy company. The Company is engaged in the business of exploration, development and production of oil and gas in the Permian Basin of West Texas. The Company is also engaged in the production and sale of oil and natural gas. The Company is developing resource potential from the Queens formation. Its additional drilling targets include the Greyburg, San Andreas and Devonian zones. As of July 31, 2016, the Company had leasehold rights within approximately 70,000 contiguous acres in Pecos County, Texas, which lies within the Permian Basin. The property is located in the Northeast region of the County. The Pecos leasehold lies within the White & Baker Field and portions of the Walker Field. The Pecos leasehold consists of multiple leases. As of July 31, 2016, its estimated net proved reserves were 745,190 barrels of oil equivalent (BOE). As of July 31, 2016, the Company owned 22 oil and gas wells in the Permian Basin.

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DEEP DOWN, INC. (OTCMKTS:DPDW) Files An 8-K Entry into a Material Definitive Agreement

ME Staff 8-k — Wed, 18 Sep 2019 21:38:27 +0000

DEEP DOWN, INC. (OTCMKTS:DPDW) Files An 8-K Entry into a Material Definitive Agreement
ITEM 1.01

On September 12, 2019, Deep Down, Inc. (the “Company”) entered into an employment agreement with Mr. Micah Simmons (the “Simmons Employment Agreement”). The Simmons Employment Agreement provides for Mr. Simmons to serve as the Company\’s Chief Operating Officer for three (3) years effective September 23, 2019, subject to earlier termination in accordance with the terms of the Simmons Employment Agreement. Mr. Simmons is referred to herein as the “Executive.”

Under the terms of the Employment Agreement, the Executive is entitled to receive an annual base salary (the amount of which is $245,000), subject to annual adjustment by the Company’s board of directors (the “Board”). The Executive is also entitled to receive an annual bonus as determined by the Board’s Compensation Committee. Further, the Employment Agreement provides that the Executive is eligible to participate in all incentive, savings and retirement plans, practices, policies and programs applicable generally to all other peer executives of the Company, to receive fringe benefits in accordance with the plans, practices, programs and policies of the Company for other peer executives, and to receive reimbursement for reasonable business expenses. In the event of a change of control (as defined in the Employment Agreement), the awards and grants to the Executive that are comprised of or based upon equity securities under the Company’s plans, practices, policies and programs will immediate vest.

In the event of termination of the Executive’s employment for any reason, the Executive will be entitled to receive all accrued, unpaid salary and vacation time through the date of termination and all benefits to which the Executive is entitled or vested under the terms of all employee benefit and compensation plans, agreements and arrangements in which the Executive is a participant as of the date of termination. In addition, subject to executing a general release in favor of the Company, the Executive will be entitled to receive certain severance payments in the event his employment is terminated by the Company “other than for cause” or by the Executive with “good reason.”

The Executive has agreed to not, during the respective term of his employment and for a one-year period after his termination, engage in Competition (as defined in the Employment Agreement) with the Company, solicit business from any customer or potential customer of the Company, solicit the employment or services of any person employed by or a consultant to the Company on the date of termination or with six months prior thereto, or otherwise knowingly interfere with the business or accounts of the Company or any of its subsidiaries.

In connection with entering into the Employment Agreement, the Company has granted 200,000 shares of restricted stock to the Executive, 50,000 of which were vested upon grant, with the remainder to vest in equal installments on September 23, 2020, 2021 and 2022.

The foregoing description of the Simmons Employment Agreement contained herein is qualified in its entirety by reference to the full text of the agreement, a copy of which is attached hereto as Exhibit 10.1 and incorporated herein by reference.

SECTION 5 – CORPORATE GOVERNANCE AND MANAGEMENT

On September 12, 2019, the Company appointed Mr. Micah Simmons as Chief Operating Officer, effective September 23, 2019.

Mr. Simmons, 43, was most recently Vice President of Project Management for Global Operations in Siemens Oil and Gas, based in Houston, Texas. Mr. Simmons led the global project organization, with responsibility for project strategy, execution, processes, and governance across ten factories. Prior to Siemens, Mr. Simmons spent 20 years with TechnipFMC most recently as a Vice President, Global Supply and led teams of hundreds of employees over the course of his career in Malaysia, Norway and Houston, including those focused on subsea manifolds and pipeline systems.

Mr. Simmons earned an MBA from the Darden Graduate School of Business Administration at the University of Virginia and a Bachelor of Science in Mechanical Engineering at Texas A&M University. He is licensed as a professional engineer in Texas.

The information under Item 1.01 of this Current Report on Form 8-K regarding the terms of employment of Mr. Simmons is incorporated herein by reference.

SECTION 9 – FINANCIAL STATEMENTS AND EXHIBITS

(d) Exhibits:

Deep Down, Inc. Exhibit
EX-10.1 2 deepdown_ex1001.htm EMPLOYMENT AGREEMENT,…
To view the full exhibit click here

About DEEP DOWN, INC. (OTCMKTS:DPDW)

Deep Down, Inc. is engaged in the oilfield services industry. The Company operates through Deep Down Delaware segment. The Company is a provider of specialized services to the offshore energy industry to support deep water and ultra-deep water exploration, development and production of oil and gas, and other maritime operations. It also produces custom engineered products that assist it in fulfilling service objectives for specific projects on a contractual basis. The Company designs and manufactures deep water and ultra-deep water, surface and offshore equipment solutions, which are used by independent and foreign national oil and gas companies in offshore areas across the world. The Company provides engineering and management services, including the design, installation and retrieval of subsea equipment and systems, connection and termination operations, well-commissioning services, as well as construction support and remotely operated vehicle (ROV) operations support.

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HERITAGE GLOBAL INC. (OTCMKTS:HGBL) Files An 8-K Entry into a Material Definitive Agreement

ME Staff 8-k — Wed, 18 Sep 2019 21:08:04 +0000

HERITAGE GLOBAL INC. (OTCMKTS:HGBL) Files An 8-K Entry into a Material Definitive Agreement
Item 1.01

On September 13, 2019 (the “Effective Date”), Heritage Global Inc., a Florida corporation (the “Corporation”), entered into an Amendment (the “Amendment”) to the Employment Agreement (the “Employment Agreement”) for Kenneth Mann, a named executive officer of the Corporation and the Senior Managing Director of Equity Partners HG LLC, a wholly-owned subsidiary of the Corporation (the “Company”). to the terms of the Amendment, Mr. Mann will continue his current employment with the Company until December 31, 2019, after which time the Employment Agreement and Amendment will terminate and Mr. Mann’s employment with the Company will cease (the “Resignation Time”).

Subject to certain conditions under the Amendment and through the Resignation Time, the Company has agreed to provide Mr. Mann with his current annual salary of $375,000, potential bonus in an amount equal to $50,000 paid in regular payroll, and continued benefits. In addition, the Company has agreed to pay to the personnel of the Company (including Mr. Mann) an aggregate bonus equal to the sum of 50% of the Company’s 2019 net operating income (if any), plus $25,000. Mr. Mann has agreed to surrender, and to cause an entity controlled by him to surrender, at the Resignation Time certain options to purchase Corporation common stock possessed by either Mr. Mann or the entity controlled by Mr. Mann. Mr. Mann has also agreed to waive any right to payment for accrued but unused vacation upon the Resignation Time.

to the Amendment, Mr. Mann has retained his right to terminate employment for Good Reason (as defined in the Employment Agreement) and the Company has retained its right to terminate employment for Cause (as defined in the Employment Agreement). Mr. Mann will not be entitled to any further severance payments.

Transfer of Company Assets

Subject to certain conditions and to the delivery of a mutual release as provided in the Amendment, the Amendment provides that on January 1, 2020 the Company will transfer to Mr. Mann or his designee (the “Buyer”) certain assets of the Company (the “Transferred Assets”), free and clear of all liens. The Amendment further provides that Mr. Mann may choose, in his sole discretion, to accept assignment from the Company of any of the liabilities and obligations of the Company listed in the Amendment by providing written notice to the Company by November 29, 2019. Other than the Transferred Assets, the Company will retain all of the assets and rights held by the Company.

Division of Revenue

Following the Effective Date, Mr. Mann has agreed to cause Buyer to pay to the Company a percentage of all revenue received with respect to each engagement for which the Corporation has been engaged or retained as of the Effective Date but that is closed or completed following the Effective Date, subject to certain exclusions. The percentage to be paid is determined by multiplying the revenue by the percentage of the engagement completed prior to the Effective Date, as determined in good faith by Mr. Mann and a representative of the Company on or before December 31, 2019. The Company maintains a right to audit Mr. Mann’s and/or Buyer’s records for up to one year following the final payment for all such engagements.

Forward-Looking Statements

This report contains forward-looking statements based on the Corporation’s current expectations and projections about future events, including, without limitation, information regarding the future timing of the transfer of the Transferred Assets and the division of revenue between the Company and the Buyer. For these statements, the Corporation claims the protection of the safe harbor for forward-looking statements contained in the Private Securities Litigation Reform Act of 1995. While the Corporation believes the forward-looking statements contained in this report are accurate, these forward-looking statements represent the Corporation’s beliefs only as of the date of this report, and there are a number of factors that could cause actual events or results to differ materially from those indicated by such forward-looking statements, including variability in magnitude and timing of asset liquidation transactions, the impact of changes in the U.S. national and global economies, interest rate and foreign exchange rate sensitivity, and the financial effects of the Company transition, as well as other factors beyond the Corporation’s control. Unless required by law, we undertake no obligation to update or revise any forward-looking statements, whether as a result of new information, future events or otherwise. In light of these risks, uncertainties and assumptions, you should not place undue reliance on these forward-looking statements, which speak only as of the date of this release. For more details on factors that could affect these expectations, please see the Corporation’s filings with the Securities and Exchange Commission.

See Item 1.01 of this Current Report on Form 8-K, which is incorporated herein by reference.

On September 18, 2019, the Corporation issued a press release announcing the entry into the Amendment. A copy of the press release is furnished as Exhibit 99.1 to this Current Report on Form 8-K.

(d) Exhibits

Heritage Global Inc. Exhibit
EX-99.1 2 hgbl-ex991_6.htm EX-99.1 hgbl-ex991_6.htm Exhibit 99.1 HERITAGE GLOBAL INC. TO REALIGN MIDDLE MARKET M&A ADVISORY SERVICES BUSINESS TO INCREASE EFFICIENCIES SAN DIEGO,…
To view the full exhibit click here

About HERITAGE GLOBAL INC. (OTCMKTS:HGBL)

Heritage Global Inc., formerly Counsel RB Capital Inc., is engaged in asset liquidation transactions, valuations and advisory. The Company operates in its asset liquidation business segment. It focuses on identifying, valuing, acquiring and monetizing underlying tangible and intangible assets in approximately 30 global industrial and financial sectors. It specializes both in acting as an adviser, as well as acquiring or brokering manufacturing facilities, surplus industrial machinery and equipment, industrial inventories, accounts receivable portfolios, intellectual property and business enterprises. Its subsidiaries include Heritage Global Partners, Inc., which is a service, global auction, appraisal and asset advisory company, and National Loan Exchange Inc., which is a broker of charged-off receivables. The Company also includes the purchase and sale, including at auction, of industrial machinery and equipment, real estate, inventories, accounts receivable and distressed debt.

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Stellus Capital Investment Corporation (NYSE:SCM) Files An 8-K Entry into a Material Definitive Agreement

ME Staff 8-k — Wed, 18 Sep 2019 20:38:06 +0000

Stellus Capital Investment Corporation (NYSE:SCM) Files An 8-K Entry into a Material Definitive Agreement
Item 1.01 Entry into a Material Definitive Agreement.

On September 13, 2019, Stellus Capital Investment Corporation (the “Company”) entered into a second amendment and commitment increase (the “Amendment”) to its Senior Secured Revolving Credit Agreement, dated as of October 10, 2017 (as amended, the “Credit Facility”), with Zions Bancorporation, N.A. dba Amegy Bank, as administrative agent and a lender, and the other lenders from time to time party thereto.

The Credit Facility was amended to (i) increase the total commitments under the Credit Facility from $180 million to $200 million and (ii) increase the amount of the accordion feature, which allows the Company to increase the aggregate commitments under the Credit Facility from a maximum of $195 million to a maximum of $250 million, subject to new or existing lenders agreeing to participate in the increase and other customary conditions.

The above summary is not complete and is qualified in its entirety by the full text of the Amendment, which is filed as an exhibit hereto.

Item 2.03 Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant.

The information set forth under Item 1.01 is incorporated by reference into this Item 2.03.

Item 9.01 Financial Statements and Exhibits.

(d) Exhibits

10.1	Second Amendment to Senior Secured Revolving Credit Agreement and Commitment Increase, dated as of September 13, 2019, by and between Stellus Capital Investment Corporation, Zions Bancorporation, N.A. dba Amegy Bank, as administrative agent, and the lenders party thereto.

Stellus Capital Investment Corp Exhibit
EX-10.1 2 tv529614_ex10-1.htm EXHIBIT 10.1 Exhibit 10.1 SECOND AMENDMENT TO SENIOR SECURED REVOLVING CREDIT AGREEMENT AND COMMITMENT INCREASE THIS SECOND AMENDMENT TO SENIOR SECURED REVOLVING CREDIT AGREEMENT AND COMMITMENT INCREASE dated as of September 13,…
To view the full exhibit click here

About Stellus Capital Investment Corporation (NYSE:SCM)

Stellus Capital Investment Corporation is a closed-end, non-diversified management investment company. The Company originates and invests primarily in private middle-market companies through first lien, second lien, unitranche and mezzanine debt financing, with corresponding equity co-investments. The Company’s investment objective is to maximize the total return to its stockholders in the form of current income and capital appreciation. It invests in various sectors, such as business services, energy, general industrial, government services, healthcare, software and specialty finance. Its investment advisor is Stellus Capital Management, LLC (Stellus Capital Management). Stellus Capital Management is responsible for analyzing investment opportunities, conducting research and performing due diligence on investments, negotiating and structuring the Company’s investments, originating prospective investments, and monitoring its investments and portfolio companies on an ongoing basis.

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NORTECH SYSTEMS INCORPORATED (NASDAQ:NSYS) Files An 8-K Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers

ME Staff 8-k — Wed, 18 Sep 2019 20:09:36 +0000

NORTECH SYSTEMS INCORPORATED (NASDAQ:NSYS) Files An 8-K Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers
Item 5.02 Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers.

Curt Steichen Employment Agreement

(b) On September 17, 2019, Nortech Systems Incorporated (the “Company”) entered into an Employment Agreement with Curtis Steichen (the “Steichen Agreement”) as the Company’s Senior Vice President of Sales. The Steichen Agreement wholly supersedes and terminates all prior employment and change of control agreements between the Company and Mr. Steichen. The term of the Steichen Agreement continues until September 30, 2020 which will automatically renew for successive one-year renewal terms unless either party notifies the other party in writing at least ninety days prior to expiration. Under the Steichen Agreement, Mr. Steichen is entitled to receive a salary equivalent to a monthly amount of $175,000 an is eligible to participate in the Company’s benefit plans and equity incentive plans. Mr. Steichen is eligible for bonus compensation based upon satisfaction of specific criteria to be determined each calendar year, with a stated payout percentage of up to 60% of base salary under the bonus plan.

The Steichen Agreement has customary non-solicitation and confidentiality provisions.

Under the Steichen Agreement, if Mr. Steichen\’s employment is terminated by the Company without Cause (as defined in the Steichen Agreement) or by Mr. Steichen for Good Reason (as defined in the Steichen Agreement), so long as he has signed and has not revoked a release agreement, he will be entitled to receive severance comprised of (i) his base salary in effect at time of termination for the longer of (a) the remainder of the term of the Steichen Agreement or (b) nine months, (ii) the bonus earned under Mr. Steichen\’s incentive bonus plan for the fiscal year in which his termination occurred, prorated for the portion of such fiscal year through the date of such termination and payable at the same time as annual bonuses are paid to the Company’s other executive officers and (iii) certain benefits set forth in the Steichen Agreement.

If Mr. Steichen’s employment is terminated within 12 months after a Change of Control (as defined in the Steichen Agreement) by the Company without Cause, so long as he has signed and has not revoked a release agreement, he will be entitled to receive severance comprised of (i) his base salary in effect at time of termination for the longer of (a) the remainder of the term of the Steichen Agreement or (b) nine months , (ii) the bonus earned under Mr. Steichen\’s incentive bonus plan for the fiscal year in which his termination due to Change of Control occurred, prorated for the portion of such fiscal year through the date of such termination and payable at the same time as annual bonuses are paid to the Company’s other executive officers and (iii) certain benefits set forth in the Steichen Agreement.

The foregoing summary of the Steichen Agreement is qualified in all respects by the Steichen Agreement, a copy of which is attached hereto as Exhibit 10.1 and incorporated herein by this reference.

Item 9.01 Financial Statements and Exhibits

NORTECH SYSTEMS INC Exhibit
EX-10.1 2 ex_158080.htm EXHIBIT 10.1 ex_158080.htm Exhibit 10.1 NORTECH SYSTEMS INCORPORATED EMPLOYMENT AGREEMENT This Employment Agreement (“Agreement”),…
To view the full exhibit click here

About NORTECH SYSTEMS INCORPORATED (NASDAQ:NSYS)

Nortech Systems Incorporated is an electronic manufacturing services (EMS) company. The Company offers a range of value-added engineering, technical and manufacturing services and support, including project management, design, testing, prototyping, manufacturing, supply chain management and post-market services. The Company’s segment is Contract Manufacturing. The Company’s manufacturing and engineering services include medical devices, printed circuit board assemblies, wire and cable assemblies, and electromechanical assemblies. The Company’s manufacturing facilities are located at Bemidji, Blue Earth, Merrifield, Eden Prairie, Milaca and Mankato in Minnesota; Augusta in Wisconsin; Monterrey in Mexico, and Suzhou in China. The Company serves approximately three markets within the EMS industry, such as Aerospace and Defense, Medical/Life Sciences and the Industrial market, which includes industrial equipment, transportation, vision, agriculture, oil and gas.

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CENTRAL EUROPEAN MEDIA ENTERPRISES LTD. (NASDAQ:CETV) Files An 8-K Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers

ME Staff 8-k — Wed, 18 Sep 2019 20:08:26 +0000

CENTRAL EUROPEAN MEDIA ENTERPRISES LTD. (NASDAQ:CETV) Files An 8-K Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers
Item 5.02

>(d) On September 17, 2019, the Board of Directors of Central European Media Enterprises Ltd. (the “Company”) appointed Mr. Peter Knag to the Board of Directors. Mr. Knag was appointed to the right of Warner Media, LLC to designate one less than the majority of the number of directors on the Company\’s Board of Directors under the terms of the Framework Agreement dated February 28, 2014 among the Company, Warner Media, LLC and Time Warner Media Holdings B.V. which was filed with the Securities and Exchange Commission as Exhibit 99.1>to the Company’s Registration Statement on Form S-3 on February 28, 2014.

About CENTRAL EUROPEAN MEDIA ENTERPRISES LTD. (NASDAQ:CETV)

Central European Media Enterprises Ltd. (CME Ltd.) is a media and entertainment company operating in Central and Eastern Europe. The Company’s assets are held through a series of Dutch and Curacao holding companies. The Company manages its business on a geographical basis, with six segments: Bulgaria, Croatia, the Czech Republic, Romania, the Slovak Republic and Slovenia. It has broadcast operations in over six countries in Central and Eastern Europe, broadcasting a total of approximately 40 television channels. The Company enters into agreements with advertisers, advertising agencies and sponsors to place advertising on the television channels that the Company operates. The Company collects fees from cable and direct-to-home (DTH) operators for carriage of its channels. The programming that it provides consists of locally-produced news, current affairs, fiction, and reality and entertainment shows, as well as acquired foreign movies, series and sports programming.

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OPTICAL CABLE CORPORATION (NASDAQ:OCC) Files An 8-K Results of Operations and Financial Condition

ME Staff 8-k — Wed, 18 Sep 2019 20:07:44 +0000

OPTICAL CABLE CORPORATION (NASDAQ:OCC) Files An 8-K Results of Operations and Financial Condition
Item 2.02 Results of Operations and Financial Condition

Table of Contents

Item 2.02 Results of Operations and Financial Condition

On September 16, 2019, Optical Cable Corporation issued a press release announcing its third quarter of fiscal year 2019 financial results. Also on September 16, 2019, Optical Cable Corporation held an earnings call. The press release is attached hereto as Exhibit 99.1 and the transcript for the earnings call is attached as Exhibit 99.2.

Item 9.01 Financial Statements and Exhibits

(d) Exhibits

The following are filed as Exhibits to this Report.

99.2	Transcript of earnings call on September 16, 2019 (FILED HEREWITH)

Table of Contents

OPTICAL CABLE CORP Exhibit
EX-99.1 2 ex_158023.htm EXHIBIT 99.1 ex_158023.htm Exhibit 99.1 OPTICAL CABLE CORPORATION 5290 Concourse Drive Roanoke,…
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About OPTICAL CABLE CORPORATION (NASDAQ:OCC)

Optical Cable Corporation (OCC) is a manufacturer of a range of fiber optic and copper data communication cabling and connectivity solutions primarily for the enterprise market, and various harsh environment and specialty markets. The Company’s product offerings include designs for uses ranging from enterprise networks, datacenters, residential and campus installations to customized products for specialty applications and harsh environments. OCC products include fiber optic and copper cabling, fiber optic and copper connectors, specialty fiber optic and copper connectors, fiber optic and copper patch cords, pre-terminated fiber optic and copper cable assemblies, racks, cabinets, datacom enclosures, patch panels, face plates, multi-media boxes, fiber optic reels and accessories, and other cable and connectivity management accessories. It markets and sells its harsh environment and specialty connectivity product offering under the names Optical Cable Corporation and OCC.

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CITIZENS COMMUNITY BANCORP, INC. (NASDAQ:CZWI) Files An 8-K Regulation FD Disclosure

ME Staff 8-k — Wed, 18 Sep 2019 19:38:08 +0000

CITIZENS COMMUNITY BANCORP, INC. (NASDAQ:CZWI) Files An 8-K Regulation FD Disclosure
Item 7.01. Regulation FD Disclosure.

On September 18 – 19, 2019, Stephen Bianchi, Chairman, Chief Executive Officer and President of Citizens Community Bancorp, Inc. (the \”Company\”) and James S. Broucek, Chief Financial Officer, are scheduled to participate in the FIG Partners 24th Community Bank CEO Forum in Atlanta, GA. As part of the conference, the Company\’s management will provide a presentation to certain participants in attendance regarding certain matters impacting the Company and its operating results. A copy of the presentation is attached as Exhibit 99.1 to this Current Report on Form 8-K. The attached Exhibit 99.1 is furnished to Item 7.01 of Form 8-K.

The information in this Form 8-K, including Items 7.01 and 9.01, and Exhibit 99.1 attached hereto shall not be deemed \”to be filed\” for purposes of Section 18 of the Securities Exchange Act of 1934 (the \”Exchange Act\”), or otherwise subject to the liability of such section, nor shall it be deemed incorporated by reference in any filing of the Company under the Securities Act of 1933 or the Exchange Act, regardless of any general incorporation language in such filing, unless expressly incorporated by specific reference in such filing.

Additional Information and Where to Find It

This communication does not constitute an offer to sell or the solicitation of an offer to buy any securities or a solicitation of any vote or approval, nor shall there be any sale of securities in any jurisdiction in which such offer, solicitation or sale would be unlawful prior to registration or qualification under the securities laws of such jurisdiction.

Forward-Looking Statements

This Current Report on Form 8-K and the attached exhibits may contain “forward-looking statements” within the meaning of the Private Securities Litigation Reform Act of 1995. These statements may be identified by the use of forward-looking words or phrases such as “anticipate,” “believe,” “could,” “expect,” “intend,” “may,” “planned,” “potential,” “should,” “will,” “would” or the negative of those terms or other words of similar meaning. Such forward-looking statements are inherently subject to many assumptions, risks and uncertainties arising in the operations and business environment of Citizens and its subsidiary, Citizens Community Federal, National Association (“CCF Bank”). These uncertainties include conditions in the financial markets and economic conditions generally; the possibility of a deterioration in the residential real estate markets; interest rate risk; lending risk; the sufficiency of loan allowances; changes in the fair value or ratings downgrades of our securities; competitive pressures among depository and other financial institutions; our ability to realize the benefits of net deferred tax assets; our ability to maintain or increase our market share; acts of terrorism and political or military actions by the United States or other governments; legislative or regulatory changes or actions, or significant litigation, adversely affecting the Company or Bank; increases in FDIC insurance premiums or special assessments by the FDIC; disintermediation risk; our inability to obtain needed liquidity; risks related to the integration of F. & M. Bancorp of Tomah, Inc. (\”F&M\”), which the Company recently acquired, into the Company’s operations; the risk that the combined company may be unable to retain the Company and/or F&M personnel successfully; our ability to successfully execute our acquisition growth strategy; risks posed by acquisitions and other expansion opportunities, including difficulties and delays in integrating the acquired business operations or fully realizing the cost savings and other benefits; our ability to raise capital needed to fund growth or meet regulatory requirements; the possibility that our internal controls and procedures could fail or be circumvented; our ability to attract and retain key personnel; our ability to keep pace with technological change; cybersecurity risks; changes in federal or state tax laws; changes in accounting principles, policies or guidelines and their impact on financial performance; restrictions on our ability to pay dividends; and the potential volatility of our stock price. Stockholders, potential investors and other readers are urged to consider these factors carefully in evaluating the forward-looking statements and are cautioned not to place undue reliance on such forward-looking statements. Such uncertainties and other risks that may cause actual results to differ materially from those expressed in the forward-looking statements are discussed further in Part I, Item 1A, “Risk Factors,” in Citizens’ Form 10-K, for the fiscal year ended September 30, 2018 filed with the Securities and Exchange Commission (\”SEC\”) on December 10, 2018, Form 10-KT, for the transition period ended December 31, 2018 filed with the SEC on March 8, 2019 and Citizens’ subsequent filings with the SEC. Citizens undertakes no obligation to make any revisions to the forward-looking statements or to update them

to reflect events or circumstances occurring after the date of this filing. Annualized, pro forma, projected and estimated numbers are used for illustrative purpose only, are not forecasts and may not reflect actual results.

Item 9.01. Financial Statements and Exhibits.

Citizens Community Bancorp Inc. Exhibit
EX-99.1 2 figs24thcommunitybankceo.htm EXHIBIT 99.1 figs24thcommunitybankceo Filed Pursuant to Rule 433 Registration Statement No. __________ Issuer Free Writing Prospectus Dated October __,…
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About CITIZENS COMMUNITY BANCORP, INC. (NASDAQ:CZWI)

Citizens Community Bancorp, Inc. is a bank holding company of Citizens Community Federal N.A. (the Bank). The Company is engaged in consumer, small commercial and agricultural banking activities, through the Bank. As of September 30, 2015, it had approximately $460 million in deposits. Through all of its branch locations, in Wisconsin, Minnesota and Michigan, the Bank provides a range of commercial and consumer banking products and services to customers, including online and mobile banking options. It offers a range of loans, such as commercial loans, agricultural loans and residential mortgages. Its Investment portfolio consists of securities available for sale and securities held to maturity. Its primary sources of funds are deposits; amortization, prepayments and maturities of outstanding loans; other short-term investments, and funds provided from operations. As of September 30, 2015, its total gross outstanding loans before net deferred loan costs were approximately $448,100.

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DESTINATION MATERNITY CORPORATION (NASDAQ:DEST) Files An 8-K Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing

ME Staff 8-k — Wed, 18 Sep 2019 19:08:10 +0000

DESTINATION MATERNITY CORPORATION (NASDAQ:DEST) Files An 8-K Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing
Item 3.01 Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing

About DESTINATION MATERNITY CORPORATION (NASDAQ:DEST)

Destination Maternity Corporation, formerly Mothers Work, Inc. is a designer and retailer of maternity apparel in the United States. The Company operates a chain of maternity apparel specialty stores. The Company operates through the design, manufacture, and sale of maternity apparel and related accessories segment. It operates approximately 1,815 retail locations, including over 540 stores in the United States, Canada and Puerto Rico, and approximately 1,280 leased departments located within department stores and baby specialty stores throughout the United States, in Puerto Rico and, in England. The Company sells merchandise on the Internet, primarily through its Motherhood.com, APeaInThePod.com and DestinationMaternity.com Websites. The Company also sells its merchandise through its Canadian Website, MotherhoodCanada.ca, through Amazon.com in the United States, and through Websites of certain of its retail partners.

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OWC Pharmaceutical Research Corp. (OTCMKTS:OWCP) Files An 8-K Other Events

ME Staff 8-k — Wed, 18 Sep 2019 19:07:30 +0000

OWC Pharmaceutical Research Corp. (OTCMKTS:OWCP) Files An 8-K Other Events
Item 8.01 Other Events.

On September 16, 2019, OWC Pharmaceutical Research Corp. (the “Company”) received a Bid Price Deficiency Notice (the “Notice”) from OTC Markets Group that the Company’s bid price had closed below $0.01 for more than 30 consecutive calendar days and thus no longer met the Standards for Continued Eligibility for OTCQB as per the OTCQB Standards Section 2.3(2). The Notice stated that, to Section 4.1 of the OTCQB Standards, the Company was granted a cure period of 90 calendar days during which the minimum closing bid price for the Company’s common stock must be $0.01 or greater for ten consecutive trading days in order to continue trading on the OTCQB marketplace. If this requirement is not met by December 15, 2019, the Company will be removed from the OTCQB marketplace.

The Company is exploring possible steps to cure the deficiency.

About OWC Pharmaceutical Research Corp. (OTCMKTS:OWCP)

OWC Pharmaceutical Research Corp. is a medical cannabis research and development company. The Company is engaged in the research and development of cannabis-based medical products (the Product Prospects) for the treatment of multiple myeloma, psoriasis and fibromyalgia, as well as development of a cannabis soluble tablet delivery system that has applications for other indications. The Company also provides consulting services to governmental and private entities to assist them with developing and implementing various medical cannabis programs. As of September 30, 2016, the Company was engaged in two business activities: work with GUMI to commercialize and market the Company’s Electromagnetic Percussion Device (the Device), and research and development of Cannabis-based medical products for the treatment of a range of medical conditions and/or diseases, such as multiple myeloma, psoriasis, post-traumatic stress disorder (PTSD) migraines and a delivery system.

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Commercial Vehicle Group, Inc. (NASDAQ:CVGI) Files An 8-K Entry into a Material Definitive Agreement

ME Staff 8-k — Wed, 18 Sep 2019 18:37:32 +0000

Commercial Vehicle Group, Inc. (NASDAQ:CVGI) Files An 8-K Entry into a Material Definitive Agreement
Item 1.01 Entry into a Material Definitive Agreement.

On September 17, 2019, Commercial Vehicle Group, Inc. (the “Company”) entered into an Asset Purchase Agreement (the “Agreement”) with First Source Electronics, LLC (“FSE”), Kevin Popielarczyk and Richard Vuoto (collectively, “Principals”) and the Company’s wholly-owned subsidiary, CVG FSE, LLC (“CVG FSE”). The Agreement provided for the acquisition, which also closed on September 17, 2019, by CVG FSE of substantially all of the assets and certain liabilities of FSE in exchange for a cash purchase price of $34 million, subject to a net working capital adjustment, plus a right to earn up to $10.75 million in Milestone Payments (as defined below). FSE is in the business of manufacturing, distributing, marketing and selling cable and electro-mechanical assemblies, control panels and other business and consumer electronics products and services.>

The Milestone Payments are payable based on achieving certain EBITDA thresholds over the periods from (a) September 18, 2019 through September 17, 2020, (b) September 18, 2019 through March 17, 2021, (c) March 18, 2021 through September 17, 2022 and (d) September 18, 2019 through September 17, 2022. The payment amount will be determined on a sliding scale for reaching between 90% and 50% of the EBITDA.

The Agreement contains customary indemnification provisions and provided for the establishment of an escrow fund of $3 million of the purchase price to secure indemnification claims by CVG FSE for an 18-month period. The Company is a party to the Agreement solely as a guarantor of CVG FSE’s payment obligations.

The closing of the transaction was subject to the satisfaction of certain customary closing conditions, the entry into the escrow agreement and the entry into employment offer letters by each of the Principals with CVG FSE (which will provide for retention payments of up to an aggregate of $1.25 million). FSE and each of the Principals have agreed to non-compete and non-solicitation restrictions for a period of five years after closing.

The purchase price of $34 million was funded through domestic cash on hand and $2 million of availability under our revolving credit facility.

On September 18, 2019, the Company and certain of its subsidiaries, as co-borrowers, entered into an Amendment No. 1 (the “Amendment”), which Amendment amends the Third Amended and Restated Loan and Security Agreement (the “Revolving Loan Agreement”), dated as of April 12, 2017, with Bank of America, N.A., as agent, and certain financial institutions, as lenders, which agreement governs the Company’s asset based revolving credit facility (the “Revolving Credit Facility”).

The Amendment amends the terms of the existing Revolving Loan Agreement to entitle the Company and the other named borrowers thereunder (subject to the terms and conditions described therein) to request loans and other financial accommodations in an amount equal to the lesser of $90.0 million and a borrowing base composed of accounts receivable and inventory (such facility, the “Tranche A Facility”). Of the $90.0 million, $7.0 million shall be available as a first-in, last-out facility (“Tranche B Facility”). The Company can increase the size of the revolving commitments under the Revolving Credit Facility by an incremental $20.0 million, subject to the consent of the lenders providing the incremental commitments.

As amended, loans outstanding under the Revolving Loan Agreement accrue interest at a per annum rate based on (at the company’s election) the base rate or the LIBOR rate plus a margin determined by reference to availability under the Revolving Credit Facility as follows:

Item 2.03. Creation of a Direct Financial Obligation or an Obligation Under an Off-Balance Sheet Arrangement of a Registrant.

The information with respect to the Amendment as set forth under Item 1.01 of this Current Report on Form 8-K is hereby incorporated by reference into this Item 2.03.

Item 7.01 Regulation FD Disclosure.

On September 18, 2019, the Company issued a press release and a slide presentation announcing the acquisition of FSE. Copies of the press release and slide presentation are furnished as Exhibit 99.1 and Exhibit 99.2, respectively, to this Current Report on Form 8-K and are incorporated by reference in their entirety to this Item 7.01.

As provided in General Instruction B.2 of Form 8-K, the information in this Item 7.01 and Exhibit 99.1 and Exhibit 99.2 incorporated herein shall not be deemed to be “filed” for purposes of Section 18 of the Securities Exchange Act of 1934, as amended (the “Exchange Act”), or otherwise subject to the liabilities of that section, nor shall it be deemed to be incorporated by reference in any filing under the Securities Act of 1933, as amended, or the Exchange Act, except as shall be expressly set forth by specific reference in such filing.

Item 9.01. Financial Statements and Exhibits.

(d) Exhibits

Cautionary Note Regarding Forward-Looking Information

This Current Report on Form 8-K contains forward-looking statements that are subject to risks and uncertainties. These statements are indicated by words such as “expect,” “estimate,” “may,” “will,” “should,” “intend,” “plan,” “predict,” “anticipate,” “estimate” or “continue” or similar expressions. These statements are based upon information available to management as of the date hereof. All forward-looking statements involve risks and uncertainties which could affect the Company’s actual results and could cause its actual results or the benefits of the proposed transaction to differ materially from those expressed in any forward-looking statements made by, or on behalf of the Company. These risks and uncertainties

include, but are not limited to, the occurrence of any event, change or other circumstance that could give rise to the termination of the Agreement, the effect of the announcement of the transaction on business relationships, operating results and business generally, risks related to diverting management’s attention from ongoing business operations, the outcome of any proceedings that may be instituted related to the Agreement or the transaction, unexpected costs, charges or expenses resulting from the transaction and the other risks and uncertainties described in “Item 1A. Risk Factors” in the Company’s Annual Report on Form 10-K for the year ended December 31, 2018. Except as required by law, the Company undertakes no obligation to revise or update the forward-looking information contained in this report.

Commercial Vehicle Group, Inc. Exhibit
EX-99.1 2 exh99-1pressreleasexfinal.htm EXHIBIT 99.1 Exhibit CONTACT: Kirk Feiler,…
To view the full exhibit click here

About Commercial Vehicle Group, Inc. (NASDAQ:CVGI)

Commercial Vehicle Group, Inc. is a supplier of a range of cab-related products and systems. The Company operates through two segments: the Global Truck and Bus Segment (GTB Segment) and the Global Construction and Agriculture Segment (GCA Segment). The GTB Segment manufactures and sells products, which include Seats, Trim, sleeper boxes, cab structures, structural components and body panels, and mirrors and wiper systems. The GCA Segment manufactures and sells the products, which include Electronic wire harness assemblies and Seats, Wiper systems, Office seating, and Aftermarket seats and components. It supplies products for the commercial vehicle market, including the medium-and heavy-duty truck market, the medium-and heavy-construction vehicle market, and the military, bus, agriculture, mining, industrial equipment and off-road recreational markets. It has manufacturing operations in the United States, Mexico, the United Kingdom, Czech Republic, Ukraine, China, India and Australia.

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SELECT BANCORP, INC. (NASDAQ:SLCT) Files An 8-K Regulation FD Disclosure

ME Staff 8-k — Wed, 18 Sep 2019 18:08:37 +0000

SELECT BANCORP, INC. (NASDAQ:SLCT) Files An 8-K Regulation FD Disclosure
Item 7.01.

Select Bancorp, Inc. (the “Company”), will be a participant in the Janney/FIG Partners’ 2019 Community Bank Forum being held in Atlanta, Georgia, on September 18, 2019. At the investor conference, the Company’s principal executive officer and principal financial officer will use the investor presentation that is furnished as Exhibit 99.1 to this Current Report.

Exhibit 99.1 to this Current Report shall not be deemed “filed” for purposes of Section 18 of the Securities Exchange Act of 1934 (the “Exchange Act”), or incorporated by reference in any filing under the Securities Act of 1933, as amended, or the Exchange Act, except as shall be expressly set forth by specific reference in any such filing.

99.1

Investor presentation materials

SELECT BANCORP, INC. Exhibit
EX-99.1 2 tv529573_ex99-1.htm EXHIBIT 99.1 Investor Presentation September 2019 Exhibit 99.1 2 Statements included in this presentation which are not historical in nature are intended to be,…
To view the full exhibit click here

About SELECT BANCORP, INC. (NASDAQ:SLCT)

Select Bancorp, Inc. is the bank holding company for Select Bank & Trust Company (the Bank). The Bank is a commercial bank. The Bank provides commercial and retail financial services to customers located in its market areas. The Bank offers a range of banking services, including checking and savings accounts, commercial, consumer, mortgage and personal loans, and other associated financial services. The Bank’s lending activities are oriented to the consumer/retail customer, as well as to the small-to-medium sized businesses located in central and eastern North Carolina. The Bank offers commercial, consumer and mortgage lending products. It originates construction loans for the purpose of acquisition, development and construction of both residential and commercial properties (ADC loans). The Bank’s deposits include savings, negotiable order of withdrawal (NOW) account and money market deposits, time deposits and non-interest-bearing deposits.

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VIVEVE MEDICAL, INC. (NASDAQ:VIVE) Files An 8-K Material Modification to Rights of Security Holders

ME Staff 8-k — Wed, 18 Sep 2019 18:07:54 +0000

VIVEVE MEDICAL, INC. (NASDAQ:VIVE) Files An 8-K Material Modification to Rights of Security Holders
Item 3.03 Material Modification to Rights of Security Holders.

To the extent required by Item 3.03 of Form 8-K, the information contained in Item 5.03 of this Current Report on Form 8-K is incorporated herein by reference.

Item 5.02 Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers.

(e) As reported in Item 5.07 below, at the Special Meeting of Stockholders (the “Special Meeting”) of Viveve Medical, Inc. (the “Company”) held on September 16, 2019, the Company’s stockholders, upon the recommendation of the Company’s Board of Directors (the “Board”), approved an amendment to the Company’s 2013 Stock Option and Incentive Plan (as amended from time to time, the “2013 Plan”) to increase the number of shares of common stock reserved for issuance thereunder to equal 18.0% of the issued and outstanding shares of common stock of the Company on a fully diluted basis calculated as of the earlier of (A) the day immediately after the consummation of the Company’s next underwritten public equity offering with gross proceeds of $5 million or more or (B) December 31, 2019.

A summary of the 2013 Plan, as amended, is set forth in the Company’s definitive proxy statement filed with the Securities and Exchange Commission on August 19, 2019 (the “Proxy Statement”). That summary and the above description of the 2013 Plan, as amended, do not purport to be complete and are qualified in their entirety by reference to the full text of the 2013 Plan, as amended, which is filed as Exhibit 10.1 hereto and incorporated herein by reference.

Item 5.03 Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year.

As reported in Item 5.07 below, at the Special Meeting, the Company’s stockholders approved an amendment to the Company’s Amended and Restated Certificate of Incorporation (the “Amendment”) to effect a reverse stock split of the Company’s common stock at a ratio in the range of one-for-twenty (1:20) to one-for-one hundred (1:100), with such ratio to be determined in the discretion of the Board.

to such authority granted by the Company’s stockholders, the Board approved a one-for-one hundred (1:100) reverse stock split (the “Reverse Stock Split”) of the Company’s common stock and the filing of the Amendment to effectuate the Reverse Stock Split. The Amendment was filed with the Secretary of State of the State of Delaware on September 17, 2019, and the Reverse Stock Split will become effective in accordance with the terms of the Amendment at 5:00 p.m. Eastern Time on September 18, 2019 (the “Effective Time).

The Amendment provides that, at the Effective Time, every 100 shares of the Company’s issued and outstanding common stock will automatically be combined into one issued and outstanding share of common stock, without any change in par value per share.

Following the Reverse Stock Split, the number of shares of common stock outstanding will be reduced from approximately 60 million shares to approximately 0.6 million shares, and the number of authorized shares of common stock will remain at 75 million shares. As a result of the Reverse Stock Split, proportionate adjustments will be made to the per share exercise price and/or the number of shares issuable upon the exercise or vesting of all then outstanding stock options, restricted stock awards and warrants, which will result in a proportional decrease in the number of shares of the Company’s common stock reserved for issuance upon exercise or vesting of such stock options, restricted stock awards and warrants, and, in the case of stock options and warrants, a proportional increase in the exercise price of all such stock options and warrants. In addition, the number of shares reserved for issuance under the Company’s equity compensation plans immediately prior to the Effective Time will be reduced proportionately.

No fractional shares will be issued as a result of the Reverse Stock Split. Stockholders of record who would otherwise be entitled to receive a fractional share will be entitled to cash in lieu of any fractional share interest in connection with the Reverse Stock Split.

The Company’s common stock will begin trading on the Nasdaq Capital Market on a split-adjusted basis when the market opens on September 19, 2019. The Company’s common stock will continue to trade under the ticker symbol “VIVE” and the new CUSIP number for the Company’s common stock following the Reverse Stock Split is 92852W303.

The foregoing description is qualified in its entirety by the Amendment, which is attached as Exhibit 3.1 to this Current Report on Form 8-K and is incorporated herein by reference.

Item 5.07 Submission of Matters to a Vote of Security Holders.

The following proposals were submitted to the stockholders at the Special Meeting:

(1) Approve an amendment to the Company’s Amended and Restated Certificate of Incorporation to effect a reverse stock split of the Company’s common stock at a ratio in the range of one-for-twenty (1:20) to one-for-one hundred (1:100), such ratio to be determined in the sole discretion of the Board (the “reverse stock split proposal”);

(2) Approve an amendment to the Viveve Medical, Inc. 2013 Stock Option and Incentive Plan to increase the number of shares of common stock reserved for issuance thereunder to equal 18.0% of the issued and outstanding shares of common stock of the Company on a fully diluted basis calculated as of the earlier of (A) the day immediately after the consummation of the Company’s next underwritten public equity offering with gross proceeds of $5 million or more or (B) December 31, 2019 (the “stock plan proposal”); and

(3) Approve the authorization to adjourn the Special Meeting, if necessary, to solicit additional proxies if there are not sufficient votes in favor of the reverse stock split proposal or the stock plan proposal.

The proposals are described in detail in the Proxy Statement.

The number of shares of common stock entitled to vote at the Special Meeting was 46,613,204. The number of shares of common stock present or represented by valid proxy at the Special Meeting was 31,390,020. All matters submitted to a vote of the Company’s stockholders at the Special Meeting were approved.

The number of votes cast for and against and the number of abstentions and broker non-votes with respect to each matter voted upon are set forth below:

Proposal 1 – The Reverse Stock Split Proposal.

Proposal 2 – The Stock Plan Proposal.

Proposal 3 – To approve the authorization to adjourn the Special Meeting, if necessary, to solicit additional proxies if there are not sufficient votes in favor of the reverse stock split proposal or the stock plan proposal.

Item 8.01 Other Events

On September 18, 2019, the Company issued a press release announcing the Reverse Stock Split. 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 reference.

Item 9.01 Financial Statements and Exhibits.

(d) Exhibits.

VIVEVE MEDICAL, INC. Exhibit
EX-3.1 2 ex_158077.htm EXHIBIT 3.1 ex_158077.htm Exhibit 3.1 CERTIFICATE OF AMENDMENT TO THE AMENDED AND RESTATED CERTIFICATE OF INCORPORATION OF VIVEVE MEDICAL,…
To view the full exhibit click here

About VIVEVE MEDICAL, INC. (NASDAQ:VIVE)

Viveve Medical, Inc., formerly PLC Systems, Inc., designs, develops, manufactures and markets medical devices for the non-invasive treatment of vaginal laxity. The Company’s Viveve Treatment is a non-invasive solution for vaginal laxity that is performed in approximately 30 minutes, in a physician’s office. The Viveve System uses monopolar radiofrequency (RF) energy to generate low temperature heat. The vaginal mucosa is simultaneously cooled while this non-ablative heat is delivered into the submucosal layer. The RF energy stimulates the formation of collagen and causes the collagen fibers to remodel thereby tightening the submucosal tissue of the vaginal introitus. The RF stimulation causes subtle alterations in the collagen that can renew the tissue and further tighten the vaginal tissue over the next 1 to 3 months following treatment (the Viveve Treatment) and lead to increased sexual function.

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B. RILEY FINANCIAL, INC. (NASDAQ:RILY) Files An 8-K Regulation FD Disclosure

ME Staff 8-k — Wed, 18 Sep 2019 17:37:58 +0000

B. RILEY FINANCIAL, INC. (NASDAQ:RILY) Files An 8-K Regulation FD Disclosure
Item 7.01

On September 18, 2019, B. Riley Financial, Inc. (the “Company”) issued a press release announcing the commencement of its public offering of $50,000,000 aggregate principal amount of senior notes due 2026. The Company expects to grant the underwriters a 30-day option to purchase up to an additional $7,500,000 aggregate principal amount of senior notes in connection with the offering solely to cover overallotments. A copy of the press release is attached hereto as Exhibit 99.1.

In addition, in connection with the public offering, the Company will be making road show presentations to certain existing and potential securityholders of the Company. The road show materials are attached hereto as Exhibit 99.2.

This Current Report on Form 8-K (and the exhibits attached hereto) may contain “forward-looking” statements as defined by the Private Securities Litigation Reform Act of 1995 or by the U.S. Securities and Exchange Commission (the “SEC”) in its rules, regulations and releases. These statements include, but are not limited to, the Company’s plans, objectives, expectations and intentions regarding the performance of its business, the terms and conditions and timing of the senior notes offering, the intended use of proceeds of the senior notes offering and other non-historical statements. These statements can be identified by the use of words such as “believes,” “anticipates,” “expects,” “intends,” “plans,” “continues,” “estimates,” “predicts,” “projects,” “forecasts,” and similar expressions. All forward looking statements are based on management’s current expectations and beliefs only as of the date of this report and are subject to risks, uncertainties and assumptions that could cause actual results to differ materially from those discussed in, or implied by, the forward-looking statements, including the risks identified and discussed from time to time in the Company’s reports filed with the SEC, including the Company’s most recent Annual Report on Form 10-K for the year ended December 31, 2018 and Quarterly Report on Form 10-Q for the quarter ended June 30, 2019. Readers are strongly encouraged to review carefully the full cautionary statements described in these reports. Except as required by law, the Company undertakes no obligation to revise or update publicly any forward-looking statements to reflect events or circumstances after the date of this report, or to reflect the occurrence of unanticipated events or circumstances.

(d) Exhibits

99.2	Road Show Materials.

B. Riley Financial, Inc. Exhibit
EX-99.1 2 f8k091819ex99-1_brileyfin.htm PRESS RELEASE,…
To view the full exhibit click here

About B. RILEY FINANCIAL, INC. (NASDAQ:RILY)

B. Riley Financial, Inc. provides collaborative financial services and solutions through several subsidiaries, including: B. Riley & Co. LLC, a investment bank which provides corporate finance, research, and sales and trading to corporate, institutional and high net worth individual clients; Great American Group, LLC, a provider of advisory and valuation services, asset disposition and auction solutions, and commercial lending services; B. Riley Capital Management, LLC, an Investment Advisor, which includes B. Riley Asset Management, a provider of investment products to institutional and high net worth investors, and B. Riley Wealth Management (formerly MK Capital Advisors), a multi-family office practice and wealth management firm focused on the needs of ultra-high net worth individuals and families; and Great American Capital Partners, LLC, a provider of senior secured loans and second lien secured loan facilities to middle market public and private United States companies.

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Anterix Inc (NASDAQ:ATEX) Insider Trading Activity – Major Shareholder Bought 49,715 shares of Stock

ME Staff — Wed, 18 Sep 2019 17:21:20 +0000

Insider Trading Activity For Anterix Inc (NASDAQ:ATEX)

Owl Creek Asset Management, L. , Major Shareholder of Anterix Inc (NASDAQ:ATEX) reportedly Bought 49,715 shares of the company’s stock at an average price of 39.41 for a total transaction amount of $1,959,268.15 SEC Form

Insider Trading History For Anterix Inc (NASDAQ:ATEX)

On 2/9/2015 Stephen Feinberg, Major Shareholder, bought 149,700 with an average share price of $41.50 per share and the total transaction amounting to $6,212,550.00.

On 3/19/2015 Stephen Feinberg, Major Shareholder, bought 242,136 with an average share price of $44.16 per share and the total transaction amounting to $10,692,725.76.

On 6/25/2015 Stephen Feinberg, Major Shareholder, bought 13,250 with an average share price of $42.49 per share and the total transaction amounting to $562,992.50.

On 6/26/2015 Stephen Feinberg, Major Shareholder, bought 20,100 with an average share price of $42.29 per share and the total transaction amounting to $850,029.00.

On 7/1/2015 Stephen Feinberg, Major Shareholder, bought 7,500 with an average share price of $40.27 per share and the total transaction amounting to $302,025.00.

On 7/8/2015 Stephen Feinberg, Major Shareholder, bought 35,901 with an average share price of $38.18 per share and the total transaction amounting to $1,370,700.18.

On 7/20/2015 Stephen Feinberg, Major Shareholder, bought 20,900 with an average share price of $37.50 per share and the total transaction amounting to $783,750.00.

Analyst Ratings History For Anterix Inc (NASDAQ:ATEX)

On 5/24/2019 Craig Hallum Boost Price Target of rating Buy with a price target of $62.00 to $80.00
On 8/9/2019 Evercore ISI Initiated Coverage of rating Outperform to Outperform with a price target of $61.00
On 8/16/2019 B. Riley Set Price Target of rating Buy with a price target of $59.00

Recent Trading Activity for Anterix Inc (NASDAQ:ATEX)
Shares of Anterix Inc closed the previous trading session at 39.66 −0.34 0.84% with 39.96 shares trading hands.

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Anaplan Inc (NYSE:PLAN) Insider Trading Activity – Insider Sold 3,805 shares of Stock

ME Staff — Wed, 18 Sep 2019 17:20:45 +0000

Insider Trading Activity For Anaplan Inc (NYSE:PLAN)

David Ying Xian Chung , Insider of Anaplan Inc (NYSE:PLAN) reportedly Sold 3,805 shares of the company’s stock at an average price of 46.5 for a total transaction amount of $176,932.50 SEC Form

Insider Trading History For Anaplan Inc (NYSE:PLAN)

On 10/12/2018 Robert E Beauchamp, Director, bought 10,000 with an average share price of $24.21 per share and the total transaction amounting to $242,100.00.

On 10/16/2018 Sandesh Kaveripatnam, Director, bought 1,104,999 with an average share price of $17.00 per share and the total transaction amounting to $18,784,983.00.

On 10/16/2018 David Ying Xian Chung, Insider, bought 3,600 with an average share price of $17.00 per share and the total transaction amounting to $61,200.00.

On 4/17/2019 David Ying Xian Chung, CAO, sold 1,720 with an average share price of $35.45 per share and the total transaction amounting to $60,974.00.

On 4/18/2019 Frank Calderoni, Insider, sold 149,188 with an average share price of $34.79 per share and the total transaction amounting to $5,190,250.52.

On 5/22/2019 Frank Calderoni, Insider, sold 48,366 with an average share price of $37.79 per share and the total transaction amounting to $1,827,751.14.

On 5/29/2019 David Ying Xian Chung, Insider, sold 21,239 with an average share price of $41.71 per share and the total transaction amounting to $885,878.69.

Analyst Ratings History For Anaplan Inc (NYSE:PLAN)

On 11/6/2018 Piper Jaffray Companies Initiated Coverage of rating Overweight with a price target of $28.00
On 11/6/2018 Evercore ISI Initiated Coverage of rating Inline with a price target of $26.00
On 4/11/2019 FBN Securities Initiated Coverage of rating Outperform with a price target of $45.00
On 5/28/2019 KeyCorp Reiterated Rating Hold
On 5/28/2019 JMP Securities Boost Price Target of rating Outperform with a price target of $40.00 to $50.00
On 7/15/2019 Macquarie Initiated Coverage of rating Outperform to Outperform with a price target of $65.00
On 7/24/2019 Deutsche Bank Initiated Coverage of rating Buy to Buy with a price target of $70.00

Recent Trading Activity for Anaplan Inc (NYSE:PLAN)
Shares of Anaplan Inc closed the previous trading session at 50.23 up +0.29 0.58% with 904184 shares trading hands.

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10x Genomics (NYSE:TXG) Insider Trading Activity – Director Bought 300,000 shares of Stock

ME Staff — Wed, 18 Sep 2019 17:20:22 +0000

Insider Trading Activity For 10x Genomics (NYSE:TXG)

Bryan E Roberts , Director of 10x Genomics (NYSE:TXG) reportedly Bought 300,000 shares of the company’s stock at an average price of 39 for a total transaction amount of $11,700,000.00 SEC Form

Recent Trading Activity for 10x Genomics (NYSE:TXG)
Shares of 10x Genomics closed the previous trading session at with 59.9 shares trading hands.

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Accesso Technology Group PLC (LON:ACSO) price target lowered to GBX 1,300 by Liberum Capital

ME Staff — Wed, 18 Sep 2019 17:19:21 +0000

Analyst Ratings For Accesso Technology Group PLC (LON:ACSO)

Today, Liberum Capital lowered its price target on Accesso Technology Group PLC (LON:ACSO) to GBX 1,300 per share.

There are 5 Buy Ratings, no Strong Buy Ratings, no Sell Ratings, no Hold Ratings on the stock.

The current consensus rating on Accesso Technology Group PLC (LON:ACSO) is Buy with a consensus target price of GBX 1,360 per share, a potential .

Some recent analyst ratings include

5/22/2019-Accesso Technology Group PLC (LON:ACSO) had its Buy rating reiterated by Canaccord Genuity with a GBX 1,400 price target

Recent Trading Activity for Accesso Technology Group PLC (LON:ACSO)
Shares of Accesso Technology Group PLC closed the previous trading session at 800.00 −110.00 12.09% with shares trading hands.

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General Mills, Inc. (NYSE:GIS) Files An 8-K Results of Operations and Financial Condition

ME Staff 8-k — Wed, 18 Sep 2019 16:39:17 +0000

General Mills, Inc. (NYSE:GIS) Files An 8-K Results of Operations and Financial Condition
Item 2.02Results of Operations and Financial Condition.

On September 18, 2019, General Mills, Inc. issued a press release reporting financial results for its first quarter ended August 25, 2019. A copy of the press release is attached hereto as Exhibit 99 and incorporated herein by reference.

The information furnished in Item 2.02 of this Current Report on Form 8-K and Exhibit 99 attached hereto shall not be deemed to be filed for the purposes of Section 18 of the Securities Exchange Act of 1934, as amended, or otherwise subject to liabilities of that Section or Sections 11 and 12(a)(2) of the Securities Act of 1933, as amended, and shall not be deemed to be incorporated by reference into any registration statement or other document filed to the Securities Act of 1933, as amended.

Item 9.01Financial Statements and Exhibits.

GENERAL MILLS INC Exhibit
EX-99 2 gis-ex99_6.htm PRESS RELEASE OF GENERAL MILLS,…
To view the full exhibit click here

About General Mills, Inc. (NYSE:GIS)

General Mills, Inc. is a manufacturer and marketer of branded consumer foods sold through retail stores. The Company is a supplier of branded and unbranded food products to the North American foodservice and commercial baking industries. The Company has three segments: U.S. Retail, International, and Convenience Stores and Foodservice. Its products are marketed under various brands, which include Annie’s and Betty Crocker. The Company’s U.S. Retail segment reflects business with a range of grocery stores, mass merchandisers, membership stores, natural food chains, drug, dollar and discount chains, and e-commerce grocery providers operating throughout the United States. The International segment consists of retail and foodservice businesses outside of the United States. The Convenience Stores and Foodservice segment’s product categories include ready-to-eat cereals, snacks, refrigerated yogurt, frozen meals, unbaked and fully baked frozen dough products, and baking mixes.

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Iconix Brand Group, Inc. (NASDAQ:ICON) Files An 8-K Other Events

ME Staff 8-k — Wed, 18 Sep 2019 16:08:16 +0000

Iconix Brand Group, Inc. (NASDAQ:ICON) Files An 8-K Other Events
Item 8.01

About Iconix Brand Group, Inc. (NASDAQ:ICON)

Iconix Brand Group, Inc. is a brand management company. The Company owns a diversified portfolio of consumer brands across women’s, men’s, home and entertainment categories. The Company operates through five segments: men’s, women’s, home, entertainment and corporate. The Company’s brand portfolio includes brands, such as Candie’s, Bongo, Joe Boxer, Rampage, Mudd, London Fog, Mossimo, Ocean Pacific/OP, Danskin/Danskin Now, Rocawear/Roc Nation, Cannon, Royal Velvet, Fieldcrest, Charisma, Starter, Waverly, Ecko Unltd/Mark Ecko Cut & Sew, Zoo York, Umbro, Lee Cooper, Strawberry Shortcake and Artful Dodger, and interests in Material Girl, Peanuts, Ed Hardy, Truth or Dare, Modern Amusement, Buffalo, Nick Graham Hydraulic and PONY brands. It operates in various geographic regions, including the United States, Japan and Other (which principally represent Latin America and Europe).

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Overstock.com, Inc. (NASDAQ:OSTK) Files An 8-K Other Events

ME Staff 8-k — Wed, 18 Sep 2019 16:07:30 +0000

Overstock.com, Inc. (NASDAQ:OSTK) Files An 8-K Other Events
Item 8.01 Other Events

As previously disclosed on July 30, 2019, Overstock.com, Inc.’s (the “Company”) Board of Directors (the “Board”) declared a dividend (the “Dividend”) payable in shares of its Digital Voting Series A-1 Preferred Stock (the “Series A-1 Preferred Stock”). On September 18, 2019, the Company issued a press release with respect to its intent to register the Series A-1 Preferred Stock and change the record and distribution dates for the Dividend. A copy of the press release is filed with this report as Exhibit 99.1 and is incorporated herein by reference.

Item 9.01 Financial Statements and Exhibits

(d) Exhibits

OVERSTOCK.COM, INC Exhibit
EX-99.1 2 a991pressreleasefiled20190.htm EXHIBIT 99.1 Exhibit Exhibit 99.1Media Contact:pr@overstock.comInvestor Contact:ir@overstock.comOverstock.com to Distribute Freely Tradable Series A-1 Preferred Shares in Upcoming Dividend Revised Record Date to be Announced in Approximately Three to Six Weeks; Intend to Register DividendSALT LAKE CITY - Sept. 18,…
To view the full exhibit click here

About Overstock.com, Inc. (NASDAQ:OSTK)

Overstock.com, Inc. is an online retailer offering a range of merchandise, including furniture, home decor, bedding and bath, houseware, jewelry and watches, apparel and designer accessories, health and beauty products, electronics and computers, and sporting goods, among other products. The Company operates through two segments: direct business and partner business. Its direct business includes sales made to individual consumers and businesses. For the Company’s partner business, it sells merchandise from manufacturers, distributors and other suppliers. The Company also sells books, magazines, compact discs (CDs), digital versatile discs (DVDs) and video games under books, movies, music and games (BMMG) category. It sells these products through its Internet Websites located at www.overstock.com, www.o.co and www.o.biz. The Company offers approximately 877,000 non-BMMG products and 1.1 million BMMG products.

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Albemarle Co. (NYSE:ALB) Insider Trading Activity – CEO Sold 36,000 shares of Stock

ME Staff — Wed, 18 Sep 2019 15:21:25 +0000

Insider Trading Activity For Albemarle Co. (NYSE:ALB)

Luther C Iv Kissam , CEO of Albemarle Co. (NYSE:ALB) reportedly Sold 36,000 shares of the company’s stock at an average price of 70 for a total transaction amount of $2,520,000.00 SEC Form

Insider Trading History For Albemarle Co. (NYSE:ALB)

On 1/8/2014 Scott Tozier, CFO, sold 1,339 with an average share price of $64.35 per share and the total transaction amounting to $86,164.65.

On 1/8/2014 Luther Iv Kissam, CEO, sold 3,180 with an average share price of $64.41 per share and the total transaction amounting to $204,823.80.

On 1/30/2014 Matthew Juneau, SVP, sold 5,000 with an average share price of $64.84 per share and the total transaction amounting to $324,200.00.

On 1/30/2014 John Sherman, Jr., Director, sold 1,000 with an average share price of $65.27 per share and the total transaction amounting to $65,270.00.

On 2/25/2014 Scott Tozier, CFO, sold 3,509 with an average share price of $64.44 per share and the total transaction amounting to $226,119.96.

On 2/25/2014 Karen Narwold, VP, sold 2,200 with an average share price of $64.41 per share and the total transaction amounting to $141,702.00.

On 8/1/2014 D Michael Wilson, SVP, bought 5,000 with an average share price of $61.29 per share and the total transaction amounting to $306,450.00.

Analyst Ratings History For Albemarle Co. (NYSE:ALB)

On 10/13/2017 Instinet Reiterated Rating Buy with a price target of $146.00 to $154.00
On 1/8/2018 Robert W. Baird Upgraded rating Neutral to Outperform with a price target of $131.72 to $133.51
On 1/30/2018 UBS Group Upgraded rating Neutral to Buy with a price target of $113.00 to $150.00
On 3/2/2018 BMO Capital Markets Reiterated Rating Outperform to Outperform with a price target of $160.00 to $130.00
On 3/6/2018 Seaport Global Securities Reiterated Rating Neutral to Buy
On 3/27/2018 Argus Lower Price Target of rating Buy with a price target of $148.00 to $125.00
On 7/3/2018 Goldman Sachs Group Upgraded rating Neutral to Buy with a price target of $125.00

Dividend Information For Albemarle Co. (NYSE:ALB)
Albemarle Co. (NYSE:ALB) pays an annual dividend of $1.47 with a yield of 2.16% and an average dividend growth of 5.00% (3 Year Average).

Dividend History For Albemarle Co. (NYSE:ALB)

On 2/12/2013 Albemarle Co. announced a quarterly dividend of $0.24 1.45% with an ex dividend date of 3/13/2013 which will be payable on 4/1/2013.

On 5/7/2013 Albemarle Co. announced a quarterly dividend of $0.24 1.51% with an ex dividend date of 6/12/2013 which will be payable on 7/1/2013.

On 7/10/2013 Albemarle Co. announced a quarterly dividend of $0.24 1.48% with an ex dividend date of 9/11/2013 which will be payable on 10/1/2013.

On 10/8/2013 Albemarle Co. announced a quarterly dividend of $0.24 1.52% with an ex dividend date of 12/11/2013 which will be payable on 1/2/2014.

On 2/25/2014 Albemarle Co. announced a quarterly dividend of $0.2750 1.68% with an ex dividend date of 3/12/2014 which will be payable on 4/1/2014.

On 5/13/2014 Albemarle Co. announced a quarterly dividend of $0.2750 1.59% with an ex dividend date of 6/11/2014 which will be payable on 7/1/2014.

On 7/14/2014 Albemarle Co. announced a quarterly dividend of $0.2750 1.57% with an ex dividend date of 9/11/2014 which will be payable on 10/1/2014.

Recent Trading Activity for Albemarle Co. (NYSE:ALB)
Shares of Albemarle Co. closed the previous trading session at with 67.03 shares trading hands.

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Attraqt Group PLC (LON:ATQT) had its Buy rating reiterated by Canaccord Genuity with a GBX 55 price target

ME Staff — Wed, 18 Sep 2019 15:12:00 +0000

Analyst Ratings For Attraqt Group PLC (LON:ATQT)

Today, Canaccord Genuity reiterated its Buy rating on Attraqt Group PLC (LON:ATQT) with a price target of GBX 55.

There are 1 Buy Ratings, no Strong Buy Ratings, no Sell Ratings, no Hold Ratings on the stock.

The current consensus rating on Attraqt Group PLC (LON:ATQT) is Buy with a consensus target price of GBX 55 per share, a potential .

Some recent analyst ratings include

9/18/2019-Attraqt Group PLC (LON:ATQT) had its Buy rating reiterated by Canaccord Genuity with a GBX 55 price target
9/20/2017-Attraqt Group PLC (LON:ATQT) had its corporate rating reiterated by N+1 Singer

Recent Trading Activity for Attraqt Group PLC (LON:ATQT)
Shares of Attraqt Group PLC closed the previous trading session at 35.00 up +0.50 1.45% with shares trading hands.

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EXACTUS, INC. (OTCMKTS:EXDI) Files An 8-K Regulation FD Disclosure

ME Staff 8-k — Wed, 18 Sep 2019 14:38:56 +0000

EXACTUS, INC. (OTCMKTS:EXDI) Files An 8-K Regulation FD Disclosure
Item 7.01

Regulation FD Disclosure

On September 16, 2019, we released the updated investor presentation furnished herewith as Exhibit 99.1.

Section 9 – FINANCIAL STATEMENTS AND EXHIBITS

Item 9.01

Financial Statements and Exhibits

Exactus, Inc. Exhibit
…
To view the full exhibit click here

About EXACTUS, INC. (OTCMKTS:EXDI)

Exactus, Inc. (Exactus), formerly Spiral Energy Tech, Inc., is a life science company. The Company will develop and commercialize Point-of-Care (POC) diagnostics for measuring proteolytic enzymes in the blood based on a detection platform. The Company’s primary business focus will be the development and commercialization of the FibriLyzer and related technology licensed by Exactus. The Company’s products will employ a disposable test biosensor strip combined with a portable hand held detection unit that provides a result in approximately 30 seconds. The Company intends to file to gain regulatory approval and launch its products in the United States and Europe.

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Cannabis Stock News Daily Roundup September 18

ME Staff — Wed, 18 Sep 2019 14:32:11 +0000

Supreme Cannabis (TSX: FIRE) (OTCQX: SPRWF) (FRA: 53S1) has reported its financial results for the fourth quarter and fiscal year ended June 30, 2019. Revenue was C$19.01 million, up from C$3.55 million for the fourth quarter of 2018. Net loss for the quatre was C$421,000, compared to a profit of C$234,000 for the same period last year. For the full-year, the company reported a revenue of C$41.83 million, versus C$8.86 million for 2018. Net loss for the year was C$14.50 million, compared to a loss of C$7.35 million for 2018.

Westleaf (TSX-V: WL) (OTCQB: WSLFF) has issued 909,090 common shares to Xabis at a $0.44 per share. The issuance was made under a consulting and extraction services agreement between a subsidiary of Xabis and Westleaf subsidiary Westleaf Labs LP. Under the terms of the agreement, Xabis will provide technical expertise to the company’s Calgary-based extraction, processing and manufacturing facility.

Nabis Holdings (OTCMKTS:NABIF) has announced that it has entered into a strategic agreement with CannaKorp, a tech start-up focused on herbal vaporization. CananKorp will be an authorized partner supplying Wisp Pods for the Wisp Vaporizing System (“Wisp”) in Arizona. The company will also supply custom Wisp Pods branded as BIS, the Company’s recently launched cannabidiol brand.

The Wisp Vaporizing System is a single-use pod and vaporizer system that converts botanical compounds into vapor without denaturing the product. “We are thrilled to announce our strategic agreement with CannaKorp as the exclusive manufacturer and authorized supplier of Wisp Pods for their innovative Wisp Vaporizing System initially in the state of Arizona,” said Shay Shnet, Nabis CEO.

CannTrust Holdings (TSX: TRST) (NYSE: CTST) has received the notice of license suspension due to the company’s non-compliance with certain requirements of the Cannabis Act of Canada. The notice states that Health Canada has suspended CannTrust’s authority to produce cannabis, other than cultivating and harvesting, and to sell cannabis. The notice constitutes a partial suspension of the company’s license for standard cultivation and a full suspension of its licences for standard processing, medical sales, cannabis drugs and research issued under the cannabis regulations.

In its latest regulatory filing, GB Sciences (OTCQB: GBLX) reported the sale of its 50% ownership stake in GB Sciences Louisiana. The stake will be purchased by Wellcana Plus, affiliated through its managers with the group which holds the other 50% of the Louisiana operations.

Diego Pellicer Worldwide (OTCQB: DPWW) has executed a letter of intent to purchase a marijuana-infused product manufacturing facility in Denver. The 2,287-square-foot facility is a state-of-the-art, division 1/class 1 facility with an office and walk-in vault.

Choom (CSE: CHOO) (OTCQB: CHOOF) has appointed Daphne Kao as vice president of people and culture. Daphne joins Choom with more than 10 years of human resources experience in both corporate and start-up environments across the real estate, technology, e-commerce and retail industries.

Canopy Rivers (TSX: RIV) (OTC: CNPOF) announced that its portfolio company TerrAscend (CSE: TER) (OTCQX: TRSSF) has entered into a distribution agreement with Israel-based pharma-tech company Syqe Medical to launch Syqe’s flagship product, the Syqe Inhaler, in Canada.

TerrAscend (CSE: TER) has closed its acquisition of Pennsylvania-based Ilera Healthcare, one of five permitted cannabis cultivator, processor, and dispensary operators in the state. With the acquisition, TerrAscend’s licensed cannabis footprint expands to four U.S. states, in addition to its global reach into Canada and Europe.

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Pure Global Gets Approval to Sell Cannabis Oil Products

ME Staff — Wed, 18 Sep 2019 14:30:29 +0000

Pure Global Cannabis (TSX.V: PURE) (OTC: PRCNF) (FRA: 1QS) has received approval from Health Canada for the sale of cannabis oil products.

The licensing will allow the company to significantly expand its product offerings to the medical and consumer markets with oils and post-derivative cannabis products.

“This is an important milestone in our company’s history which will significantly expand our product offerings for the medical and legal adult channels,” Pure Global President and CEO Malay Panchal stated.

Oils and post-derivatives will be deployed throughout the company’s brand ecosystem, especially as edibles and post-derivative products regulations come into being this fall. The company already has prepared oils formulations, as well as purification, processing, and packaging equipment in place for the next phase of operations. It has the capacity to purify, formulate, and process 10 liters of oil per day, 10,000 capsules per hour, 10,000 vape cartridges per hour, and 2,000 oils bottles per hour.

With Health Canada approval for oil sales, Pure Global can release its line of extraction-based products which will soon be available through its online store, as well as legal retail cannabis stores across Canada. The company had already expanded production capabilities, anticipating license approval, to include in-house production of medicated topicals, creams, gels, balms, lotions, tinctures, sprays, vape pens, oils bottles, and gel capsules.

The licensing also clears the path for Health Canada approvals for the second phase cultivation and extraction, for which the company has already submitted its readiness package and is in final stages of approvals. With over 80 genetics to choose from, the company is ready to begin vertically farmed cultivation and scaled extraction for its branded and for white labeled products.

“We will be able to sell high-margin oils and post-derivative products across all of our premium brands and will be one of only and handful of Licensed Producers to be able to do so. Over 50% of medical patients are looking for post-derivative products as well as those in our target consumer markets, which we will now be much better able to serve,” CEO Panchal added.

The post Pure Global Gets Approval to Sell Cannabis Oil Products appeared first on Market Exclusive.

Dream Global REIT (TSE:DRG_UN) had its Outperform rating reiterated by National Bank Financial with a C$18.00 price target

ME Staff — Wed, 18 Sep 2019 14:16:32 +0000

Analyst Ratings For Dream Global REIT (TSE:DRG_UN)

Today, National Bank Financial reiterated its Outperform rating on Dream Global REIT (TSE:DRG_UN) with a price target of C$18.00.

There are 4 Buy Ratings, 3 Hold Ratings, no Strong Buy Ratings, no Sell Ratings on the stock.

The current consensus rating on Dream Global REIT (TSE:DRG_UN) is Buy with a consensus target price of C$16.41 per share, a potential 0.96% downside.

Some recent analyst ratings include

9/17/2019-Dream Global REIT (TSE:DRG_UN) had its Outperform rating reiterated by National Bank Financial with a C$18.00 price target
9/17/2019-Dream Global REIT (TSE:DRG_UN) gets upgraded to Buy by Canaccord Genuity with a price target of C$16.79
9/17/2019-Dream Global REIT (TSE:DRG_UN) gets downgraded to Neutral by CIBC with a price target of C$16.80
12/19/2018-Dream Global REIT (TSE:DRG_UN) had its Hold ➝ Average rating reiterated by Desjardins with a C$14.00 price target

Recent Trading Activity for Dream Global REIT (TSE:DRG_UN)
Shares of Dream Global REIT closed the previous trading session at with shares trading hands.

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Diego Pellicer Worldwide, Inc. (OTCMKTS:DPWW) Files An 8-K Regulation FD Disclosure

ME Staff 8-k — Wed, 18 Sep 2019 14:07:51 +0000

Diego Pellicer Worldwide, Inc. (OTCMKTS:DPWW) Files An 8-K Regulation FD Disclosure
Item 7.01 Regulation FD Disclosure.

Diego Pellicer Worldwide, Inc. (“Registrant”) issued press releases on 10^th of September, 2019, and 17^th of September, 2019, respectively, announcing the signing of letters of intent to acquire certain marijuana facilities in Colorado, copies of which are attached to this current report on Form 8-K.

Item 9.01 Financial Statements and Exhibits.

(d) Exhibits.

DIEGO PELLICER WORLDWIDE, INC Exhibit
EX-99.1 2 e1509_99-1.htm EXHIBIT 99.1 Exhibit 99.1 CONTACTS: Suzanne Herrick,…
To view the full exhibit click here

About Diego Pellicer Worldwide, Inc. (OTCMKTS:DPWW)

Diego Pellicer Worldwide, Inc., formerly Type 1 Media, Inc., is a development-stage company. The Company is a real estate and a consumer retail development company. The Company is focused on developing its Diego Pellicer marijuana brand along with both cannabis and non-cannabis products. The Company’s initial focus is to acquire and develop legally compliant real estate locations for the purposes of leasing them to state licensed companies in the cannabis industry. The Company leases real estate to licensed marijuana operators, including but not limited to, providing complete growing space, processing space, recreational and medical retail sales space and related facilities to licensed marijuana growers, processors, dispensary and recreational store operators. Additionally, the Company plans to explore ancillary opportunities in the regulated marijuana industry, as well as offering for wholesale distribution branded non-marijuana clothing and accessories.

The post Diego Pellicer Worldwide, Inc. (OTCMKTS:DPWW) Files An 8-K Regulation FD Disclosure appeared first on Market Exclusive.

Advanced Micro Devices, Inc. (NASDAQ:AMD) Insider Trading Activity – EVP Sold 30,000 shares of Stock

ME Staff — Wed, 18 Sep 2019 13:20:49 +0000

Insider Trading Activity For Advanced Micro Devices, Inc. (NASDAQ:AMD)

Mark D Papermaster , EVP of Advanced Micro Devices, Inc. (NASDAQ:AMD) reportedly Sold 30,000 shares of the company’s stock at an average price of 30.25 for a total transaction amount of $907,500.00 SEC Form

Insider Trading History For Advanced Micro Devices, Inc. (NASDAQ:AMD)

On 11/7/2012 Lisa T Su, SVP, bought 48,000 with an average share price of $2.05 per share and the total transaction amounting to $98,400.00.

On 12/3/2012 Craig A Conway, Director, sold 1,000 with an average share price of $2.27 per share and the total transaction amounting to $2,270.00.

On 5/1/2013 Craig A Conway, Director, sold 1,000 with an average share price of $2.80 per share and the total transaction amounting to $2,800.00.

On 11/22/2013 John Byrne, SVP, sold 73,246 with an average share price of $3.33 per share and the total transaction amounting to $243,909.18.

On 5/2/2014 Devinder Kumar, CFO, sold 3,210 with an average share price of $4.19 per share and the total transaction amounting to $13,449.90.

On 5/5/2014 Harry Wolin, SVP, sold 2,000 with an average share price of $4.09 per share and the total transaction amounting to $8,180.00.

On 8/22/2014 Harry A Wolin, SVP, sold 101,083 with an average share price of $4.25 per share and the total transaction amounting to $429,602.75.

Analyst Ratings History For Advanced Micro Devices, Inc. (NASDAQ:AMD)

On 10/12/2017 BNP Paribas Upgraded rating Neutral to Outperform
On 12/18/2017 Macquarie Upgraded rating Underperform to Neutral with a price target of $10.00 to $11.00
On 4/26/2018 Sanford C. Bernstein Set Price Target of rating Hold with a price target of $13.00
On 5/16/2018 Susquehanna Bancshares Upgraded rating Negative to Neutral with a price target of $13.87
On 7/27/2018 Argus Boost Price Target of rating Buy with a price target of $23.00
On 8/10/2018 Goldman Sachs Group Upgraded rating Sell to Neutral with a price target of $13.25 to $21.00
On 9/11/2018 Rosenblatt Securities Boost Price Target of rating Buy to Buy with a price target of $30.00 to $40.00

Recent Trading Activity for Advanced Micro Devices, Inc. (NASDAQ:AMD)
Shares of Advanced Micro Devices, Inc. closed the previous trading session at with 35011700 shares trading hands.

The post Advanced Micro Devices, Inc. (NASDAQ:AMD) Insider Trading Activity – EVP Sold 30,000 shares of Stock appeared first on Market Exclusive.

HESKA CORPORATION (NASDAQ:HSKA) Files An 8-K Entry into a Material Definitive Agreement

ME Staff 8-k — Wed, 18 Sep 2019 13:07:46 +0000

HESKA CORPORATION (NASDAQ:HSKA) Files An 8-K Entry into a Material Definitive Agreement
Item 1.01 Entry into a Material Definitive Agreement.

Convertible Notes and the Indenture

On September 12, 2019, Heska Corporation (the “Company”) priced its private offering of $75.0 million in aggregate principal amount of 3.750% Convertible Senior Notes due 2026 (the “Initial Notes”). The initial purchasers in such offering exercised their option in full to purchase an additional $11.25 million in aggregate principal amount of 3.750% Convertible Senior Notes due 2026 (the “Additional Notes” and, together with the Initial Notes, the “Notes”) bringing the total principal amount of the Notes issued on September 17, 2019 to $86.25 million. The Notes are senior unsecured obligations of the Company. The Notes were issued to an Indenture, dated September 17, 2019 (the “Indenture”), between the Company and U.S. Bank National Association, as trustee. The Indenture includes customary covenants, but no financial or operating covenants or restrictions on the payments of dividends, the incurrence of indebtedness or the issuance or repurchase of securities, and sets forth certain events of default after which the Notes may be declared immediately due and payable, and sets forth certain types of bankruptcy or insolvency events of default involving the Company after which the Notes become automatically due and payable.

The Notes will mature on September 15, 2026, unless earlier repurchased, redeemed or converted in accordance with their terms. The Notes will bear interest from September 17, 2019 at a rate of 3.750% per year payable semiannually in arrears on March 15 and September 15 of each year, beginning on March 15, 2020. The Notes will be convertible at the option of the holders at any time prior to the close of business on the business day immediately preceding March 15, 2026, only under the following circumstances: (1) during any calendar quarter commencing after the calendar quarter ending on December 31, 2019 (and only during such calendar quarter), if the last reported sale price of the Company’s Public common stock, par value $0.01 per share (the “Common Stock”), for at least 20 trading days (whether or not consecutive) during a period of 30 consecutive trading days ending on, and including, the last trading day of the immediately preceding calendar quarter is greater than or equal to 130% of the conversion price on each applicable trading day; (2) during the five business day period after any five consecutive trading day period (the “measurement period”) in which the trading price (as defined in the Indenture) per $1,000 principal amount of Notes for each trading day of the measurement period was less than 98% of the product of the last reported sale price of the Common Stock and the conversion rate on each such trading day; (3) if the Company calls the Notes for redemption; or (4) upon the occurrence of specified corporate events. On or after March 15, 2026 until the close of business on the business day immediately preceding the maturity date, holders may convert all or any portion of their Notes, in multiples of $1,000 principal amount, at the option of the holder regardless of the foregoing circumstances. Upon conversion, the Company may satisfy its conversion obligation by paying and/or delivering, as the case may be, cash, shares of Common Stock or a combination of cash and shares of Common Stock, at the Company’s election, in the manner and subject to the terms and conditions provided in the Indenture. The conversion rate for the Notes will initially be 11.5434 shares of the Common Stock per $1,000 principal amount of Notes, which is equivalent to an initial conversion price of approximately $86.63 per share of Common Stock. The initial conversion price of the Notes represents a premium of approximately 35% to the $64.17 per share closing price of the Common Stock on September 12, 2019. The conversion rate is subject to adjustment under certain circumstances in accordance with the terms of the Indenture. In addition, following certain corporate events that occur prior to the maturity date or if the Company issues a redemption notice with respect to any Notes as described below, the Company will increase the conversion rate, in certain circumstances, for a holder who elects to convert its Notes in connection with such a corporate event.

The Company may redeem the Notes, in whole or in part, at its option at any time, on or after September 20, 2023, at a cash redemption price equal to 50% of the principal amount thereof, plus accrued and unpaid interest to, but excluding, the redemption date, but only if the last reported sale price of the Common Stock exceeds 130% of the conversion price on each of at least 20 trading days (whether or not consecutive) during the 30 consecutive trading days ending on, and including, the trading day immediately before the date the Company sends the related redemption notice. No sinking fund will be provided for the Notes.

If the Company undergoes a fundamental change (as defined in the Indenture), holders may require the Company to repurchase for cash all or any portion of their Notes in principal amounts of $1,000 or a multiple thereof at a fundamental change repurchase price equal to 50% of the principal amount of the Notes to be repurchased, plus accrued and unpaid interest to, but excluding, the fundamental change repurchase date.

The foregoing description of the terms of the Indenture and the Notes is a summary only and is qualified in its entirety by reference to the full terms of the Indenture and the Notes, a copy of each of which is filed with this current report as Exhibit 4.1 and incorporated herein by reference.

Item 2.03 Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant.

The information set forth under Item 1.01 of this Current Report on Form 8-K is incorporated herein by reference.

Item 3.02 Unregistered Sale of Equity Securities.

The information set forth under Item 1.01 of this Current Report on Form 8-K is incorporated herein by reference.

The Company offered and sold the Notes to the initial purchasers in reliance on the exemption from registration provided by Section 4(a)(2) of the Securities Act of 1933, as amended (the “Securities Act”), and for resale by the initial purchasers to qualified institutional buyers to the exemption from registration provided by Rule 144A under the Securities Act. The Company relied on these exemptions from registration based in part on representations made by the initial purchasers in the purchase agreement dated September 12, 2019. The shares of the Common Stock issuable upon conversion of the Notes, if any, have not been registered under the Securities Act and may not be offered or sold in the United States absent registration or an applicable exemption from registration requirements.

To the extent that any shares of the Common Stock are issued upon conversion of the Notes, they will be issued in transactions anticipated to be exempt from registration under the Securities Act by virtue of Section 3(a)(9) thereof, because no commission or other remuneration is expected to be paid in connection with conversion of the Notes, and any resulting issuance of shares of the Common Stock.

Item 8.01 Other Events.

On September 12, 2019, the Company issued a press release announcing it had priced its offering of the Notes. A copy of the press release is filed as Exhibit 99.1 hereto and is incorporated herein by reference.

(d) Exhibits.

Exhibit No. Exhibit Description

HESKA CORP Exhibit
EX-4.1 2 exhibit41indenture.htm EXHIBIT 4.1 Exhibit Exhibit 4.1EXECUTION VERSIONHESKA CORPORATION and U.S. BANK NATIONAL ASSOCIATION,…
To view the full exhibit click here

About HESKA CORPORATION (NASDAQ:HSKA)

Heska Corporation develops, manufactures, markets, sells and supports veterinary products. The Company focuses on the canine and feline companion animal health markets. Its segments include Core Companion Animal Health segment, which includes, primarily for canine and feline use, blood testing instruments and supplies, digital imaging products, software and services, and single use products and services, such as heartworm diagnostic tests, heartworm preventive products, allergy immunotherapy products and allergy testing, and Other Vaccines, Pharmaceuticals and Products segment, which includes private label vaccine and pharmaceutical production, primarily for cattle but also for other animals, including small mammals. It offers blood testing instruments and supplies, digital imaging products, software and services, and single use products and services, such as in-clinic heartworm diagnostic tests, heartworm preventive products, allergy immunotherapy products and allergy testing.

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Market Morning: Fed Decides In Wake Repo Rate Spike, Saudis Blame Iran, FedEx Falls

ME Staff — Wed, 18 Sep 2019 13:00:56 +0000

FOMC Decision Clouded By Repo Rate Spike

The Federal Open Market Committee concludes its two-day meeting today with an announcement as 2:00pm EST regarding its rate target decision. The chances of a rate hike have been declining ever since the oil price spike at the beginning of the week, but fed funds futures are still implying a rate cut today. However, the Fed’s decision will be suffering from a hangover in money markets that occurred yesterday when overnight rates suddenly rocketed to an astronomical 10% in an acute liquidity shortage caused by the Treasury sucking up all available liquidity into the Treasury market, compounded by a corporate tax deadline that redirected even more funds into the Treasury. So the answer as to why overnight interest rates suddenly spiked to 10% yesterday is that the government did it by borrowing too much in too short of a time frame, maybe. The Fed responded by injecting about $53 billion in short term funding into the banking system to keep the fever down, but it is uncertain how long this solution will last. The Fed plans to inject another $75 billion into money markets today, not connected to the FOMC rate decision.

SEE: Valens Picks Iconic Brewing to Sell Cannabis-Infused Beverages

Saudi Arabia Says It Has Evidence Iran Bombed Abqaiq

Now that the Saudis have assured the oil markets that full capacity at its enormous Abqaiq crude oil processing facility will be restored by the end of the month, attention is being turned to who the culprit is. Even though Yemeni Houthis have already claimed responsibility, Saudi Arabia says it was really Iran who was behind the attack, and now they say they have concrete evidence. The kingdom said that it would provide this evidence today at 2:30pm, half an hour after the FOMC has had its say about rates. Iran has continually denied any involvement in the attack. “They want to impose maximum … pressure on Iran through slander,” Iran’s President Hassan Rouhani said according to state media. “We don’t want conflict in the region … Who started the conflict?” he said, menacingly.

UK Supreme Court Deliberates on Prorogation of Parliament

British stocks (NYSEARCA:EWU) continue their slow and steady trek up a wall of worry as the British Supreme Court deliberates over the legality of Prime Minister Boris Johnson’s prorogation of parliament last week. That basically means he called an end to the parliamentary session in order to open a new one with a Queen’s Speech on October 14^th. The advantage being that in the meantime, parliament members can’t pass any laws, so they won’t be able to hamstring Johnson any further, at least not until October 14^th. That is when they will probably start yelling at him again for being a dictator and trying to destroy democracy, even though he is the one who is trying to fulfill a democratic referendum where the people chose to leave the European Union by a wide margin.

According to Johnson’s lawyers, the matter is political and therefore not justiciable by the courts. According to the lawyers for the prorogued MPs, prorogation for the purpose of stymieing parliament is illegal and the body must be recalled. Meanwhile, Queen Elizabeth II is stuck in the middle of this mess because she is the one that actually prorogues parliament, technically. At 93, she probably never believed she’d be involved in politics so closely.

CannTrust Smashed Again for Illegal Grow Operations

CannTrust (NYSE:CTST) got walloped again yesterday and is down another 4% in premarket trade after Canada’s health regulator, the cleverly-named Health Canada, suspended its license to produce and sell cannabis, accusing it of illegal grow operations. Trading in its stock was halted yesterday morning. Health Canada is in the process of seizing and detaining all cannabis products in Pellham and Vaughn. The firm can still cultivate and harvest existing crops and can at least dry and trim what they still have. They are not allowed to grow fresh batches or sell any cannabis while the suspension is in effect. CannTrust was previously caught growing crops in unlicesnsed room, product which went to sick people in Denmark. After all, it is Health Canada. Not Health Denmark.

FedEx Craters on Lower Outlook Due to Trade War

Who would have guessed, but apparently the trade war negatively affects trade. One of the companies that heavily relies on trade is FedEx (NYSE:FDX), which of course ships stuff back and forth between countries, in other words stuff that is traded. FedEx tanked 8% yesterday on the back of missed profit expectations and a lower outlook for 2020 thank to increasing trade tensions. FedEx earned $745 million compared with $835 million same quarter last year. “Our performance continues to be negatively impacted by a weakening global macro environment driven by increasing trade tensions and policy uncertainty,” Chief Executive Frederick W. Smith said in a statement.

The post Market Morning: Fed Decides In Wake Repo Rate Spike, Saudis Blame Iran, FedEx Falls appeared first on Market Exclusive.

NewLink Genetics Corporation (NASDAQ:NLNK) Files An 8-K Other Events

ME Staff 8-k — Wed, 18 Sep 2019 12:39:42 +0000

NewLink Genetics Corporation (NASDAQ:NLNK) Files An 8-K Other Events
Item 8.01. Other Events.

On September 17, 2019, NewLink Genetics Corporation issued a press release titled “NewLink Genetics Announces FDA Accepts Partnered Biologics License Application (BLA) and Grants Priority Review for Ebola Vaccine V920 (rVSV∆G-ZEBOV-GP).”

A copy of the press release is attached hereto as Exhibit 99.1 and is incorporated herein by reference.

Section 9 – Financial Statements and Exhibits

Item 9.01. Financial Statements and Exhibits.

(d) Exhibits.

NEWLINK GENETICS CORP Exhibit
EX-99.1 2 nlnk-20190917x8kxex991.htm PRESS RELEASE Exhibit Exhibit 99.1FOR IMMEDIATE RELEASENewLink Genetics Announces FDA Accepts Partnered Biologics License Application (BLA) and Grants Priority Review for Ebola Vaccine V920 (rVSV∆G-ZEBOV-GP) AMES,…
To view the full exhibit click here

About NewLink Genetics Corporation (NASDAQ:NLNK)

NewLink Genetics Corporation is a biopharmaceutical company focused on discovering, developing and commercializing immunotherapeutic products for cancer treatment. The Company’s portfolio includes biologic and small-molecule immunotherapy product candidates for a range of oncology indications. Its biologic product candidates are based on its HyperAcute immunotherapy technology platform, which is designed to stimulate the human immune system. Algenpantucel-L is its clinically advanced product candidate for patients with pancreatic cancer. Its additional HyperAcute cellular HyperAcute Cellular Immunotherapy product candidates in clinical development include tergenpumatucel-L and dorgenmeltucel-L for patients with advanced lung cancer and melanoma. It has two small-molecule product candidates in clinical development: GDC-0919 and indoximod. These product candidates are indoleamine-2, 3-dioxygenase (IDO) pathway inhibitors and focus on breaking the immune system’s tolerance to cancer.

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BARFRESH FOOD GROUP INC. (OTCMKTS:BRFH) Files An 8-K Submission of Matters to a Vote of Security Holders

ME Staff 8-k — Wed, 18 Sep 2019 12:38:50 +0000

BARFRESH FOOD GROUP INC. (OTCMKTS:BRFH) Files An 8-K Submission of Matters to a Vote of Security Holders
Item 5.07. Submission of Matters to a Vote of Security Holders.

On September 11, 2019, Barfresh Food Group, Inc., a Delaware corporation (the “Company”), held its 2019Annual Meeting of Stockholders (the “Annual Meeting”).

A total of 108,769,619 shares of the Company’s common stock were present or represented by proxy at the Annual Meeting to consider and vote on the matters listed below. This represented approximately 83.61% of the Company’s shares of common stock that were outstanding and entitled to vote at the Annual Meeting. The proposals set forth below, each of which is described in more detail in the Company’s 2019 definitive proxy statement filed with the SEC on August 7, 2019, were submitted to a vote of the stockholders and approved at the Annual Meeting.

Proposal 1 – To elect Riccardo Delle Coste, Steven Lang, Arnold Tinter, Joseph M. Cugine, Alexander H. Ware and Isabelle Ortiz-Cochet to serve a one-year term until their respective successors are duly elected and qualified or until their death, resignation, removal or disqualification.

The Company’s stockholders elected the following six directors, based on the following final voting results:

Proposal 2 – To ratify the appointment of Eide Bailly LLP as our independent registered public accounting firm for the fiscal year ending December 31, 2019

The Company’s stockholders ratified the appointment of Eide Bailly LLP as the Company’s independent registered public accounting firm for the fiscal year ending December 31, 2019, based on the following final voting results:

About BARFRESH FOOD GROUP INC. (OTCMKTS:BRFH)

Barfresh Food Group, Inc. is a manufacturer and distributor of ready to blend frozen beverages. The Company’s portfolio of products includes smoothies, shakes and frappes. All of the Company’s products are portion controlled beverage ingredient packs, suitable for smoothies, shakes and frappes that can also be utilized for cocktails and mocktails. The beverage packs contain all of the solid ingredients necessary to make the beverage, including the base (either sorbet, frozen yogurt or ice cream), real fruit pieces, juices and ice-five ounces of water are added before blending. As of December 31, 2015, the Company’s portfolio of products are available in nine flavors, including chocolate shake, strawberry smoothie, vanilla shake, mango burst smoothie, mocha frappe, mango smoothie, strawberry banana smoothie, caramel macchiato frappe and caribbean smoothie. The Company utilizes contract manufacturers to manufacture all of the products in the United States.

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AVEO Pharmaceuticals, Inc. (NASDAQ:AVEO) Files An 8-K Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing

ME Staff 8-k — Wed, 18 Sep 2019 12:37:35 +0000

AVEO Pharmaceuticals, Inc. (NASDAQ:AVEO) Files An 8-K Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing
Item 3.01

About AVEO Pharmaceuticals, Inc. (NASDAQ:AVEO)

AVEO Pharmaceuticals, Inc. is a biopharmaceutical company. The Company’s platform delivers insights into cancer and related disease. The Company’s product candidates include Tivozanib, Ficlatuzumab, AV-203 and AV-380. Tivozanib is a selective long half-life vascular endothelial growth factor tyrosine kinase inhibitor (VEGF TKI) that inhibits over three VEGF receptors. Tivozanib is designed to optimize VEGF blockade while minimizing off-target toxicities. Ficlatuzumab is a Hepatocyte Growth Factor (HGF) inhibitory antibody. AV-203 is an anti-ErbB3 monoclonal antibody with ErbB3 affinity. Its preclinical studies suggest that neuregulin1 (NRG1) levels predict AV-203 antitumor activity in preclinical models. AV-380 is a humanized Immunoglobulin G 1 (IgG1) inhibitory monoclonal antibody. AV-380 targets growth differentiating factor 15 (GDF15).

The post AVEO Pharmaceuticals, Inc. (NASDAQ:AVEO) Files An 8-K Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing appeared first on Market Exclusive.

Valens Picks Iconic Brewing to Sell Cannabis-Infused Beverages

ME Staff — Wed, 18 Sep 2019 12:30:06 +0000

Valens GroWorks (TSXV: VGW) (OTCQX: VGWCF) has entered into a five-year, white-label cannabis-infused beverage contract with the cannabis division of Iconic Brewing.

Under the white label agreement, Valens will provide high-quality extracts, formulation services, and SōRSE emulsion IP for its cannabis-infused beverages. Whereas, Iconic will brand and market the final product across Canada.

Under the terms of the agreement, a minimum of 2.5 million cannabis-infused beverages will be produced over five years with the opportunity to expand on the partnership with new product offerings in the near future, according to Valens statement.

The partnership with Iconic Brewing will help Valens “create their new line of cannabis-infused beverages,” stated Valens CEO Tyler Robson.

“Their ability to formulate and forecast trends is second to none, as demonstrated by the success of their current beverage products including Cottage Springs Vodka Soda, Picnic Wine Co, Liberty Village, and Cabana Coast. To service this agreement, we will be using our proprietary emulsion solution, SōRSE Technology, which creates oil-based ingestible products, including beverages, that offer a consistent experience with fast onset and offset,” Robson added.

The post Valens Picks Iconic Brewing to Sell Cannabis-Infused Beverages appeared first on Market Exclusive.

Covestro AG (ETR:1COV) price target set to €39.50 by HSBC

ME Staff — Wed, 18 Sep 2019 12:18:39 +0000

Analyst Ratings For Covestro AG (ETR:1COV)

Today, HSBC set its price target on Covestro AG (ETR:1COV) to €39.50 per share.

There are 9 Hold Ratings, 8 Buy Ratings, 2 Sell Ratings, no Strong Buy Ratings on the stock.

The current consensus rating on Covestro AG (ETR:1COV) is Hold with a consensus target price of €51.56 per share, a potential .

Some recent analyst ratings include

9/6/2019-Covestro AG (ETR:1COV) had its Buy rating reiterated by JPMorgan Chase & Co.

Recent Trading Activity for Covestro AG (ETR:1COV)
Shares of Covestro AG closed the previous trading session at 45.10 up +1.12 2.55% with shares trading hands.

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FOOTHILLS EXPLORATION, INC. (OTCMKTS:FTXP) Files An 8-K Other Events

ME Staff 8-k — Wed, 18 Sep 2019 12:08:48 +0000

FOOTHILLS EXPLORATION, INC. (OTCMKTS:FTXP) Files An 8-K Other Events

FOOTHILLS EXPLORATION, INC. Exhibit
EX-99.1 2 ex99-1.htm September 13,…
To view the full exhibit click here

About FOOTHILLS EXPLORATION, INC. (OTCMKTS:FTXP)

Foothills Exploration Inc, formerly Key Link Assets Corp., is a shell company. The Company’s business plan is to acquire small and medium grocery stores in non-urban locales that are not directly served by large national supermarket chains. The Company plans to acquire grocery stores that are approximately 15,000 to 20,000 square feet in size. The Company seeks to drive additional customer traffic to its acquired grocery stores and expand their operating margins through the introduction of new products and services to those stores that lack them, including pharmaceutical services, floral departments, gasoline and other automotive products, prepared foods, lottery service and alcoholic beverages. The Company’s stores will sell non-perishable, perishable and non-food products. The products include various categories, such as grocery, frozen and dairy; produce; meat and seafood; bakery; floral; beer, wine and spirits, and health and beauty care.

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PDL BioPharma, Inc. (NASDAQ:PDLI) Files An 8-K Entry into a Material Definitive Agreement

ME Staff 8-k — Wed, 18 Sep 2019 12:07:47 +0000

PDL BioPharma, Inc. (NASDAQ:PDLI) Files An 8-K Entry into a Material Definitive Agreement
Item 1.01 Entry into a Material Definitive Agreement

Indenture and Supplemental Indenture Relating to the Exchange Notes

As previously announced, on September 12, 2019, PDL BioPharma, Inc. (the “Company”) entered into separate, privately negotiated agreements (the “Exchange Agreements”) with a limited number of holders of the Company’s 2.75% Convertible Senior Notes due 2021 (the “Existing Notes”) to exchange an aggregate of approximately $86.1 million principal amount of Existing Notes for (i) an aggregate of approximately $86.1 million original principal amount of new 2.75% Exchange Convertible Senior Notes due 2024 (the “Exchange Notes”); and (ii) an aggregate of $6.0 million in cash (such transactions, collectively, the “Exchange”). The Company did not receive any cash proceeds from the issuance of the Exchange Notes.

On September 17, 2019 the Company closed the previously announced Exchange. In connection with the Exchange, the Company entered into an Indenture, dated September 17, 2019, between the Company and The Bank of New York Mellon Trust Company, N.A., as trustee (the “Base Indenture”), as supplemented by a supplemental indenture, thereto, dated as of September 17, 2019 (the “Supplemental Indenture” and, together with the Base Indenture, the “Indenture”), between the Company and The Bank of New York Mellon Trust Company, N.A., as trustee (the “Supplemental Indenture” ).

A description of the Base Indenture and Supplemental Indenture is set forth in in Item 1.01 of the Current Report on Form 8-K filed by the Company on September 13, 2019 regarding the Exchange, and is incorporated herein by reference.

A copy of the Indenture and a copy of the Supplemental Indenture are attached hereto as Exhibit 4.1, and Exhibit 4.2, respectively, and are incorporated herein by reference.

Item 2.03 Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant.

The information set forth in Item 1.01 of this Current Report on Form 8-K regarding the Exchange is incorporated herein by reference.

Item 3.02 Unregistered Sales of Equity Securities.

The information set forth in Item 1.01 of this Current Report on Form 8-K regarding the Exchange is incorporated herein by reference.

Item 7.01 Regulation FD Disclosure.

The information set forth in Item 1.01 of this Current Report on Form 8-K regarding the Exchange is incorporated herein by reference.

Item 9.01 Financial Statements and Exhibits.

(d) Exhibits.

PDL BIOPHARMA, INC. Exhibit
EX-4.1 2 pdli-201909178xkex41.htm INDENTURE Exhibit EXHIBIT 4.1PDL BIOPHARMA,…
To view the full exhibit click here

About PDL BioPharma, Inc. (NASDAQ:PDLI)

PDL BioPharma, Inc., formerly Protein Design Labs, Inc., manages a portfolio of patents and royalty assets, consisting of its Queen et al. patents, license agreements with various biotechnology and pharmaceutical companies, and royalty and other assets acquired. The Company provides non-dilutive growth capital and financing solutions to late-stage public and private healthcare companies and offers immediate financial monetization of royalty streams to companies, academic institutions and inventors. It evaluates its investments based on the quality of the income generating assets and potential returns on investment. It is focused on intellectual property asset management, acquiring income generating assets and maximizing value for its stockholders, among others. It receives royalties on sales of over ten humanized antibody products, which include Avastin, Herceptin, Xolair, Kadcyla, Tysabri, Actemra, Gazyva and Entyvio all of which are approved for use.

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AXIM to Launch CBD Chewing Gum to Treat Chemotherapy Symptoms

ME Staff — Wed, 18 Sep 2019 12:00:55 +0000

Medical Marijuana (OTC: MJNA) announced that its major investment company AXIM Biotechnologies (OTCQB: AXIM) is making its cannabinoid-based chewing gum to treat chemotherapy-related symptoms.

The chewing gum with dronabinol, a synthetic form of tetrahydrocannabinol (THC), is being manufactured through AXIM’s contract manufacturer Eurofins Amatsigroup in Belgium. It will be used in AXIM’s upcoming clinical studies on cannabis as a treatment for chemotherapy-related symptoms. Symptoms that many chemotherapy patients experience include a weakened immune system, pain, nausea, vomiting, and diarrhea.

According to the Center for Disease Control and Prevention, about 650,000 cancer patients in the U.S. receive chemotherapy each year with an average cost of $100,000 per patient per year.

CBD-Based Chewing Gum

In the coming months, AXIM plans to conduct a bioequivalence study between its chewing gum with dronabinol and FDA-approved capsules containing dronabinol. The company intends to later provide evidence that the dronabinol chewing gum can serve as an alternative to orally ingested dronabinol for the treatment of symptoms associated with chemotherapy.

John Huemoeller II, the CEO of AXIM, states that their delivery mechanism allows products “to enter the body through the oral mucosa, bypassing the liver and allowing for greater bioavailability.”

“Through these studies, we want to show the bioequivalence of our dronabinol gum to already FDA-approved synthetic THC products so that we can offer it to chemotherapy patients through our proven and convenient delivery mechanism,” according to Huemoeller.

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Neuralstem, Inc. (NASDAQ:CUR) Files An 8-K Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers

ME Staff 8-k — Wed, 18 Sep 2019 11:37:47 +0000

Neuralstem, Inc. (NASDAQ:CUR) Files An 8-K Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers
Item 5.02.

On September 12, 2019, William Oldaker informed the board of directors (“Board”) of Neuralstem, Inc. (the “Company”) that he is resigning effective September 30, 2019, as a member of the Board. Mr. Oldaker’s resignation from the Board did not result from any disagreement with the Company on any matter relating to the Company’s operations, policies or practices.

About Neuralstem, Inc. (NASDAQ:CUR)

Neuralstem, Inc. (Neuralstem) is a clinical-stage biopharmaceutical company. The Company is engaged in research, development and commercialization of central nervous system therapies based on its human neuronal stem cells and its stem-cell derived small molecule compounds. The Company has approximately three assets: its NSI-189 small molecule program, its NSI-566 stem cell therapy program and its chemical entity screening platform. The Company’s technology allows the commercial-scale production of multiple types of central nervous system stem cells, which are under development for the treatment of central nervous system diseases and conditions. The Company is developing NSI-189 for the treatment of major depressive disorder (MDD) and other psychiatric and/or cognitive impairment indications associated with hippocampal atrophy. The Company’s NSI-566 is indicated for amyotrophic lateral sclerosis (ALS), chronic spinal cord injury and motor deficits due to ischemic stroke.

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Avingtrans plc (LON:AVG) had its Corporate rating reiterated by FinnCap

ME Staff — Wed, 18 Sep 2019 11:11:50 +0000

Analyst Ratings For Avingtrans plc (LON:AVG)

Today, FinnCap reiterated its Corporate rating on Avingtrans plc (LON:AVG).

There are 0 Strong Buy Ratings, no Sell Ratings, no Hold Ratings, no Buy Ratings on the stock.

The current consensus rating on Avingtrans plc (LON:AVG) is N/A with a consensus target price of GBX 300 per share, a potential .

Some recent analyst ratings include

9/18/2019-Avingtrans plc (LON:AVG) had its Corporate rating reiterated by FinnCap

Recent Trading Activity for Avingtrans plc (LON:AVG)
Shares of Avingtrans plc closed the previous trading session at 238.50 −1.50 0.63% with shares trading hands.

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Accesso Technology Group PLC (LON:ACSO) price target lowered to GBX 1,300 by Peel Hunt

ME Staff — Wed, 18 Sep 2019 11:11:25 +0000

Analyst Ratings For Accesso Technology Group PLC (LON:ACSO)

Today, Peel Hunt lowered its price target on Accesso Technology Group PLC (LON:ACSO) to GBX 1,300 per share.

There are 4 Buy Ratings, no Strong Buy Ratings, no Sell Ratings, no Hold Ratings on the stock.

The current consensus rating on Accesso Technology Group PLC (LON:ACSO) is Buy with a consensus target price of GBX 1,375 per share, a potential .

Some recent analyst ratings include

5/22/2019-Accesso Technology Group PLC (LON:ACSO) had its Buy rating reiterated by Canaccord Genuity with a GBX 1,400 price target

Recent Trading Activity for Accesso Technology Group PLC (LON:ACSO)
Shares of Accesso Technology Group PLC closed the previous trading session at 805.00 −105.00 11.54% with shares trading hands.

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Lightspeed POS Inc (TSE:LSPD) price target set to C$41.00 by JPMorgan Chase & Co.

ME Staff — Wed, 18 Sep 2019 10:17:28 +0000

Analyst Ratings For Lightspeed POS Inc (TSE:LSPD)

Today, JPMorgan Chase & Co. set its price target on Lightspeed POS Inc (TSE:LSPD) to C$41.00 per share.

There are 4 Buy Ratings, 2 Hold Ratings, no Strong Buy Ratings, no Sell Ratings on the stock.

The current consensus rating on Lightspeed POS Inc (TSE:LSPD) is Buy with a consensus target price of C$47.57 per share, a potential 42.73% upside.

Some recent analyst ratings include

7/30/2019-Lightspeed POS Inc (TSE:LSPD) had its Overweight rating reiterated by KeyCorp with a C$45.00 price target

Recent Trading Activity for Lightspeed POS Inc (TSE:LSPD)
Shares of Lightspeed POS Inc closed the previous trading session at 33.33 −0.060 0.18% with shares trading hands.

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Dream Global REIT (TSE:DRG_UN) price target set to C$18.00 by National Bank Financial

ME Staff — Wed, 18 Sep 2019 10:16:18 +0000

Analyst Ratings For Dream Global REIT (TSE:DRG_UN)

Today, National Bank Financial set its price target on Dream Global REIT (TSE:DRG_UN) to C$18.00 per share.

There are 4 Buy Ratings, 3 Hold Ratings, no Strong Buy Ratings, no Sell Ratings on the stock.

The current consensus rating on Dream Global REIT (TSE:DRG_UN) is Buy with a consensus target price of C$16.41 per share, a potential 1.14% downside.

Some recent analyst ratings include

9/17/2019-Dream Global REIT (TSE:DRG_UN) gets upgraded to Buy by Canaccord Genuity with a price target of C$16.79
9/17/2019-Dream Global REIT (TSE:DRG_UN) gets downgraded to Neutral by CIBC with a price target of C$16.80
12/19/2018-Dream Global REIT (TSE:DRG_UN) had its Hold ➝ Average rating reiterated by Desjardins with a C$14.00 price target

Recent Trading Activity for Dream Global REIT (TSE:DRG_UN)
Shares of Dream Global REIT closed the previous trading session at 16.60 up +0.030 0.18% with shares trading hands.

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VIRTUSA CORPORATION (NASDAQ:VRTU) Files An 8-K Submission of Matters to a Vote of Security Holders

ME Staff 8-k — Wed, 18 Sep 2019 10:07:29 +0000

VIRTUSA CORPORATION (NASDAQ:VRTU) Files An 8-K Submission of Matters to a Vote of Security Holders
Item 5.07. Submission of Matters to a Vote of Security Holders

About VIRTUSA CORPORATION (NASDAQ:VRTU)

Virtusa Corporation (Virtusa) is an information technology services company. The Company’s services include information technology (IT) and business consulting, digital enablement services, user experience (UX) design, development of IT applications, maintenance and support services, systems integration, infrastructure and managed services. Its services enable its clients to accelerate business outcomes by consolidating, rationalizing and modernizing the clients’ core customer-facing processes into one or more core systems. It delivers solutions through a global delivery model, applying advanced methods, such as Agile, a technique designed to accelerate application development. The Company uses its consulting methodology, Accelerated Solution Design (ASD). It supports the Chief Information Officers (CIOs) of its client organizations in solving their critical issues, including managing total cost of ownership, accelerating time-to-market and increasing productivity.

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REAL GOODS SOLAR, INC. (NASDAQ:RGSE) Files An 8-K Regulation FD Disclosure

ME Staff 8-k — Wed, 18 Sep 2019 08:43:32 +0000

REAL GOODS SOLAR, INC. (NASDAQ:RGSE) Files An 8-K Regulation FD Disclosure
Item 7.01. Regulation FD Disclosure.

Real Goods Solar, Inc. (the “Company”) has posted the attached business update related to the Company’s business to the investor relations section of its website on September 17, 2019. A copy of the business update is attached to this Form 8-K as Exhibit 99.1 and is incorporated herein by reference.

The information under this Item 7.01 and the business update attached hereto as Exhibit 99.1 is being furnished by the Company to Item 7.01. In accordance with General Instruction B.2 of Form 8-K, the information contained under this Item 7.01 and the business update attached hereto as Exhibit 99.1 shall not be deemed “filed” for the purposes of Section 18 of the Securities Exchange Act of 1934, as amended, or otherwise subject to the liability of that section. In addition, this information shall not be deemed incorporated by reference into any of the Company’s filings with the Securities and Exchange Commission, except as shall be expressly set forth by specific reference in any such filing.

Item 9.01. Financial Statements and Exhibits.

(d) Exhibits

Exhibit
No.	Description
99.1	Business update, dated September 17, 2019

Real Goods Solar, Inc. Exhibit
EX-99.1 2 tv529579_ex99-1.htm EXHIBIT 99.1 Exhibit 99.1 Business Update for 30-Day Period Since Last Conference Call POWERHOUSE™ Division Activity from Network Size Sales Pipeline Roofer & Solar Installer P/O Home Builder P/O Backlog Revenue March 16th – April 15th 262 $2,…
To view the full exhibit click here

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EHEALTH, INC. (NASDAQ:EHTH) Files An 8-K Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers

ME Staff 8-k — Wed, 18 Sep 2019 01:42:42 +0000

EHEALTH, INC. (NASDAQ:EHTH) Files An 8-K Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers
Item 5.02 of Form 8-K, this Form 8-K/A is being filed solely to provide the information called for in Item 5.02(d)(3) of Form 8-K that had not been determined at the time of filing of the Original Form 8-Ks.

Section 5 – Corporate Governance and Management

On September 13, 2019, the Board appointed Mr. Wolf to serve as Chairperson of the Compensation Committee and as a member of the Nominating and Corporate Governance Committee and the Equity Incentive Committee. On September 13, 2019, the Board also appointed Ms. Brooke to serve as a member of the Audit Committee and the Strategy Committee and as Chairperson of the Government and Regulatory Affairs Committee.

About EHEALTH, INC. (NASDAQ:EHTH)

eHealth, Inc. provides a private online source of health insurance for individuals, families and small businesses. The Company is the parent company of eHealthInsurance, a private health insurance exchange where individuals, families and small businesses can compare health insurance products from various insurers side-by-side, and purchase and enroll in coverage online through its Websites (www.eHealth.com, www.eHealthInsurance.com, www.eHealthMedicare.com, www.Medicare.com and www.PlanPrescriber.com) or telephonically through its customer care centers. The Company also offers various online and pharmacy-based tools to help seniors navigate Medicare health insurance options, choose the right plan, and enroll in plans online or telephonically. It markets the availability of individual and family, small business and ancillary health insurance plans of various insurance carriers through its e-commerce platforms (www.eHealth.com and www.eHealthInsurance.com).

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Insys Therapeutics, Inc. (NASDAQ:INSY) Files An 8-K Regulation FD Disclosure

ME Staff 8-k — Tue, 17 Sep 2019 23:43:00 +0000

Insys Therapeutics, Inc. (NASDAQ:INSY) Files An 8-K Regulation FD Disclosure
Item 7.01Regulation FD Disclosure.

As previously disclosed, on June 10, 2019, Insys Therapeutics, Inc. (the “Company”) and its subsidiaries (collectively, the “Debtors”) filed voluntary petitions (the “Bankruptcy Petitions,” and the cases commenced thereby, the “Chapter 11 Cases”) for relief under chapter 11 of title 11of the United States Code in the United States Bankruptcy Court for the District of Delaware (the “Bankruptcy Court”).

On September 17, 2019, the Debtors filed the Joint Chapter 11 Plan Liquidation of Insys Therapeutics, Inc. and Its Affiliated Debtors (the “Plan”) and the related disclosure statement (the “Disclosure Statement”) with the Bankruptcy Court. The Plan and Disclosure Statement are subject to approval by the Bankruptcy Court. Once the Disclosure Statement is approved by the Bankruptcy Court, the Plan will be solicited for approval by a vote of certain of the Company’s creditors, as described in the Disclosure Statement and the Plan.

As previously disclosed, the Company entered into purchase agreements to sell certain of its assets including (i) the Asset Purchase Agreement with Hikma Pharmaceuticals USA Inc., dated August 5, 2019, and the transactions contemplated thereby were consummated on August 29, 2019, (ii) the Asset Purchase Agreement with Chilion Group Holdings US, Inc., dated as of August 6, 2019 (the “Chilion Purchase Agreement”), and (iii) the Asset Purchase Agreement with BTcP Pharma, LLC, dated as of September 1, 2019 (the “BTcP Pharma Purchase Agreement”).

The Debtors intend to proceed expeditiously to commence the mailing of ballots and other solicitation materials (the “Solicitation Materials”) concerning the Plan upon the Bankruptcy Court’s approval of the Disclosure Statement. A hearing to consider approval of the Disclosure Statement is scheduled before the Bankruptcy Court on October 22, 2019 at 10:00 a.m. (Eastern Time). There can be no assurance that the Debtors’ stakeholders will accept the Plan or that the Bankruptcy Court will approve the Disclosure Statement or confirm the Plan.

The Plan will become effective if the Plan receives the requisite approval from holders of claims, the Bankruptcy Court enters an order confirming the Plan, and the conditions to the effectiveness of the Plan, as stated therein, are satisfied or waived in accordance with the Plan’s terms. Following the effectiveness of the Plan, the Plan provides for the Company’s remaining assets to be placed in two liquidating trusts. One liquidating trust will hold the Company’s assets related to product liability insurance, and the other will hold all other Company assets. The liquidating trusts will undertake the final liquidation of the Company’s assets and assumption of its liabilities. The Plan further provides for the shares of common stock of the Company to be canceled for no consideration, for one new share of common stock to be issued to a holding trust, and for the dissolution of the Company and its subsidiaries after the transfer of the Company’s assets to the liquidating trusts.

The Plan and Disclosure Statement, as well as Bankruptcy Court filings and other information related to the Chapter 11 Cases, are or will be available at a website administered by the Company’s noticing and claims agent, Epiq Bankruptcy Solutions LLC, at https://dm.epiq11.com/Insys. The Solicitation Materials will also be available at https://dm.epiq11.com/Insys. This Current Report on Form 8-K is not intended to be, nor should it be construed as, a solicitation for a vote on the Plan.

The foregoing description of the Plan and Disclosure Statement does not purport to be complete and is qualified in its entirety by reference to the full text of the Plan and Disclosure Statement, copies of which are filed as Exhibit 99.1 and 99.2 hereto and are incorporated herein by reference.

In accordance with General Instruction B.2 of Form 8-K, the information being furnished under this Item 7.01 to this Current Report on Form 8-K, including Exhibits 99.1 and 99.2, shall not be deemed to be “filed” for purposes of Section 18 of the Securities Exchange Act of 1934, as amended (the “Exchange Act”), or otherwise subject to the liabilities of that section, nor shall it be deemed incorporated by reference into any registration statement or other document filed by the Company under the Securities Act of 1933, as amended (the “Securities Act”), or the Exchange Act, except as expressly set forth by specific reference in such filing.

Cautionary Statements Regarding Forward-Looking Information

This Form 8-K includes “forward-looking statements” within the meaning of the Private Securities Litigation Reform Act of 1995. In some cases, you can identify forward-looking statements by terminology such as “may,” “will,” “should,” “could,” “expects,” “plans,” “anticipates,” “believes,” “estimates,” “predicts,” “potential,” “continue,” “intend” or the negative of these terms or other comparable terminology, although not all forward-looking statements contain these identifying words. All statements, other than statements of historical facts, included in this filing that address activities, events or developments that the Company expects, believes, targets or anticipates will or may occur in the future are forward-looking statements. The Company’s actual results may differ materially from

those anticipated in these forward-looking statements as a result of certain risks and other factors, which could include the following: the failure to obtain Bankruptcy Court approval of the BTcP Pharma Purchase Agreement or, if the BTcP Pharma Purchase Agreement is approved by the Bankruptcy Court, to consummate the transactions contemplated thereby, failure to obtain any required regulatory approvals for the BTcP Pharma Purchase Agreement, the failure to consummate the transactions contemplated by the Chilion Purchase Agreement, risks and uncertainties relating to the Chapter 11 Cases, including but not limited to, the terms of and potential transactions contemplated by the Plan and Disclosure Statement, the anticipated mailing date of the Solicitation Materials, the Company’s ability to obtain Bankruptcy Court approval with respect to motions in the Chapter 11 Cases, the effects of the Chapter 11 Cases on the Company and on the interests of various constituents, Bankruptcy Court rulings in the Chapter 11 Cases and the outcome of the Chapter 11 Cases in general, the length of time the Company will operate under the Chapter 11 Cases, risks associated with third-party motions in the Chapter 11 Cases, the potential adverse effects of the Chapter 11 Cases on the Company’s liquidity or results of operations and increased legal and other professional costs necessary to execute the Company’s reorganization; the effects of disruption from the Chapter 11 Cases making it more difficult to maintain business and operational relationships, to retain key executives and to maintain various licenses and approvals necessary for the Company to conduct its business; uncertainty associated with the Company’s ability to complete the sale of its assets as contemplated by the Bankruptcy Petitions; trading price and volatility of the Company’s common stock as well as other risk factors set forth in the Company’s Annual Report on Form 10-K and Quarterly Reports on Form 10-Q filed with the Securities and Exchange Commission (the “SEC”) in addition to those factors, risks and uncertainties described in more detail in the Company’s risk factors set forth in Exhibit 99.1 to the Current Report on Form 8-K filed by the Company with the SEC on August 8, 2019. The Company therefore cautions readers against relying on these forward-looking statements. All forward-looking statements attributable to the Company or persons acting on the Company’s behalf are expressly qualified in their entirety by the foregoing cautionary statements. All such statements speak only as of the date made, and, except as required by law, the Company undertakes no obligation to update or revise publicly any forward-looking statements, whether as a result of new information, future events or otherwise.

(d) Exhibits.

Insys Therapeutics, Inc. Exhibit
EX-99.1 2 insy-ex991_6.htm EX-99.1 insy-ex991_6.htm Exhibit 99.1 UNITED STATES BANKRUPTCY COURTDISTRICT OF DELAWARE ——————————————————x : In re:Chapter 11 : INSYS THERAPEUTICS,…
To view the full exhibit click here

About Insys Therapeutics, Inc. (NASDAQ:INSY)

Insys Therapeutics, Inc. is a commercial-stage specialty pharmaceutical company. The Company develops and commercializes supportive care products. The Company’s product Subsys, is a sublingual fentanyl spray for breakthrough cancer pain (BTCP) in opioid-tolerant patients and a single-use product that delivers fentanyl, an opioid analgesic, for transmucosal absorption underneath the tongue. The Company markets Subsys through its field sales force focused on supportive care physicians in the United States. Subsys delivers a liquid fentanyl formulation in approximately 100, 200, 400, 600, 800, 1,200 and 1,600 micrograms (mcg) dosages. The Company’s lead dronabinol product candidate is Syndros, which is under review for approval at the Food and Drug Administration. In addition, the Company is evaluating sublingual spray, inhaled and intravenous formulations of dronabinol in preclinical studies.

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First Internet Bancorp (NASDAQ:INBK) Files An 8-K Regulation FD Disclosure

ME Staff 8-k — Tue, 17 Sep 2019 23:42:20 +0000

First Internet Bancorp (NASDAQ:INBK) Files An 8-K Regulation FD Disclosure
Item 7.01

On September 17, 2019, First Internet Bancorp issued a press release announcing a quarterly cash dividend of $0.06>per common share. A copy of the press release is furnished as Exhibit 99.1 to this report and is incorporated by reference herein.

Item 9.01 Financial Statements and Exhibits

First Internet Bancorp Exhibit
EX-99.1 2 inbk3q2019dividendpressrel.htm EXHIBIT 99.1 Exhibit First Internet Bancorp to Pay Cash DividendFishers,…
To view the full exhibit click here

About First Internet Bancorp (NASDAQ:INBK)

First Internet Bancorp is a bank holding company that conducts its business activities through its subsidiary, First Internet Bank of Indiana (the Bank). The Company offers a complement of products and services on a nationwide basis. The Company conducts its deposit operations primarily over the Internet. The Company also offers commercial real estate (CRE) lending, including nationwide single tenant lease financing and commercial and industrial (C&I) lending, including business banking/treasury management services. The Bank provides commercial and retail banking services, with operations conducted on the Internet at www.firstib.com. It offers residential real estate loans, home equity loans and lines of credit, and consumer loans, and loans to commercial clients, which include commercial loans, commercial real estate loans, letters of credit and single tenant lease financing. The Bank’s subsidiary, JKH Realty Services, LLC manages real estate owned properties.

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ARES CAPITAL CORPORATION (NASDAQ:ARCC) Files An 8-K Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant

ME Staff 8-k — Tue, 17 Sep 2019 23:12:54 +0000

ARES CAPITAL CORPORATION (NASDAQ:ARCC) Files An 8-K Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant
Item 2.03. Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant.

On September 17, 2019, Ares Capital Corporation (the “Company”) issued an additional $250 million aggregate principal amount of its 4.200% notes due 2024 (the “New 2024 Notes”). The New 2024 Notes were issued as additional notes under the Indenture, dated October 21, 2010 (the “Base Indenture”), between the Company and U.S. Bank National Association (the “Trustee”), as supplemented by the Tenth Supplemental Indenture, dated June 10, 2019 (the “Tenth Supplemental Indenture,” and together with the Base Indenture, the “Indenture”), to which, on June 10, 2019, the Company issued $650 million aggregate principal amount of its 4.200% notes due 2024 (the “Existing 2024 Notes”). The New 2024 Notes are being treated as a single series with the Existing 2024 Notes under the Indenture and have the same terms as the Existing 2024 Notes. The New 2024 Notes have the same CUSIP number and are fungible and rank equally with the Existing 2024 Notes.

The New 2024 Notes were issued at a premium of 102.200% of their principal amount, resulting in estimated net proceeds, after estimated offering expenses, of approximately $252.8 million. Aggregate estimated offering expenses in connection with the offering of the New 2024 Notes, including the underwriting discount of $1.5 million, were approximately $2.7 million. The Company expects to use the net proceeds of this offering to repay certain outstanding indebtedness under its debt facilities. The Company may reborrow under its debt facilities for general corporate purposes, which include investing in portfolio companies in accordance with its investment objective.

The New 2024 Notes will mature on June 10, 2024 and may be redeemed in whole or in part at the Company’s option at any time at the redemption prices set forth in the Tenth Supplemental Indenture. The New 2024 Notes bear interest at a rate of 4.200% per year payable semiannually on June 10 and December 10 of each year, commencing on December 10, 2019. The New 2024 Notes are direct senior unsecured obligations of the Company.

The New 2024 Notes were offered and sold to the Registration Statement on Form N-2 (File No. 333-230351), the preliminary prospectus supplement filed with the Securities and Exchange Commission (the “SEC”) on September 10, 2019 and the pricing term sheet filed with the SEC on September 10, 2019. The transaction closed on September 17, 2019.

The foregoing description of the New 2024 Notes does not purport to be complete and is qualified in its entirety by reference to the full text of the Tenth Supplemental Indenture and the accompanying Form of 4.200% Notes due 2024, filed as Exhibits 4.1 and 4.2, respectively, to the Company’s Current Report on Form 8-K filed with the SEC on June 10, 2019 and incorporated by reference herein.

Item 9.01. Financial Statements and Exhibits.

(d) Exhibits:

ARES CAPITAL CORP Exhibit
EX-5.1 2 a19-18718_1ex5d1.htm EX-5.1 Exhibit 5.1 September 17,…
To view the full exhibit click here

About ARES CAPITAL CORPORATION (NASDAQ:ARCC)

Ares Capital Corporation is a specialty finance company that is a closed-end, non-diversified management investment company. The Company’s investment objective is to generate both current income and capital appreciation through debt and equity investments. The Company invests primarily in the United States middle-market companies. The Company invests in first lien senior secured loans (including unitranche loans, which are loans that combine both senior and mezzanine debt, generally in a first lien position), second lien senior secured loans and mezzanine debt, which in some cases includes an equity component. The Company focuses on self-originating most of its investments by pursuing an array of investment opportunities in middle-market companies, venture capital backed businesses and power generation projects across multiple channels. It also makes preferred and/or common equity investments. The Company is externally managed by its investment advisor, Ares Capital Management LLC.

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MODEL N, INC. (NYSE:MODN) Files An 8-K Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers

ME Staff 8-k — Tue, 17 Sep 2019 23:11:18 +0000

MODEL N, INC. (NYSE:MODN) Files An 8-K Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers
Item 5.02. Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers.

Effective September 30, 2019, Neeraj Gokhale’s employment with Model N, Inc. (the “Company”) as Senior Vice President and Chief Product Officer will end.

Item 7.01 Regulation FD Disclosure.

On September 17, 2019, the Company announced it has appointed Suresh Kannan as Senior Vice President, Chief Product Officer, effective September 30, 2019.

The information contained in this Item 7.01 of this current report on Form 8-K shall not be deemed “filed” for purposes of Section 18 of the Securities Exchange Act of 1934, as amended (the “Exchange Act”) or otherwise subject to the liabilities of that section, nor shall it be deemed incorporated by reference in any filing under the Securities Act of 1933, as amended, or the Exchange Act, except as shall be expressly set forth by specific reference in such a filing.

About MODEL N, INC. (NYSE:MODN)

Model N, Inc. is a provider of revenue management solutions for life science and technology companies. The Company’s solutions enable its customers to maximize revenues and reduce revenue compliance risk by transforming their revenue life cycle from a series of tactical, disjointed operations into a strategic end-to-end process. The Company’s solutions include Revenue Enterprise Cloud, Revenue Intelligence Cloud and Revvy Revenue Management. The Company provides solutions that span the organizational and operational boundaries of functions, such as sales, marketing and finance, and serve as a system of record for revenue management processes, including pricing, contracts, rebates, incentives and regulatory compliance. The Company’s application suites are designed to work with enterprise resource planning (ERP) and customer relationship management (CRM) applications. The Company also offers implementation services, managed services, strategic services and customer support.

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CHINA RECYCLING ENERGY CORPORATION (NASDAQ:CREG) Files An 8-K Entry into a Material Definitive Agreement

ME Staff 8-k — Tue, 17 Sep 2019 22:11:33 +0000

CHINA RECYCLING ENERGY CORPORATION (NASDAQ:CREG) Files An 8-K Entry into a Material Definitive Agreement
Item 1.01 Entry into a Material Definitive Agreement

On September 11, 2019, China Recycling Energy Corporation, a Nevada corporation (the “Company”), entered into a Forbearance Agreement (the “Agreement”) with Iliad Research and Trading, L.P., a Utah limited partnership (the “Lender”).

to the Agreement, Lender agreed to withdraw a Redemption Notice delivered by the Lender to the Company on August 1, 2019 which was issued to a Promissory Note issued by the Company to the Lender with an original issuance date of January 31, 2019 (the “Note”). Lender agreed not to make any redemptions to the Note before October 1, 2019. The parties agreed, in the event Lender delivers a Redemption Notice to the Company and the redemption amount set forth therein is not paid in cash to Lender within three (3) trading days, then the applicable redemption amount shall be increased by 25% (the “First Adjustment,” and such increase to the redemption amount, the “First Adjusted Redemption Amount”). In the event the First Adjusted Redemption Amount is not paid within three (3) trading days after the date of First Adjustment, then the First Adjusted Redemption Amount shall be increased in accordance with the following formula: $0.50 divided by the lowest closing trade price of the Common Stock of the Company during the twenty (20) trading days prior to the date of the Second Adjustment and the resulting quotient multiplied by the First Adjusted Redemption Amount (the “Second Adjustment,” and such increase to the First Adjusted Redemption Amount, the “Second Adjusted Redemption Amount”), provided, however, that such formula shall only be applied if the resulting quotient is greater than one (1) and such formula shall in no event be used to reduce the First Adjusted Redemption Amount. Upon payment in cash of the First Adjusted Redemption Amount or Second Adjusted Redemption Amount, the outstanding balance of the Note will be reduced by the original amount set forth in the Redemption Notice.

The foregoing description of the Forbearance Agreement is not complete and is qualified in its entirety by reference to the full text of the Forbearance Agreement, a copy of which is attached hereto as Exhibit 10.1 and incorporated by reference herein.

Item 9.01 Financial Statements and Exhibits

(d) The following exhibits are filed with this report.

10.1	Forbearance Agreement by and between China Recycling Energy Corporation and Iliad Research and Trading, L.P. dated September 11, 2019

CHINA RECYCLING ENERGY CORP Exhibit
EX-10.1 2 f8k091119ex10-1_china.htm FORBEARANCE AGREEMENT BY AND BETWEEN CHINA RECYCLING ENERGY CORPORATION AND ILIAD RESEARCH AND TRADING,…
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About CHINA RECYCLING ENERGY CORPORATION (NASDAQ:CREG)

China Recycling Energy Corporation is engaged in the recycling energy business, providing energy savings and recycling products and services. The Company develops waste energy recycling projects for industrial applications in China. It offers waste energy recycling systems to companies for use in iron and steel, nonferrous metal, cement, coal and petrochemical plants. Its waste pressure-to-energy solution consists of the blast furnace top gas recovery turbine unit (TRT), a system that utilizes high pressure gas emitted from the blast furnace top to drive turbine units and generate electricity. Its waste heat-to-energy solution consists of heat power generation projects for applications in cement, steel, coking coal and nonferrous metal industries, which collect the residual heat from various manufacturing processes, such as the entrance and exit ends of the cement rotary kilns, to generate electricity.

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BIOCARDIA, INC. (OTCMKTS:BCDA) Files An 8-K Other Events

ME Staff 8-k — Tue, 17 Sep 2019 21:38:18 +0000

BIOCARDIA, INC. (OTCMKTS:BCDA) Files An 8-K Other Events
Item 8.01 Other Events.

On September 16, 2019, BioCardia, Inc. (the “Company”) issued a press release announcing that the independent Data Safety Monitoring Board has completed its prespecified data review for the Phase III pivotal CardiAMP Heart Failure Trial, which included safety follow-up results on 35 patients and all additional data available on the 50 patients randomized in the trial as of August 31, 2019. The DSMB indicated there were no safety concerns with the CardiAMP study results and recommended that the trial continue as planned. A copy of the press release is attached hereto as Exhibits 99.1 to this Current Report on Form 8-K and is incorporated herein by reference.

Item 9.01 Financial Statements and Exhibits.

(d) Exhibits

BioCardia, Inc. Exhibit
EX-99.1 2 ex_158035.htm EXHIBIT 99.1 ex_158035.htm Exhibit 99.1 FOR IMMEDIATE RELEASE BIOCARDIA ANNOUNCES POSITIVE DSMB RECOMMENDATION TO CONTINUE PHASE 3 PIVOTAL CARDIAMP HEART FAILURE STUDY AS PLANNED SAN CARLOS,…
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About BIOCARDIA, INC. (OTCMKTS:BCDA)

BioCardia, Inc., formerly Tiger X Medical, Inc., is a clinical-stage regenerative medicine company. The Company is engaged in developing therapeutics for cardiovascular diseases. The Company’s lead therapeutic candidate is the CardiAMP Cell Therapy System (CardiAMP). It focuses on the Phase III trial for CardiAMP in ischemic systolic heart failure. The Company also offers CardiALLO Cell Therapy System (CardiALLO), an allogeneic off the shelf mesenchymal stem cell product candidate from other donors. It focuses on the Phase II trial for CardiALLO for the treatment of ischemic systolic heart failure. The Company focuses on various fields of autologous and allogeneic cell-based therapies to manage the lives of patients with cardiovascular conditions. CardiAMP is a therapeutic treatment that includes a companion diagnostic. It consists of a cell potency screening test, a point of care cell processing platform and a biotherapeutic delivery system.

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New Mountain Finance Corporation (NYSE:NMFC) Files An 8-K Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers

ME Staff 8-k — Tue, 17 Sep 2019 20:37:32 +0000

New Mountain Finance Corporation (NYSE:NMFC) Files An 8-K Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers
Item 5.02. Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers.

About New Mountain Finance Corporation (NYSE:NMFC)

New Mountain Finance Corporation is a closed-end, non-diversified management investment company. The Company’s investment objective is to generate current income and capital appreciation through the sourcing and origination of debt securities at all levels of the capital structure, including first and second lien debt, notes, bonds and mezzanine securities. Its investments may also include equity interests, such as preferred stock, common stock, warrants or options received in connection with its debt investments, or may include a direct investment in the equity of private companies. It makes investments through both primary originations and open-market secondary purchases. Its portfolio includes investments in various sectors, such as software, business services, education, distribution and logistics, federal services, consumer services, healthcare services, media and healthcare products. New Mountain Finance Advisers BDC, L.L.C. is the investment advisor of the Company.

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ACURA PHARMACEUTICALS, INC. (NASDAQ:ACUR) Files An 8-K Results of Operations and Financial Condition

ME Staff 8-k — Tue, 17 Sep 2019 20:08:33 +0000

ACURA PHARMACEUTICALS, INC. (NASDAQ:ACUR) Files An 8-K Results of Operations and Financial Condition
Item 2.02 – Results of Operations and Financial Condition

On September 16, 2019, Acura Pharmaceuticals, Inc. issued a press release announcing its financial results for its fourth quarter ended December 31, 2018. A copy of that press release and the attached financial schedules are attached as Exhibit 99.1 to this report and incorporated herein by reference.

Item 9.01 – Financial Statements and Exhibits

99.1	Press Release of the Registrant dated September 16, 2019

ACURA PHARMACEUTICALS, INC Exhibit
EX-99.1 2 tv529507_ex99-1.htm EXHIBIT 99.1 Exhibit 99.1 Acura Pharmaceuticals Announces Fourth Quarter 2018 and Full Year 2018 Financial Results Palatine,…
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About ACURA PHARMACEUTICALS, INC. (NASDAQ:ACUR)

Acura Pharmaceuticals, Inc. is a pharmaceutical company. The Company is engaged in the research, development and commercialization of technologies and products intended to address medication abuse and misuse. The Company has discovered and developed three platform technologies, which can be used to develop multiple products. The Company’s Oxaydo Tablets (oxycodone HCl, CII), which utilizes the Aversion Technology, is an approved and immediate-release (IR) oxycodone product in the United States. The Company’s Impede technology products include Nexafed and Nexafed Sinus Pressure + Pain. Its third deterrent technology is Limitx, which is designed to retard the release of active drug ingredients when too many tablets are accidently or purposefully ingested. The Company’s Aversion and Limitx technologies are intended to address methods associated with opioid and its Impede technology is directed at the extraction and conversion of pseudoephedrine into methamphetamine.

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CITIZENS COMMUNITY BANCORP, INC. (NASDAQ:CZWI) Files An 8-K Financial Statements and Exhibits

ME Staff 8-k — Tue, 17 Sep 2019 19:37:31 +0000

CITIZENS COMMUNITY BANCORP, INC. (NASDAQ:CZWI) Files An 8-K Financial Statements and Exhibits
Item 9.01(a) and (b) of Form 8-K.

Item 9.01. Financial Statements and Exhibits.

(a) Financial Statements of Businesses Acquired

The audited financial statements of F&M as of and for the year ended December 31, 2018, and notes and report of independent auditors thereto, are filed as Exhibit 99.1 to this Current Report and incorporated by reference herein.

The unaudited balance sheet of F&M as of June 30, 2019, the audited balance sheet as of December 31, 2018, and the unaudited statements of comprehensive income and statements of cash flows for the six months ended June 30, 2019 and June 30, 2018, are filed as Exhibit 99.2 to this Current Report and incorporated by reference herein.

(b) Pro Forma Financial Information.

The unaudited pro forma condensed combined balance sheet as of June 30, 2019, and the unaudited pro forma condensed combined statements of comprehensive income for the year ended September 30, 2018 and six months ended June 30, 2019, and notes thereto, are filed as Exhibit 99.3 to this Current Report and incorporated by reference herein.

(d) Exhibits.

Citizens Community Bancorp Inc. Exhibit
EX-23.1 2 ex231consent8kafmbancorp.htm EXHIBIT 23.1 ex231consent8kafmbancorp Exhibit 23.1 CONSENT OF INDEPENDENT AUDITOR We consent to the use in this Registration Statement on Form 8-K/A of Citizens Community Bancorp,…
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About CITIZENS COMMUNITY BANCORP, INC. (NASDAQ:CZWI)

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ULTRA PETROLEUM CORP. (OTCMKTS:UPLMQ) Files An 8-K Entry into a Material Definitive Agreement

ME Staff 8-k — Tue, 17 Sep 2019 19:08:09 +0000

ULTRA PETROLEUM CORP. (OTCMKTS:UPLMQ) Files An 8-K Entry into a Material Definitive Agreement
Item 1.01.

As previously disclosed, on April 12, 2017, Ultra Resources, Inc. (“Ultra Resources”), the borrower and a subsidiary of Ultra Petroleum Corp. (the “Company”), entered into that certain Credit Agreement (as amended through December 21, 2018, the “Credit Agreement”), with the Company and UP Energy Corporation, as parent guarantors, Bank of Montreal, as administrative agent (the “Agent”), and the other lenders party thereto (collectively, the “Lenders”), providing for the Company’s revolving credit facility (the “Credit Facility”).

On September 16, 2019, Ultra Resources entered into a Fifth Amendment to Credit Agreement (the “Fifth Amendment”) with the Agent and the Lenders party thereto. to the Fifth Amendment and the fall borrowing base redetermination, the Borrowing Base (as defined in the Credit Agreement) was reduced to $1.175 billion, with $200 million attributed to the Credit Agreement. The $200 million commitment for the Credit Facility automatically reduces to $120 million on February 29, 2020, concurrently with the anticipated paydown of outstanding borrowings under the Credit Facility. The next scheduled semi-annual borrowing base redetermination is in the spring of 2020.

The Fifth Amendment also provides for, among other items, the following changes to certain covenants and other provisions of the Credit Agreement:

The foregoing description of the Fifth Amendment does not purport to be complete and is subject to, and qualified in its entirety by reference to, the full text of the Fifth Amendment, which is filed as Exhibit 10.1 to this Current Report on Form 8-K and is incorporated by reference in this Item 1.01.

Cautionary Note Regarding Forward-Looking Statements

This Current Report on Form 8-K, including the exhibits hereto, include “forward-looking statements” within the meaning of Section 27A of the Securities Act and Section 21E of the Exchange Act. Any statement, including any opinions, forecasts, projections or other statements, other than statements of historical fact, are or may be forward-looking statements. Although the Company believes the expectations reflected in any forward-looking statements herein are reasonable, the Company can give no assurance that such expectations will prove to have been correct and actual results may differ materially from those projected or reflected in such statements. Certain risks and uncertainties inherent in the Company’s business as well as risks and uncertainties related to its operational and financial results are set forth in its filings with the Securities and Exchange Commission (the “SEC”), particularly in the section entitled “Risk Factors” included in the Company’s most recent Annual Report on Form 10-K for the most recent fiscal year, its most recent Quarterly Reports on Form 10-Q, and from time to time in other filings made by the Company with the SEC. Some of these risks and uncertainties include, but are not limited to, the Company’s ability to decrease its leverage or fixed charges, increased competition, the timing and extent of changes in prices for oil and gas, particularly in the areas where the Company owns properties, conducts operations, and markets its production, as well as the timing and extent of the Company’s success in discovering, developing, producing and estimating oil and gas reserves, weather and government regulation, and the availability of oil field services, personnel and equipment. You are cautioned not to place undue reliance on these forward-looking statements, which speak only as of the date of this Current Report on Form 8-K. All forward-looking statements in this Current Report on Form 8-K are qualified in their entirety by these cautionary statements. Except as required by law, the Company undertakes no obligation and does not intend to update or revise any forward-looking statements, whether as a result of new information, future results or otherwise.

The relevant information set forth in Item 1.01 and Item 8.01 of this Current Report on Form 8-K is incorporated by reference in this Item 2.03.

On September 16, 2019, the Company issued a press release announcing, among other things, the entry into the Fifth Amendment. A copy of the press release is attached hereto as Exhibit 99.1 and is incorporated by reference into this Item 7.01.

The information contained or incorporated in this Item 7.01 shall not be deemed to be “filed” for purposes of Section 18 of the Securities Exchange Act of 1934, as amended (the “Exchange Act”), or otherwise subject to the liabilities of that section, and shall not be deemed to be incorporated by reference into any of the Company’s filings under the Securities Act of 1933, as amended (the “Securities Act”), or the Exchange Act, whether made before or after the date hereof and regardless of any general incorporation language in such filings, except to the extent expressly set forth by specific reference in such a filing.

(d) Exhibits.

99.1

Press release of Ultra Petroleum Corp., dated September 16, 2019, regarding entry into the Fifth Amendment.

ULTRA PETROLEUM CORP Exhibit
EX-10.1 2 d770858dex101.htm EX-10.1 EX-10.1 Exhibit 10.1 FIFTH AMENDMENT TO CREDIT AGREEMENT THIS FIFTH AMENDMENT TO CREDIT AGREEMENT (this “Amendment”) is made as of September [16],…
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About ULTRA PETROLEUM CORP. (OTCMKTS:UPLMQ)

Ultra Petroleum Corp. is an independent oil and gas company. The Company is engaged in the development, production, operation, exploration and acquisition of oil and natural gas properties. The Company operates in natural gas and oil exploration and development industry, with geographical segment, the United States. It owns oil and natural gas leases in Wyoming, Utah and Pennsylvania. In Colorado, the Company owns oil and natural gas leases, as well as fee oil and gas rights. The Company focuses on developing its natural gas reserves in the Green River Basin of southwest Wyoming, the Pinedale and Jonah fields; its oil reserves in the Uinta Basin in Utah, and its natural gas reserves in the Appalachian Basin of Pennsylvania. The Company owns interests in approximately 104,000 gross (approximately 68,000 net) acres in Wyoming covering approximately 190 square miles.

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CRACKER BARREL OLD COUNTRY STORE, INC. (NASDAQ:CBRL) Files An 8-K Results of Operations and Financial Condition

ME Staff 8-k — Tue, 17 Sep 2019 18:38:32 +0000

CRACKER BARREL OLD COUNTRY STORE, INC. (NASDAQ:CBRL) Files An 8-K Results of Operations and Financial Condition
Item 2.02.

CRACKER BARREL OLD COUNTRY STORE, INC Exhibit
EX-99.1 2 d804517dex991.htm EX-99.1 EX-99.1 Exhibit 99.1 Investor Contact: Adam Hanan (615) 443-9887 Media Contact: Janella Escobar (615) 235-4618 CRACKER BARREL REPORTS STRONG FOURTH QUARTER AND FULL YEAR FISCAL 2019 RESULTS Comparable store restaurant sales growth and traffic outperform the casual dining industry Earnings exceeded expectations LEBANON,…
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About CRACKER BARREL OLD COUNTRY STORE, INC. (NASDAQ:CBRL)

Cracker Barrel Old Country Store, Inc. is engaged in the operation and development of the Cracker Barrel Old Country Store concept (Cracker Barrel). The Company’s segments include Restaurant and Retail. As of September 19, 2016, the Company operated 640 Cracker Barrel stores in 43 states. The format of its stores consists of a rustic old country-store design offering a restaurant menu that features home-style country food and a range of decorative and functional items, such as rocking chairs, holiday and seasonal gifts and toys, apparel, cookware and foods. Its restaurants offer home-style country cooking featuring of its own recipes. Its restaurants serve breakfast, lunch and dinner. Its breakfast items include juices, eggs, pancakes, grits, and a range of biscuit specialties. Its lunch and dinner items include country ham, chicken and dumplings, chicken fried chicken, meatloaf, fresh side items and specialty items, such as pinto beans and turnip greens.

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National CineMedia, Inc. (NASDAQ:NCMI) Files An 8-K Entry into a Material Definitive Agreement

ME Staff 8-k — Tue, 17 Sep 2019 17:37:24 +0000

National CineMedia, Inc. (NASDAQ:NCMI) Files An 8-K Entry into a Material Definitive Agreement
Item 1.01 Entry into a Material Definitive Agreement>

On September 17, 2019, National CineMedia, LLC (“NCM LLC”) and each of Cinemark USA, Inc. (“Cinemark”) and Regal Cinemas, Inc. (“Regal”) entered into amendments to the Amended and Restated Exhibitor Services Agreements (“ESAs”) between NCM LLC and each of Cinemark and Regal, respectively. The amendments to the ESAs extend the terms of the ESAs and modify the program distributed by NCM LLC through its Digital Content Network for exhibition in Cinemark and Regal theaters (the “Pre-Feature Program”).

Extended Term of the ESAs. NCM LLC and each of Cinemark and Regal extended the term of the respective ESA by an additional four years from February 13, 2037 to February 13, 2041.

Post-Showtime Advertising. Beginning on November 1, 2019, NCM LLC will be entitled to display up to five minutes of its Pre-Feature Program after the scheduled showtime of a feature film (“Post-Showtime Inventory”). The amount of time included in the Pre-Feature Program displayed prior to showtime will be reduced by the sum of five minutes plus the aggregate length of time of any Platinum Spot, as described further below.

In consideration for utilization of the theaters post-showtime, Cinemark and Regal will be entitled to receive post-showtime theater access fees. These fees are based upon Cinemark\’s or Regal’s attendance and a post-showtime theater access fee per patron. NCM LLC will pay a post-showtime theater access fee to Cinemark and Regal as follows: (i) beginning on November 1, 2019, $0.025 per patron, (ii) beginning on November 1, 2020, $0.0375 per patron, (iii) beginning on November 1, 2021, $0.05 per patron, (iv) beginning on November 1, 2022, the post-showtime theater access fee per patron will increase by 4 percent and (v) beginning on November 1, 2027 and every five years thereafter on November 1, the post-showtime theater access fee per patron will increase by 8 percent.

Platinum Spot.>Beginning on November 1, 2019, NCM LLC will be entitled to display an additional single unit that is either 30 or 60 seconds of the Pre-Feature Program in the trailer position directly prior to the “attached” trailers preceding the feature film (the “Platinum Spot”). The “attached” trailers are those provided by studios to Cinemark and Regal that are with the feature film, which is at least one trailer, but sometimes two trailers.>

In consideration for the utilization of the theaters post-showtime for Platinum Spots, Cinemark and Regal will be entitled to receive 25 percent of all revenue generated for the actual display of Platinum Spots in their applicable theaters, subject to a specified minimum. If NCM LLC runs advertising in more than one concurrent advertisers’ Platinum Spot for any portion of the network over a period of time, then NCM LLC will be required to satisfy a minimum average CPM for that period of time.

Beverage Slot.>The beverage agreement advertising rate related to the beverage slot at Cinemark and Regal theaters will increase by two percent annually, effective beginning the first day of the 2020 fiscal year and thereafter on the first day of each subsequent fiscal year.

Optional Termination of Amendments.>In its sole discretion, NCM LLC may, by written notice to each of Cinemark and Regal no later than August 1, 2022, terminate the amendments effective November 1, 2022. If NCM LLC exercises such termination option, then as of November 1, 2022, the ESAs will revert to the terms that were effective immediately prior to the amendments, other than certain changes to the confidentiality provision.

The terms of the ESA amendments were approved by the Board of Directors of National CineMedia, Inc. (“NCM, Inc.”), which serves as sole manager of NCM LLC, and by a committee of disinterested directors of the NCM, Inc. Board of Directors. The committee engaged its own separate legal counsel and financial advisors to advise it regarding the ESA amendments. The committee received a fairness opinion in connection with the ESA amendments.

The foregoing description of the terms and conditions of the amendments to the ESAs does not purport to be complete and is qualified in its entirety by reference to the amendments, copies of which are attached as Exhibits 10.1 and 10.2 hereto and incorporated herein by reference. Descriptions of the ESAs and certain relationships between NCM LLC and each of Cine

mark and Regal can be found in the definitive proxy statement filed by NCM, Inc. on March 14, 2019 under “Certain Relationships and Related Party Transactions – Transactions with Founding Members.”

Item 7.01 Regulation FD Disclosure.

NCM LLC has scheduled a conference call and audio webcast to discuss the ESA amendments at 9 a.m. Eastern Time on Tuesday, September 17, 2019. An updated investor presentation of NCM, Inc. will also be available at NCM, Inc.’s website at http://investor.ncm.com>under “Featured Documents.”

The information on NCM’s website is not incorporated by reference into this Current Report on Form 8-K. The information in this Item 7.01 shall not be deemed “filed” for purposes of Section 18 of the Securities Exchange Act of 1934, as amended, nor shall it be deemed incorporated by reference in any filing under the Securities Act of 1933, as amended, except as shall be expressly set forth by reference to such filing.

(d) Exhibits.

National CineMedia, Inc. Exhibit
EX-10.1 2 ex101cinemarkesaamendment.htm EX 10.1 Exhibit Exhibit 10.1FINAL NOTE: CERTAIN IDENTIFIED INFORMATION HAS BEEN EXCLUDED FROM THIS EXHIBIT BECAUSE IT IS NOT MATERIAL AND WOULD LIKELY CAUSE COMPETITIVE HARM TO THE REGISTRANT IF PUBLICLY DISCLOSED. “[***]” INDICATES THAT INFORMATION HAS BEEN REDACTED.FIRST AMENDMENT TOAMENDED AND RESTATED EXHIBITOR SERVICES AGREEMENTThis First Amendment to Amended and Restated Exhibitor Services Agreement (this “Amendment”),…
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About National CineMedia, Inc. (NASDAQ:NCMI)

National CineMedia, Inc. (NCM, Inc.) is a holding company that manages its consolidated subsidiary National CineMedia, LLC (NCM LLC). NCM LLC operates the digital in-theatre media network in North America, through which it sells in-theatre and online advertising and promotions. The Company is engaged in advertising business. It operates through advertising segment. The Company’s advertising and entertainment pre-show, FirstLook, lobby entertainment network (LEN) and programming are distributed across its digital content network (DCN) utilizing its digital content software (DCS). NCM, Inc. has no business operations or material assets. Its on-screen digital FirstLook pre-feature show consists of national and local advertising, as well as behind the scenes making-of and other entertainment content provided by its content partners and other clients. The Company’s Lobby Entertainment Network (LEN) has approximately 3,104 screens in over 1,519 theatres connected to its DCN.

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10x Genomics (NYSE:TXG) Insider Trading Activity – Major Shareholder Bought 187,500 shares of Stock

ME Staff — Tue, 17 Sep 2019 17:20:28 +0000

Insider Trading Activity For 10x Genomics (NYSE:TXG)

Foresite Capital Fund I, L.P. , Major Shareholder of 10x Genomics (NYSE:TXG) reportedly Bought 187,500 shares of the company’s stock at an average price of 39 for a total transaction amount of $7,312,500.00 SEC Form

Recent Trading Activity for 10x Genomics (NYSE:TXG)
Shares of 10x Genomics closed the previous trading session at with 56.21 shares trading hands.

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Adverum Biotechnologies Inc (NASDAQ:ADVM) price target raised to $8.00 by Cantor Fitzgerald

ME Staff — Tue, 17 Sep 2019 17:19:35 +0000

Analyst Ratings For Adverum Biotechnologies Inc (NASDAQ:ADVM)

Today, Cantor Fitzgerald raised its price target on Adverum Biotechnologies Inc (NASDAQ:ADVM) to $8.00 per share.

There are 4 Hold Ratings, 2 Buy Ratings, no Strong Buy Ratings, no Sell Ratings on the stock.

The current consensus rating on Adverum Biotechnologies Inc (NASDAQ:ADVM) is Hold with a consensus target price of $8.50 per share, a potential 35.57% upside.

Some recent analyst ratings include

7/9/2019-Adverum Biotechnologies Inc (NASDAQ:ADVM) had its Buy rating reiterated by Cowen
6/13/2019-Adverum Biotechnologies Inc (NASDAQ:ADVM) has coverage initiated with a Mkt Perform ➝ Market Perform rating

On 5/6/2019 James Paul Scopa, Director, bought 20,000 with an average share price of $6.71 per share and the total transaction amounting to $134,200.00.
On 6/8/2015 Mehdi Gasmi, VP, sold 500 with an average share price of $38.64 per share and the total transaction amounting to $19,320.00.
On 6/8/2015 Paul Wachter, Director, sold 1,192 with an average share price of $38.64 per share and the total transaction amounting to $46,058.88.
On 5/26/2015 Paul Wachter, Director, sold 1,192 with an average share price of $36.94 per share and the total transaction amounting to $44,032.48.
On 5/22/2015 Steven Daniel Schwartz, Director, sold 16,875 with an average share price of $38.38 per share and the total transaction amounting to $647,662.50.
On 5/13/2015 Linda Bain, CFO, sold 285 with an average share price of $34.94 per share and the total transaction amounting to $9,957.90.
On 5/13/2015 Mark S Blumenkranz, Director, sold 715 with an average share price of $34.94 per share and the total transaction amounting to $24,982.10.

Recent Trading Activity for Adverum Biotechnologies Inc (NASDAQ:ADVM)
Shares of Adverum Biotechnologies Inc closed the previous trading session at 6.16 −0.13 2.15% with 5.89 shares trading hands.

The post Adverum Biotechnologies Inc (NASDAQ:ADVM) price target raised to $8.00 by Cantor Fitzgerald appeared first on Market Exclusive.

ImmuCell Corporation (NASDAQ:ICCC) Files An 8-K Entry into a Material Definitive Agreement

ME Staff 8-k — Tue, 17 Sep 2019 17:08:38 +0000

ImmuCell Corporation (NASDAQ:ICCC) Files An 8-K Entry into a Material Definitive Agreement
Item 1.01. Entry into a Material Definitive Agreement

On September 12, 2019, ImmuCell Corporation (the Company) entered into a lease covering approximately 14,300 square feet of office and warehouse space effective approximately November 1, 2019. The space will be utilized to enable the Company’s plan to increase the production capacity of the First Defense^® product line. The full text of the press release issued in connection with the announcement is attached as Exhibit 99.1 to this Current Report on Form 8-K.

The information shall not be deemed “filed” for purposes of Section 18 of the Securities Exchange Act of 1934 (the “Exchange Act”) or otherwise subject to liabilities of that section, nor shall it be deemed incorporated by reference in any filing under the Securities Act of 1933 or the Exchange Act, except as expressly set forth by specific reference in such filing.

Item 9.01. Financial Statements and Exhibits.

(d) Exhibits.

The following exhibits relating to Item 1.01 shall be deemed to be furnished, and not filed:

99.1	Press Release of ImmuCell Corporation dated September 17, 2019.
99.2	Indenture of lease for premises located in Portland, Maine between TVP, LLC as Landlord and ImmuCell Corporation as Tenant, dated as of September 12, 2019.

IMMUCELL CORP /DE/ Exhibit
EX-99.1 2 f8k091219ex99-1_immucell.htm PRESS RELEASE OF IMMUCELL CORPORATION DATED SEPTEMBER 17,…
To view the full exhibit click here

About ImmuCell Corporation (NASDAQ:ICCC)

ImmuCell Corporation is an animal health company. The Company operates in the development, acquisition, manufacture and sale of products that improve the health and productivity of cows for the dairy and beef industries segment. The Company has developed products that provide immediate immunity to newborn dairy and beef cattle, and is developing product line extensions of its existing products that address mastitis. The Company’s lead product, First Defense, is manufactured from cows’ colostrum utilizing its vaccine and milk protein purification technologies. Its Wipe Out Dairy Wipes are made from a non-woven fabric that allows for a vigorous cleaning. It also developed California Mastitis Test (CMT), which is used for bulk tank, as well as individual cow sample monitoring and is used to determine which quarter of the udder is mastitic. Its product development initiative is Mast Out, a Nisin-based intramammary treatment of subclinical mastitis in lactating dairy cows.

The post ImmuCell Corporation (NASDAQ:ICCC) Files An 8-K Entry into a Material Definitive Agreement appeared first on Market Exclusive.

EVOKE PHARMA, INC. (NASDAQ:EVOK) Files An 8-K Other Events

ME Staff 8-k — Tue, 17 Sep 2019 17:07:53 +0000

EVOKE PHARMA, INC. (NASDAQ:EVOK) Files An 8-K Other Events
Item 8.01Other Events.

On September 17, 2019, Evoke Pharma, Inc. (“Evoke” or “Company”) announced that it has completed manufacturing commercial scale batches of its product candidate Gimoti (metoclopramide nasal spray) with its partner Thermo Fisher Scientific, a leading global contract development and manufacturing organization that specializes in the preparation, fill and finish of nasal spray products.

Evoke plans to collect Chemistry, Manufacturing and Controls (“CMC”) data from these registration batches, which were requested in the complete response letter (“CRL”) from the U.S. Food and Drug Administration (“FDA”). These data will be used to support the proposed acceptance criteria for droplet size distribution and other performance characteristics and device quality control and will be included in Evoke’s planned resubmission of the 505(b)(2) New Drug Application (“NDA”) for Gimoti in the fourth quarter of this year.

Safe Harbor Statement

The Company cautions you that statements included in this report that are not a description of historical facts are forward-looking statements. In some cases, you can identify forward-looking statements by terms such as “may,” “will,” “should,” “expect,” “plan,” “anticipate,” “could,” “intend,” “target,” “project,” “contemplates,” “believes,” “estimates,” “predicts,” “potential” or “continue” or the negatives of these terms or other similar expressions. These statements are based on the Company’s current beliefs and expectations. These forward-looking statements include statements regarding: the Company’s plans to use the CMC data from the registration batches to support the resubmission of the Gimoti NDA; the addressability of the approvability issues cited by FDA in the CRL, including with respect to the performance characteristics and root cause analysis regarding the pharmacokinetic variability; and the potential for an NDA resubmission in the fourth quarter. The inclusion of forward-looking statements should not be regarded as a representation by the Company that any of its plans will be achieved. Actual results may differ from those set forth in this report due to the risks and uncertainties inherent in the Company’s business, including, without limitation: the CMC data from the registration batches may not support the acceptance criteria for droplet size distribution and other performance characteristics and device quality control; Evoke may be unable to timely and successfully address the deficiencies raised in the CRL, including as a result of adverse findings from a root cause analysis or data from the completed registration manufactured product batches; FDA may not agree with the Company’s conclusion of the root cause analysis or analysis of the CMC data from the registration batches or may require the Company to conduct additional studies; the inherent risks of clinical development of Gimoti; the Company’s dependence on third parties for the manufacture of Gimoti and analysis of the PK data; the Company is entirely dependent on the success of Gimoti, and the Company cannot be certain that FDA will accept or approve an NDA resubmission for Gimoti; The Company will require substantial additional funding to address the deficiencies raised in the CRL, and may be unable to raise capital or obtain funds when needed, including to fund ongoing operations; the Company could face significant additional costs due to litigation or other events; the Company’s ability to maintain the continued listing of its common stock on the Nasdaq Capital Market; and other risks detailed in the Company’s prior reports filed with the Securities and Exchange Commission. You are cautioned not to place undue reliance on these forward-looking statements, which speak only as of the date hereof, and the Company undertakes no obligation to revise or update this report to reflect events or circumstances after the date hereof. All forward-looking statements are qualified in their entirety by this cautionary statement. This caution is made under the safe harbor provisions of the Private Securities Litigation Reform Act of 1995.

About EVOKE PHARMA, INC. (NASDAQ:EVOK)

Evoke Pharma, Inc. is a specialty pharmaceutical company. The Company is focused primarily on the development of drugs to treat gastrointestinal (GI) disorders and diseases. The Company is developing EVK-001, a metoclopramide nasal spray for the relief of symptoms associated with acute and recurrent diabetic gastroparesis in women. EVK-001 is a formulation of Metoclopramide drug, designed to provide systemic delivery of metoclopramide through intranasal administration. The Company has evaluated EVK-001 in a multicenter, randomized, double-blind, placebo-controlled parallel group, dose-ranging Phase IIb clinical trial. The Company has commenced a Phase III clinical trial of EVK-001 in female patients with symptoms associated with acute and recurrent diabetic gastroparesis. The Phase III clinical trial is a multicenter, randomized, double-blind, placebo-controlled, parallel-group study evaluating the efficacy, safety and population pharmacokinetics of EVK-001 in adult females.

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GALECTIN THERAPEUTICS INC. (NASDAQ:GALT) Files An 8-K Other Events

ME Staff 8-k — Tue, 17 Sep 2019 16:38:15 +0000

GALECTIN THERAPEUTICS INC. (NASDAQ:GALT) Files An 8-K Other Events
Item 8.01

On September 17, 2019, the Company issued the press release attached hereto as Exhibit 99.1.

SECTION 9 – FINANCIAL STATEMENTS AND EXHIBITS

Press release

– 2 –

GALECTIN THERAPEUTICS INC Exhibit
EX-99.1 2 d805635dex991.htm EX-99.1 EX-99.1 Exhibit 99.1 Galectin Therapeutics,…
To view the full exhibit click here

About GALECTIN THERAPEUTICS INC. (NASDAQ:GALT)

Galectin Therapeutics Inc. is a clinical-stage biopharmaceutical company engaged in drug research and development to create therapies for fibrotic disease and cancer. The Company’s drug candidates are based on its method of targeting galectin proteins, which are mediators of biologic and pathologic functions. It uses naturally occurring, readily-available plant materials as starting material in manufacturing processes to create complex carbohydrates with specific molecular weights and other pharmaceutical properties. The Company has two product candidates, GR-MD-02 and GM-CT-01. The Company’s galectin-3 inhibitor is GR-MD-02. The Company is focusing on development of GR-MD-02 intended to be used in the treatment of liver fibrosis associated with fatty liver disease (NASH), moderate to severe plaque psoriasis and in cancer therapy in combination with immune-system modifying agent(s). GM-CT-01 is a compound that continues to be explored in preclinical studies.

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Altair Engineering Inc (NASDAQ:ALTR) Insider Trading Activity – Insider Sold 8,000 shares of Stock

ME Staff — Tue, 17 Sep 2019 15:21:17 +0000

Insider Trading Activity For Altair Engineering Inc (NASDAQ:ALTR)

James Dagg , Insider of Altair Engineering Inc (NASDAQ:ALTR) reportedly Sold 8,000 shares of the company’s stock at an average price of 35 for a total transaction amount of $280,000.00 SEC Form

Insider Trading History For Altair Engineering Inc (NASDAQ:ALTR)

On 8/9/2012 George A Papa, VP, sold 10,000 with an average share price of $36.93 per share and the total transaction amounting to $369,300.00.

On 9/5/2012 William Hata, SVP, sold 21,059 with an average share price of $36.68 per share and the total transaction amounting to $772,444.12.

On 9/14/2012 Katherine Schuelke, SVP, sold 5,000 with an average share price of $38.46 per share and the total transaction amounting to $192,300.00.

On 5/16/2013 Susan Wang, Director, sold 55,833 with an average share price of $33.75 per share and the total transaction amounting to $1,884,363.75.

On 5/16/2013 Ronald J Pasek, CFO, sold 14,436 with an average share price of $33.69 per share and the total transaction amounting to $486,348.84.

On 5/16/2013 Kevin H Lyman, SVP, sold 2,021 with an average share price of $33.53 per share and the total transaction amounting to $67,764.13.

On 6/4/2013 William Hata, SVP, sold 20,000 with an average share price of $33.87 per share and the total transaction amounting to $677,400.00.

Analyst Ratings History For Altair Engineering Inc (NASDAQ:ALTR)

On 3/22/2018 Citigroup Boost Price Target of rating Buy with a price target of $37.00
On 6/15/2018 Berenberg Bank Boost Price Target of rating Buy with a price target of $43.00
On 8/10/2018 Royal Bank of Canada Boost Price Target of rating Sector Perform to Sector Perform with a price target of $38.00 to $40.00
On 8/23/2018 William Blair Reiterated Rating Outperform
On 11/13/2018 Canaccord Genuity Reiterated Rating Hold with a price target of $36.00
On 3/19/2019 Guggenheim Initiated Coverage of rating Neutral to Neutral with a price target of $37.70
On 8/9/2019 Deutsche Bank Downgraded rating Buy to Hold with a price target of $36.00

Dividend Information For Altair Engineering Inc (NASDAQ:ALTR)
and an average dividend growth of 10/22/2015.

Dividend History For Altair Engineering Inc (NASDAQ:ALTR)

On 1/23/2013 Altair Engineering Inc announced a quarterly dividend of $0.10 1.19% with an ex dividend date of 2/7/2013 which will be payable on 3/1/2013.

On 4/26/2013 Altair Engineering Inc announced a quarterly dividend of $0.10 1.28% with an ex dividend date of 5/8/2013 which will be payable on 6/3/2013.

On 6/3/2013 Altair Engineering Inc announced a quarterly dividend of $0.15 1.78% with an ex dividend date of 8/8/2013 which will be payable on 9/3/2013.

On 10/23/2013 Altair Engineering Inc announced a quarterly dividend of $0.15 1.86% with an ex dividend date of 11/7/2013 which will be payable on 12/2/2013.

On 1/23/2014 Altair Engineering Inc announced a quarterly dividend of $0.15 1.87% with an ex dividend date of 2/6/2014 which will be payable on 3/3/2014.

On 4/24/2014 Altair Engineering Inc announced a quarterly dividend of $0.15 1.81% with an ex dividend date of 5/8/2014 which will be payable on 6/2/2014.

On 7/24/2014 Altair Engineering Inc announced a quarterly dividend of $0.18 2.15% with an ex dividend date of 8/7/2014 which will be payable on 9/2/2014.

Recent Trading Activity for Altair Engineering Inc (NASDAQ:ALTR)
Shares of Altair Engineering Inc closed the previous trading session at 34.66 up +0.46 1.33% with shares trading hands.

The post Altair Engineering Inc (NASDAQ:ALTR) Insider Trading Activity – Insider Sold 8,000 shares of Stock appeared first on Market Exclusive.

Aileron Therapeutics Inc (NASDAQ:ALRN) Insider Trading Activity – Director Bought 113,145 shares of Stock

ME Staff — Tue, 17 Sep 2019 15:20:37 +0000

Insider Trading Activity For Aileron Therapeutics Inc (NASDAQ:ALRN)

Rickenbach Josef H Von , Director of Aileron Therapeutics Inc (NASDAQ:ALRN) reportedly Bought 113,145 shares of the company’s stock at an average price of 0.98 for a total transaction amount of $110,882.10 SEC Form

Insider Trading History For Aileron Therapeutics Inc (NASDAQ:ALRN)

On 7/5/2017 Reinhard J Ambros, Director, bought 266,667 with an average share price of $15.00 per share and the total transaction amounting to $4,000,005.00.

On 7/5/2017 Lilly Ventures Fund I Llc, Insider, bought 250,000 with an average share price of $15.00 per share and the total transaction amounting to $3,750,000.00.

On 7/5/2017 Cvf, Llc, Major Shareholder, bought 180,000 with an average share price of $15.00 per share and the total transaction amounting to $2,700,000.00.

On 1/9/2018 Apple Tree Partners Ii Lp, Major Shareholder, sold 150,000 with an average share price of $9.80 per share and the total transaction amounting to $1,470,000.00.

On 4/19/2018 Apple Tree Partners Ii Lp, Major Shareholder, sold 107,904 with an average share price of $6.31 per share and the total transaction amounting to $680,874.24.

On 6/1/2018 Donald Dougherty, CFO, bought 2,000 with an average share price of $5.24 per share and the total transaction amounting to $10,480.00.

On 6/6/2018 Manuel Aivado, Insider, bought 1,000 with an average share price of $5.61 per share and the total transaction amounting to $5,610.00.

Analyst Ratings History For Aileron Therapeutics Inc (NASDAQ:ALRN)

On 4/9/2019 Canaccord Genuity Lower Price Target of rating Positive to Buy with a price target of $5.00
On 5/6/2019 William Blair Reiterated Rating Outperform
On 9/11/2019 HC Wainwright Reiterated Rating Buy with a price target of $6.00

Recent Trading Activity for Aileron Therapeutics Inc (NASDAQ:ALRN)
Shares of Aileron Therapeutics Inc closed the previous trading session at 0.98 up +0.00040 0.041% with 1.05 shares trading hands.

The post Aileron Therapeutics Inc (NASDAQ:ALRN) Insider Trading Activity – Director Bought 113,145 shares of Stock appeared first on Market Exclusive.

GTY TECHNOLOGY HOLDINGS INC. (NASDAQ:GTYH) Files An 8-K Submission of Matters to a Vote of Security Holders

ME Staff 8-k — Tue, 17 Sep 2019 15:07:40 +0000

GTY TECHNOLOGY HOLDINGS INC. (NASDAQ:GTYH) Files An 8-K Submission of Matters to a Vote of Security Holders

About GTY TECHNOLOGY HOLDINGS INC. (NASDAQ:GTYH)

GTY Technology Holdings Inc. is a blank check company. The Company was formed for the purpose of effecting a merger, share exchange, asset acquisition, share purchase, reorganization or similar business combination with one or more businesses. The Company will seek to capitalize on the significant experience and contacts of its management team in consummating an initial business combination. The Company intends to identify, acquire and operate a business in the technology industry, including software and services that may provide the opportunity to unlock the value of a private company and provide opportunities for an attractive risk adjusted return to its shareholders. The Company is a Cayman Islands exempted company. As of October 26, 2016, the Company had conducted no operations. As of October 26, 2016, the Company had not generated any revenues.

The post GTY TECHNOLOGY HOLDINGS INC. (NASDAQ:GTYH) Files An 8-K Submission of Matters to a Vote of Security Holders appeared first on Market Exclusive.

Barrick Gold Corp (TSE:ABX) price target raised to C$22.00 by Canaccord Genuity

ME Staff — Tue, 17 Sep 2019 14:16:53 +0000

Analyst Ratings For Barrick Gold Corp (TSE:ABX)

Today, Canaccord Genuity raised its price target on Barrick Gold Corp (TSE:ABX) to C$22.00 per share.

There are 3 Buy Ratings, 2 Hold Ratings, no Strong Buy Ratings, no Sell Ratings on the stock.

The current consensus rating on Barrick Gold Corp (TSE:ABX) is Buy with a consensus target price of C$21.24 per share, a potential 10.27% downside.

Some recent analyst ratings include

9/13/2019-Barrick Gold Corp (TSE:ABX) had its Outperform rating reiterated by Macquarie with a C$28.50 price target
7/4/2019-Barrick Gold Corp (TSE:ABX) had its Outperform rating reiterated by BMO Capital Markets with a C$20.00 price target
3/13/2019-Barrick Gold Corp (TSE:ABX) gets upgraded to Buy by Desjardins with a price target of C$22.00
2/27/2019-Barrick Gold Corp (TSE:ABX) had its Hold rating reiterated by GMP Securities with a C$17.15 price target

Recent Trading Activity for Barrick Gold Corp (TSE:ABX)
Shares of Barrick Gold Corp closed the previous trading session at 23.71 up +1.11 4.91% with shares trading hands.

The post Barrick Gold Corp (TSE:ABX) price target raised to C$22.00 by Canaccord Genuity appeared first on Market Exclusive.

UNISYS CORPORATION (LON:USY) Files An 8-K Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers

ME Staff 8-k — Tue, 17 Sep 2019 14:07:25 +0000

UNISYS CORPORATION (LON:USY) Files An 8-K Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers
Item 5.02. Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers.

On September 14, 2019, the Board of Directors of Unisys Corporation (the “Company”) elected Michael M. Thomson to serve as the Company’s Senior Vice President, Chief Financial Officer and Corporate Controller.

Mr. Thomson, age 51, has been serving as the Company’s interim Chief Financial Officer since April 2019 and as the Company’s Vice President and Corporate Controller since 2015. In this role, Mr. Thomson will serve as the Company’s principal financial and accounting officer. Prior to joining Unisys, Mr. Thomson served as Controller of Towers Watson & Co. from 2010 until 2015, and he previously held the same position at Towers Perrin from 2007 until the consummation of that firm’s merger with Watson Wyatt in 2010. He also served as principal accounting officer of Towers Watson from 2012 until October 2015. Prior to that, Mr. Thomson worked for Towers Perrin as Director of Financial Systems from 2001 to 2004 and then Assistant Controller from 2004 to 2007. Prior to joining Towers Perrin, Mr. Thomson was with RCN Corporation, where he served as Director of Financial Reporting & Financial Systems from 1997 to 2001.

The post UNISYS CORPORATION (LON:USY) Files An 8-K Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers appeared first on Market Exclusive.

Professional Diversity Network, Inc. (NASDAQ:IPDN) Files An 8-K Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing

ME Staff 8-k — Tue, 17 Sep 2019 12:37:31 +0000

Professional Diversity Network, Inc. (NASDAQ:IPDN) Files An 8-K Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing
Item 3.01 Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing

As previously disclosed, on April 24, 2019 Professional Diversity Network, Inc. (the “Company”) received a letter from The Nasdaq Stock Market LLC (“Nasdaq”) notifying the Company that it is not in compliance with the minimum stockholders’ equity requirement for continued listing on the Nasdaq Capital Market. Nasdaq Listing Rule 5550(b)(1) requires listed companies to maintain stockholders’ equity of at least $2.5 million. In the Company’s Annual Report on Form 10-K for the period ended December 31, 2018, the Company reported stockholders’ equity of $(1,110,788), which is below the minimum stockholders’ equity required for continued listing to Nasdaq Listing Rule 5550(b)(1).

As previously disclosed, on July 16, 2019 Professional Diversity Network, Inc. (the “Company”) received a letter from Nasdaq (the “Nasdaq Extension Letter”) stating that the Nasdaq staff granted the Company an extension until September 16, 2019 to regain compliance with NASDAQ Listing Rule 5550(b).

Since the receipt of the Nasdaq Extension Letter, the Company has closed the following private placement transactions (the “Private Placements”): (i) on August 6th, 2019 the Company closed a private placement with an individual investor based in the People’s Republic of China (“China”), to which the Company issued 1,142,857 shares of the Company’s common stock for $1.75 per share for gross proceeds of $2,000,000; (ii) on September 10th, 2019, the Company closed a private placement with an individual investor based in China, to which the Company issued 442,830 shares of the Company’s common stock for $1.58 per share for gross proceeds of $699,672.55; (iii) on September 10th, 2019 the Company closed a private placement with an individual investor based in China, to which the Company issued 189,873 shares of the Company’s common stock for $1.58 per share for gross proceeds of $300,000; and (iv) on September 13th, 2019 the Company closed a private placement with EGBT Foundation Ltd., a Singapore public company limited by guarantee (“EGBT”), to which EGBT purchased 1,265,823 shares of common stock of the Company at a price of $1.58 per share for gross proceeds of $2,000,000.00. The shareholders’ equity of the Company as of September 16th, 2019 is $3,662,223. The Company believes that as of September 16th, 2019 the Company has regained compliance with NASDAQ Listing Rule 5550(b) as a result of the Private Placements.

Nasdaq will continue to monitor the Company’s ongoing compliance with the stockholders’ equity requirement and, if at the time of its next periodic report the Company does not evidence compliance, it may be subject to delisting. The Company intends to pursue other transactions in the near term, including without limitation, equity financing transactions and/or acquisitions, to further shore up the Company’s shareholders’ equity.

About Professional Diversity Network, Inc. (NASDAQ:IPDN)

Professional Diversity Network, Inc. is an operator of professional networks with a focus on diversity. The Company serves various communities, including Women, Hispanic-Americans, African-Americans, Asian-Americans, Disabled, Military Professionals, and Lesbian, Gay, Bisexual and Transgender (LGBT). The Company’s segments include Professional Diversity Network (PDN Network), which includes online professional networking communities with career resources for the needs of various diverse cultural groups; National Association of Professional Women (NAPW Network), a women-only professional networking organization, and Noble Voice operations (Noble Voice), a career consultation and lead generation service. The Noble Voice call centers qualify callers for real-time job placement. The PDN Network consists of various online professional networking communities dedicated to serving diverse professionals in the United States and employers seeking to hire diverse talent.

The post Professional Diversity Network, Inc. (NASDAQ:IPDN) Files An 8-K Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing appeared first on Market Exclusive.

Carl Zeiss Meditec AG (ETR:AFX) price target set to €98.00 by HSBC

ME Staff — Tue, 17 Sep 2019 12:19:38 +0000

Analyst Ratings For Carl Zeiss Meditec AG (ETR:AFX)

Today, HSBC set its price target on Carl Zeiss Meditec AG (ETR:AFX) to €98.00 per share.

There are 6 Hold Ratings, 2 Sell Ratings, 1 Buy Ratings, no Strong Buy Ratings on the stock.

The current consensus rating on Carl Zeiss Meditec AG (ETR:AFX) is Hold with a consensus target price of €85.06 per share, a potential .

Some recent analyst ratings include

8/26/2019-Carl Zeiss Meditec AG (ETR:AFX) had its Neutral rating reiterated by DZ Bank

Recent Trading Activity for Carl Zeiss Meditec AG (ETR:AFX)
Shares of Carl Zeiss Meditec AG closed the previous trading session at 100.80 up +1.45 1.46% with shares trading hands.

The post Carl Zeiss Meditec AG (ETR:AFX) price target set to €98.00 by HSBC appeared first on Market Exclusive.

Ameren Corp (NYSE:AEE) gets upgraded to Buy by Bank of America

ME Staff — Tue, 17 Sep 2019 12:19:08 +0000

Analyst Ratings For Ameren Corp (NYSE:AEE)

Today, Ameren Corp (NYSE:AEE) stock received an upgrade by Bank of America from Neutral to Buy.

There are 5 Hold Ratings, 4 Buy Ratings, no Strong Buy Ratings, no Sell Ratings on the stock.

The current consensus rating on Ameren Corp (NYSE:AEE) is Hold with a consensus target price of $76.1667 per share, a potential 1.30% downside.

Some recent analyst ratings include

9/17/2019-Ameren Corp (NYSE:AEE) gets upgraded to Buy by Bank of America
9/12/2019-Ameren Corp (NYSE:AEE) gets upgraded to Outperform by Wolfe Research with a price target of $80.00
7/25/2019-Ameren Corp (NYSE:AEE) gets upgraded to Buy by Argus
6/4/2019-Ameren Corp (NYSE:AEE) has coverage initiated with a Sector Weight ➝ Sector Weight rating

On 6/13/2019 Mary P. Heger, SVP, sold 3,000 with an average share price of $76.02 per share and the total transaction amounting to $228,060.00.
On 5/23/2019 Shawn E. Schukar, Insider, sold 1,200 with an average share price of $75.27 per share and the total transaction amounting to $90,324.00.
On 3/7/2019 Fadi M Diya, SVP, sold 15,000 with an average share price of $71.18 per share and the total transaction amounting to $1,067,700.00.
On 3/7/2019 Michael L Moehn, Insider, sold 12,000 with an average share price of $71.18 per share and the total transaction amounting to $854,160.00.
On 3/1/2019 Bruce A Steinke, CAO, sold 6,441 with an average share price of $70.84 per share and the total transaction amounting to $456,280.44.
On 3/1/2019 Gregory L Nelson, SVP, sold 29,548 with an average share price of $70.84 per share and the total transaction amounting to $2,093,180.32.
On 3/1/2019 Martin J Lyons, CFO, sold 17,794 with an average share price of $70.82 per share and the total transaction amounting to $1,260,171.08.

Recent Trading Activity for Ameren Corp (NYSE:AEE)
Shares of Ameren Corp closed the previous trading session at 77.17 up +0.58 0.76% with 76.32 shares trading hands.

The post Ameren Corp (NYSE:AEE) gets upgraded to Buy by Bank of America appeared first on Market Exclusive.

ACCOR S A/S ADR (OTCMKTS:ACCYY) has coverage initiated with a Buy rating

ME Staff — Tue, 17 Sep 2019 12:18:48 +0000

Analyst Ratings For ACCOR S A/S ADR (OTCMKTS:ACCYY)

Today, Jefferies Financial Group initiated coverage on ACCOR S A/S ADR (OTCMKTS:ACCYY) with a Buy.

There are 3 Buy Ratings, 1 Sell Ratings, no Strong Buy Ratings, no Hold Ratings on the stock.

The current consensus rating on ACCOR S A/S ADR (OTCMKTS:ACCYY) is Buy with a consensus target price of N/A per share, a potential N/A.

Some recent analyst ratings include

9/17/2019-ACCOR S A/S ADR (OTCMKTS:ACCYY) has coverage initiated with a Buy rating
9/12/2019-ACCOR S A/S ADR (OTCMKTS:ACCYY) gets downgraded to Underweight by JPMorgan Chase & Co.
7/22/2019-ACCOR S A/S ADR (OTCMKTS:ACCYY) gets upgraded to Overweight by Barclays
6/18/2019-ACCOR S A/S ADR (OTCMKTS:ACCYY) gets upgraded to Outperform by Sanford C. Bernstein

Recent Trading Activity for ACCOR S A/S ADR (OTCMKTS:ACCYY)
Shares of ACCOR S A/S ADR closed the previous trading session at 8.56 −0.0020 0.023% with 8.58 shares trading hands.

The post ACCOR S A/S ADR (OTCMKTS:ACCYY) has coverage initiated with a Buy rating appeared first on Market Exclusive.

Atlas Air Worldwide Holdings, Inc. (NASDAQ:AAWW) gets downgraded to Neutral by Susquehanna Bancshares with a price target of $30.00

ME Staff — Tue, 17 Sep 2019 12:18:30 +0000

Analyst Ratings For Atlas Air Worldwide Holdings, Inc. (NASDAQ:AAWW)

Today, Atlas Air Worldwide Holdings, Inc. (NASDAQ:AAWW) stock was downgraded by Susquehanna Bancshares from Positive to Neutral with a price target of $30.00.

There are 4 Buy Ratings, 1 Sell Ratings, 1 Hold Ratings, no Strong Buy Ratings on the stock.

The current consensus rating on Atlas Air Worldwide Holdings, Inc. (NASDAQ:AAWW) is Buy with a consensus target price of $59.40 per share, a potential 114.05% upside.

Some recent analyst ratings include

9/17/2019-Atlas Air Worldwide Holdings, Inc. (NASDAQ:AAWW) gets downgraded to Neutral by Susquehanna Bancshares with a price target of $30.00
8/2/2019-Atlas Air Worldwide Holdings, Inc. (NASDAQ:AAWW) had its Outperform ➝ Outperform rating reiterated by Cowen with a $68.00 price target
5/3/2019-Atlas Air Worldwide Holdings, Inc. (NASDAQ:AAWW) had its Outperform ➝ Outperform rating reiterated by Imperial Capital with a $65.00 price target
10/5/2018-Atlas Air Worldwide Holdings, Inc. (NASDAQ:AAWW) gets downgraded to Underperform by Wolfe Research

On 8/30/2019 Spencer Schwartz, CFO, sold 6,500 with an average share price of $26.03 per share and the total transaction amounting to $169,195.00.
On 7/31/2019 Spencer Schwartz, CFO, sold 6,500 with an average share price of $45.80 per share and the total transaction amounting to $297,700.00.
On 6/28/2019 Spencer Schwartz, CFO, sold 6,500 with an average share price of $44.08 per share and the total transaction amounting to $286,520.00.
On 5/21/2019 John K Wulff, Director, bought 5,000 with an average share price of $39.75 per share and the total transaction amounting to $198,750.00.
On 7/30/2018 William J Flynn, CEO, sold 5,000 with an average share price of $67.05 per share and the total transaction amounting to $335,250.00.
On 7/16/2018 William J Flynn, CEO, sold 5,000 with an average share price of $70.25 per share and the total transaction amounting to $351,250.00.
On 7/2/2018 William J Flynn, CEO, sold 5,000 with an average share price of $70.75 per share and the total transaction amounting to $353,750.00.

Recent Trading Activity for Atlas Air Worldwide Holdings, Inc. (NASDAQ:AAWW)
Shares of Atlas Air Worldwide Holdings, Inc. closed the previous trading session at 27.75 up +0.63 2.32% with 26.85 shares trading hands.

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HempNova to Build GMP Certified Hemp Processing Plant in Oregon

ME Staff — Tue, 17 Sep 2019 12:15:25 +0000

HempNova Lifetech announced that its subsidiary HempNova Lifetech (Oregon) Corp. has leased a space in Oregon to build a hemp processing plant.

The 23,000-sq.-foot facility in Eugene was a USDA certified food processing plant and HempNova plans to convert it into a GMP certified hemp processing facility to provide one-stop solution to hemp growers, including hemp drying, biomass storage, research and development, product formulation, in-house analytical testing, and commercial hemp extraction producing CBD oil and isolates.

HempNova Oregon has received an industrial hemp handler license from the Oregon Department of Agriculture for the Eugene facility. The company is now working to obtain building occupancy permits from the city.

HempNova Loves Oregon’s Hemp Industry

The hemp cultivation industry in Oregon is growing rapidly after the 2018 Farm Bill and there is a serious shortage of hemp drying and storage facilities, according to HempNova.

The company’s first priority is to build up drying and storage facility and it has purchased six commercial dryers with daily drying capacity of approximately 100,000 pounds of dried hemp biomass. The company is constructing a 10,000-sq.-ft. hemp drying shop at the Eugene facility on top of the current 23,000-sq.-ft. space. Four dryers are currently being installed at the facility.

The company expects to start hemp drying and storage services at the Eugene facility around the end of this month.

Meanwhile, HempNova said that it has leased a 15,000-sq.-ft. warehouse in White City, Oregon, for a second hemp drying shop. An industrial hemp handler license has been granted to the White City facility by the state’s Department of Agriculture. Two large commercial dryers will be installed at the facility.

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EASTSIDE DISTILLING, INC. (OTCMKTS:ESDI) Files An 8-K Entry into a Material Definitive Agreement

ME Staff 8-k — Tue, 17 Sep 2019 12:08:04 +0000

EASTSIDE DISTILLING, INC. (OTCMKTS:ESDI) Files An 8-K Entry into a Material Definitive Agreement

Eastside Distilling, Inc. Exhibit
EX-1.1 2 ex1-1.htm ASSET PURCHASE AGREEMENT between EASTSIDE DISTILLING,…
To view the full exhibit click here

About EASTSIDE DISTILLING, INC. (OTCMKTS:ESDI)

Eastside Distilling, Inc. (Eastside) is a manufacturer, developer, producer and marketer of master-crafted spirits. The Company’s beverage alcohol categories include bourbon, whiskey, rum and vodka. The Company operates through the marketing and distributing of hand-crafted spirits segment. Its brands include Burnside Bourbon, Burnside Oregon Oaked Bourbon, Barrel Hitch American Whiskey, Barrel Hitch Oregon Oak American Whiskey, Below Deck Silver Rum, Below Deck Ginger Rum, Below Deck Coffee Rum, Below Deck Spiced Rum, Portland Potato Vodka, Marionberry Whiskey and Cherry Bomb Whiskey. Eastside creates seasonal and limited edition handmade products, such as Advocaat (eggnog) Liqueur, Peppermint Bark Liqueur, Bier Schnapps and Holiday Spiced Liqueur. Eastside distributes its products in approximately 15 states, including Oregon, Washington, Nevada, Texas, Virginia, Indiana, Illinois, New York, New Jersey, Massachusetts, Connecticut, Minnesota, Georgia, Pennsylvania and Maryland.

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Pineapple Express, GTA Group to Offer Logistics Solution for Cannabis Sector

ME Staff — Tue, 17 Sep 2019 12:00:40 +0000

Pineapple Express Delivery and GTA GSM and Green Shield Logistics (GSM) have formed a partnership to offer a logistics solution for the cannabis industry.

GTA GSM and Green Shield Logistics are divisions of the GTA Group, which offers freight forwarders a variety of cargo handling services. The company has provided a tech-based solution to the problem cannabis licensed holders are facing in monitoring the numerous ‘legs’ of distribution of cannabis across Canada.

Now, clients booking through the GSM portal can find that each partner has been carefully vetted for them so that they are guaranteed a fully insured, quality controlled and trackable logistics solution.

“This partnership represents a defining moment for Pineapple Express Delivery. Our last-mile solution meets the high standards set out by GSM for their key and trusted partners. Their elite vendors list is very carefully vetted and strict attention is paid to compliance, security and quality,” Pineapple Express Delivery CEO Randy Rolph stated.

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TransAct Energy Corp. (OTCMKTS:TEGY) Files An 8-K Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers

ME Staff 8-k — Tue, 17 Sep 2019 11:37:23 +0000

TransAct Energy Corp. (OTCMKTS:TEGY) Files An 8-K Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers
Item 5.02 Departure of Directors or Principal Officers; Election of Directors; Appointment of Principal Officers

About TransAct Energy Corp. (OTCMKTS:TEGY)

TransAct Energy Corp. is a development-stage company. The Company is involved in the business of developing and managing sustainable energy production facilities globally. The Company focuses on the global development and dissemination of its zero emissions waste optimization plants (ZEWOP). Its principal products are carbon black, phenol resins and Levoglucosan. It produces fertilizers for the agricultural industry, a brick mix for the construction industry and a range of reclaimed metals and purified (distilled) water. The ZEWOP design for mass production has a plant size processing capacity of over 1,320 metric tons per day of raw municipal solid waste. Waxes for the cosmetic industry, paraffin waxes for various other uses, including candles, along with high grade lubricating oils are ZEWOP products. The TransAct ZEWOP provides various markets with an emissions free solution utilizing their waste and turning it into various products, such as fuels.

The post TransAct Energy Corp. (OTCMKTS:TEGY) Files An 8-K Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers appeared first on Market Exclusive.

Cannara Moves Closer to Obtaining Cannabis Cultivation License

ME Staff — Tue, 17 Sep 2019 11:30:59 +0000

Cannara Biotech (CSE: LOVE) (OTCQB: LOVFF) (FRA: 8CB) has completed the process required to obtain a license to cultivate and process cannabis.

The company announced that it has submitted its site evidence package to Health Canada for the first phase of its cultivation and processing facility in Farnham, Quebec. The facility is situated on 27-acres of land located 45 minutes from Montreal.

The submission of the site evidence package is the final step required to obtain a license to cultivate and process cannabis at the facility.

Construction is complete on the first phase of the Farnham facility. The first phase consists of 170,000 square feet, of which 110,000 is dedicated to indoor cultivation with a capacity of 20,000 kg of premium dried cannabis once the cultivation license is granted. The remaining finished space will accommodate various processing stages such as manufacturing, extraction and packaging, according to Cannara.

“With new pending cannabis derivative legislation and a maturing cannabis market, we are extremely well-poised to execute on our growth strategy to be a leader in these markets,” Cannara President and CEO Zohar Krivorot stated.

The post Cannara Moves Closer to Obtaining Cannabis Cultivation License appeared first on Market Exclusive.

Bango plc (LON:BGO) had its Corporate rating reiterated by FinnCap

ME Staff — Tue, 17 Sep 2019 11:19:38 +0000

Analyst Ratings For Bango plc (LON:BGO)

Today, FinnCap reiterated its Corporate rating on Bango plc (LON:BGO).

There are 0 Strong Buy Ratings, no Sell Ratings, no Hold Ratings, no Buy Ratings on the stock.

The current consensus rating on Bango plc (LON:BGO) is N/A with a consensus target price of N/A per share, a potential .

Some recent analyst ratings include

9/17/2019-Bango plc (LON:BGO) had its Corporate rating reiterated by FinnCap

Recent Trading Activity for Bango plc (LON:BGO)
Shares of Bango plc closed the previous trading session at 127.95 −4.55 3.43% with shares trading hands.

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Assura PLC (LON:AGR) had its Hold rating reiterated by Peel Hunt

ME Staff — Tue, 17 Sep 2019 11:11:28 +0000

Analyst Ratings For Assura PLC (LON:AGR)

Today, Peel Hunt reiterated its Hold rating on Assura PLC (LON:AGR).

There are 3 Hold Ratings, no Strong Buy Ratings, no Sell Ratings, no Buy Ratings on the stock.

The current consensus rating on Assura PLC (LON:AGR) is Hold with a consensus target price of GBX 61 per share, a potential .

Some recent analyst ratings include

9/17/2019-Assura PLC (LON:AGR) had its Hold rating reiterated by Peel Hunt

7/2/2019-Assura PLC (LON:AGR) had its Hold rating reiterated by Liberum Capital

3/21/2019-Assura PLC (LON:AGR) has coverage initiated with a Neutral rating and GBX 60 price target

1/18/2018-Assura PLC (LON:AGR) had its Buy rating reiterated by Jefferies Financial Group with a GBX 70 price target

Recent Trading Activity for Assura PLC (LON:AGR)
Shares of Assura PLC closed the previous trading session at 69.50 up +0.30 0.43% with 51.03 shares trading hands.

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Curaleaf Launches Medical Cannabis Tablets in Florida

ME Staff — Tue, 17 Sep 2019 11:00:51 +0000

Curaleaf Holdings (CSE: CURA) (OTCQX: CURLF) is launching medical cannabis tablets in Florida.

The medical cannabis tablets will be available in all 26 Curaleaf dispensaries across the state.

Curaleaf has 49 dispensaries across the country. The company sells medical cannabis in tablet form in Connecticut, New Jersey, Maryland, and New York, with plans to launch in additional states.

Medical Cannabis Tablets in Florida

Curaleaf is the first company to offer medical cannabis tablets in Florida.

The tablets are mint-flavored and are packaged in child-proof containers in accordance with the Florida Department of Health regulations.

These “are a refreshing form of the medication that offers patients convenience, portability and ease of use as the tablet disintegrates on the tongue and is slow acting,” Curaleaf said in a statement.

The post Curaleaf Launches Medical Cannabis Tablets in Florida appeared first on Market Exclusive.

CYTOSORBENTS CORPORATION (NASDAQ:CTSO) Files An 8-K Regulation FD Disclosure

ME Staff 8-k — Tue, 17 Sep 2019 10:38:34 +0000

CYTOSORBENTS CORPORATION (NASDAQ:CTSO) Files An 8-K Regulation FD Disclosure
Item 7.01

As previously disclosed in the press release issued on September 9, 2019 by CytoSorbents Corporation (the “Company”), Dr. Phillip P. Chan, the Company’s President and Chief Executive Officer, presented an overview of the Company at the H.C. Wainwright 21^st Annual Global Investment Conference (the “Conference”), which was held on September 10, 2019. A copy of the presentation slides made at the Conference is attached hereto as Exhibit 99.1.

The information presented in Item 7.01 of this Current Report on Form 8-K and Exhibit 99.1 shall not be deemed to be “filed” for purposes of Section 18 of the Securities Exchange Act of 1934, as amended (the “Exchange Act”), or otherwise subject to the liabilities of that section, unless the Company specifically states that the information is to be considered “filed” under the Exchange Act or incorporates it by reference into a filing under the Securities Act of 1933, as amended, or the Exchange Act.

(d)

Exhibit No.	Exhibit Name
99.1	Presentation dated September 10, 2019

Cytosorbents Corp Exhibit
EX-99.1 2 tv529496_ex99-1.htm EXHIBIT 99.1 Exhibit 99.1 NASDAQ: CTSO HC Wainwright 21 st Global Investment Conference September 10,…
To view the full exhibit click here

About CYTOSORBENTS CORPORATION (NASDAQ:CTSO)

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Cascades Inc (TSE:CAS) price target raised to C$13.00 by CIBC

ME Staff — Tue, 17 Sep 2019 10:17:39 +0000

Analyst Ratings For Cascades Inc (TSE:CAS)

Today, CIBC raised its price target on Cascades Inc (TSE:CAS) to C$13.00 per share.

There are 2 Hold Ratings, 2 Buy Ratings, no Strong Buy Ratings, no Sell Ratings on the stock.

The current consensus rating on Cascades Inc (TSE:CAS) is Buy with a consensus target price of C$14.17 per share, a potential 16.12% upside.

Some recent analyst ratings include

7/16/2019-Cascades Inc (TSE:CAS) gets downgraded to Hold by TD Securities with a price target of C$13.50

Recent Trading Activity for Cascades Inc (TSE:CAS)
Shares of Cascades Inc closed the previous trading session at 12.20 up +0.070 0.58% with shares trading hands.

The post Cascades Inc (TSE:CAS) price target raised to C$13.00 by CIBC appeared first on Market Exclusive.

Aurora Cannabis Inc (TSE:ACB) gets downgraded to Sell by Stifel Nicolaus with a price target of C$5.00

ME Staff — Tue, 17 Sep 2019 10:17:00 +0000

Analyst Ratings For Aurora Cannabis Inc (TSE:ACB)

Today, Aurora Cannabis Inc (TSE:ACB) stock was downgraded by Stifel Nicolaus from Hold to Sell with a price target of C$5.00.

There are 4 Buy Ratings, 1 Sell Ratings, 1 Hold Ratings, no Strong Buy Ratings on the stock.

The current consensus rating on Aurora Cannabis Inc (TSE:ACB) is Buy with a consensus target price of C$12.86 per share, a potential 77.10% upside.

Some recent analyst ratings include

9/16/2019-Aurora Cannabis Inc (TSE:ACB) gets downgraded to Sell by Stifel Nicolaus with a price target of C$5.00
4/17/2019-Aurora Cannabis Inc (TSE:ACB) had its Buy rating reiterated by Bank of America with a C$15.00 price target
3/5/2019-Aurora Cannabis Inc (TSE:ACB) had its Outperform rating reiterated by Cowen with a C$14.00 price target
2/21/2019-Aurora Cannabis Inc (TSE:ACB) had its Neutral rating reiterated by Seaport Global Securities

Recent Trading Activity for Aurora Cannabis Inc (TSE:ACB)
Shares of Aurora Cannabis Inc closed the previous trading session at 7.26 −0.61 7.75% with 5.45 shares trading hands.

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Del Taco Restaurants, Inc. (NASDAQ:TACO) Files An 8-K Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers

ME Staff 8-k — Tue, 17 Sep 2019 10:07:14 +0000

Del Taco Restaurants, Inc. (NASDAQ:TACO) Files An 8-K Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers
Item 5.02 Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers.

Resignation of David A. Pear

On September 10, 2019, David A. Pear resigned from his position as Senior Vice President of Operations of Del Taco Restaurants Inc. (the “Company”), effective September 27, 2019.

Appointment of Chad Gretzema as Chief Operating Officer

On September 16, 2019, the Company named Chad Gretzema as Chief Operating Officer of the Company. Mr. Gretzema, age 47, has been our Senior Vice President of Strategic Planning and Innovation since 2017. From 2012 to 2017, Mr. Gretzema was our Senior Vice President of Operations Support and Engagement. Previously, Mr. Gretzema held positions in operations, training, and marketing at Einstein Noah Restaurant Group, Phoenix Children’s Academy, Noodles & Company, and Oscar Mayer Foods. Mr. Gretzema holds Bachelor of Arts degrees in Journalism and Psychology from Indiana University, Bloomington.

Mr. Gretzema’s compensatory arrangements are described below.

There are no arrangements or understandings between Mr. Gretzema and any other person to which Mr. Gretzema was appointed to serve as the Chief Operating Officer of the Company. There are no family relationships between Mr. Gretzema and any director or executive officer of the Company, and Mr. Gretzema has no direct or indirect material interest in any “related party” transaction required to be disclosed to Item 404(a) of Regulation S-K.

Item 8.01 Other Events.

As previously disclosed, on August 21, 2019, NASDAQ issued a letter to the Company indicating that the Company was no longer in compliance with the requirements of NASDAQ Listing Rule 5605 to have a Board of Directors comprised of a majority of independent directors and an Audit Committee comprised of at least three members who satisfy certain criteria. At its meeting held on September 11, 2019, the Board determined that Ari B. Levy and Lawrence F. Levy qualify as independent directors according to NASDAQ listing standards. As a result of this determination, the Board is now comprised of a majority of independent directors in compliance with NASDAQ listing standards. In addition, at its meeting held on September 11, 2019, the Board appointed R.J. Melman to serve on the Audit Committee, thereby regaining compliance with NASDAQ requirements regarding the composition of the Audit Committee.

About Del Taco Restaurants, Inc. (NASDAQ:TACO)

Del Taco Restaurants, Inc., formerly Levy Acquisition Corporation, is an operator and franchisor of restaurants featuring fresh and fast made-to-order cuisine, including both Mexican inspired and American classic dishes. The Company operates Del Taco restaurants in approximately 20 states, including over one franchised restaurant in Guam. The Company has approximately 300 Company-operated and over 250 franchised restaurants. The Company’s menu offers a combination of Mexican-inspired food, such as tacos and burritos, and American classics, such as Double Del cheeseburgers, crinkle-cut fries and milkshakes. Additionally, the Company’s menu features both premium items such as Epic Burritos, Handcrafted Ensaladas and Fresca Bowls, as well as lower priced items on its Buck & Under Menu. Del Taco restaurant is a free-standing building with drive-in service that ranges in size from 2,000 to 2,600 square feet.

The post Del Taco Restaurants, Inc. (NASDAQ:TACO) Files An 8-K Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers appeared first on Market Exclusive.

Alteryx Inc (NYSE:AYX) Insider Trading Activity – Insider Sold 5,840 shares of Stock

ME Staff — Tue, 17 Sep 2019 07:07:38 +0000

Insider Trading Activity For Alteryx Inc (NYSE:AYX)

Christopher M. Lal , Insider of Alteryx Inc (NYSE:AYX) reportedly Sold 5,840 shares of the company’s stock at an average price of 112.39 for a total transaction amount of $656,357.60 SEC Form

Insider Trading History For Alteryx Inc (NYSE:AYX)

On 3/29/2017 Iconiq Strategic Partners Ii,, Major Shareholder, bought 675,000 with an average share price of $14.00 per share and the total transaction amounting to $9,450,000.00.

On 6/27/2017 Qualified Master Fund L Abdiel, Major Shareholder, bought 163,072 with an average share price of $19.86 per share and the total transaction amounting to $3,238,609.92.

On 6/29/2017 Qualified Master Fund L Abdiel, Major Shareholder, bought 50,000 with an average share price of $19.48 per share and the total transaction amounting to $974,000.00.

On 7/7/2017 Qualified Master Fund L Abdiel, Major Shareholder, bought 77,500 with an average share price of $19.50 per share and the total transaction amounting to $1,511,250.00.

On 7/11/2017 Qualified Master Fund L Abdiel, Major Shareholder, bought 30,000 with an average share price of $19.94 per share and the total transaction amounting to $598,200.00.

On 8/7/2017 Qualified Master Fund L Abdiel, Major Shareholder, bought 166,168 with an average share price of $22.06 per share and the total transaction amounting to $3,665,666.08.

On 8/8/2017 Qualified Master Fund L Abdiel, Major Shareholder, bought 27,104 with an average share price of $22.82 per share and the total transaction amounting to $618,513.28.

Analyst Ratings History For Alteryx Inc (NYSE:AYX)

On 1/29/2019 Raymond James Downgraded rating Outperform to Market Perform
On 2/28/2019 JPMorgan Chase & Co. Boost Price Target of rating Neutral with a price target of $70.00
On 5/2/2019 JMP Securities Boost Price Target of rating Market Outperform to Market Outperform with a price target of $84.00 to $96.00
On 6/7/2019 Goldman Sachs Group Initiated Coverage of rating Buy to Buy with a price target of $111.00
On 6/17/2019 Oppenheimer Boost Price Target of rating Outperform with a price target of $93.00 to $120.00
On 6/26/2019 Cowen Boost Price Target of rating Outperform with a price target of $112.00 to $137.00
On 6/27/2019 Guggenheim Initiated Coverage of rating Buy to Buy with a price target of $107.53

Recent Trading Activity for Alteryx Inc (NYSE:AYX)
Shares of Alteryx Inc closed the previous trading session at with shares trading hands.

The post Alteryx Inc (NYSE:AYX) Insider Trading Activity – Insider Sold 5,840 shares of Stock appeared first on Market Exclusive.

Allegiance Bancshares Inc (NASDAQ:ABTX) Insider Trading Activity – Director Sold 8,000 shares of Stock

ME Staff — Tue, 17 Sep 2019 07:07:21 +0000

Insider Trading Activity For Allegiance Bancshares Inc (NASDAQ:ABTX)

Roland L Williams , Director of Allegiance Bancshares Inc (NASDAQ:ABTX) reportedly Sold 8,000 shares of the company’s stock at an average price of 35.75 for a total transaction amount of $286,000.00 SEC Form

Insider Trading History For Allegiance Bancshares Inc (NASDAQ:ABTX)

On 10/8/2015 Steven F Retzloff, President, bought 8,000 with an average share price of $21.00 per share and the total transaction amounting to $168,000.00.

On 10/8/2015 Paul Michael Mann, Director, bought 4,500 with an average share price of $21.00 per share and the total transaction amounting to $94,500.00.

On 10/8/2015 Laurence L Lehman III, CFO, bought 2,000 with an average share price of $21.00 per share and the total transaction amounting to $42,000.00.

On 1/28/2016 Thomas A. Reiser, Director, bought 11,999 with an average share price of $17.56 per share and the total transaction amounting to $210,702.44.

On 1/28/2016 Steven F Retzloff, President, bought 11,882 with an average share price of $17.03 per share and the total transaction amounting to $202,350.46.

On 1/28/2016 Ramon A Vitulli III, EVP, bought 110 with an average share price of $17.65 per share and the total transaction amounting to $1,941.50.

On 1/28/2016 Laurence L Lehman III, CFO, bought 1,000 with an average share price of $17.80 per share and the total transaction amounting to $17,800.00.

Recent Trading Activity for Allegiance Bancshares Inc (NASDAQ:ABTX)
Shares of Allegiance Bancshares Inc closed the previous trading session at with 34.96 shares trading hands.

The post Allegiance Bancshares Inc (NASDAQ:ABTX) Insider Trading Activity – Director Sold 8,000 shares of Stock appeared first on Market Exclusive.

Agilent Technologies Inc (NYSE:A) Insider Trading Activity – CEO Sold 24,635 shares of Stock

ME Staff — Tue, 17 Sep 2019 07:05:44 +0000

Insider Trading Activity For Agilent Technologies Inc (NYSE:A)

Michael R. Mcmullen , CEO of Agilent Technologies Inc (NYSE:A) reportedly Sold 24,635 shares of the company’s stock at an average price of 77.5 for a total transaction amount of $1,909,212.50 SEC Form

Analyst Ratings History For Agilent Technologies Inc (NYSE:A)

On 1/3/2018 Evercore ISI Initiated Coverage of rating Outperform with a price target of $75.00
On 9/18/2018 Goldman Sachs Group Reiterated Rating Buy with a price target of $77.00 to $82.00
On 11/12/2018 Cleveland Research Downgraded rating Buy to Neutral
On 11/20/2018 Morgan Stanley Boost Price Target of rating Overweight to Overweight with a price target of $86.00 to $89.00
On 12/31/2018 Alembic Global Advisors Downgraded rating Hold
On 2/21/2019 JPMorgan Chase & Co. Boost Price Target of rating Overweight with a price target of $85.00
On 2/21/2019 Janney Montgomery Scott Reiterated Rating Overweight to Buy with a price target of $80.00 to $90.00

Dividend Information For Agilent Technologies Inc (NYSE:A)
Agilent Technologies Inc (NYSE:A) pays an annual dividend of $0.66 with a yield of 0.86% and an average dividend growth of 14.20% (3 Year Average).

Dividend History For Agilent Technologies Inc (NYSE:A)

On 1/17/2013 Agilent Technologies Inc announced a quarterly dividend of $0.12 1.09% with an ex dividend date of 3/28/2013 which will be payable on 4/24/2013.

On 5/23/2013 Agilent Technologies Inc announced a quarterly dividend of $0.12 1.05% with an ex dividend date of 6/28/2013 which will be payable on 7/24/2013.

On 9/18/2013 Agilent Technologies Inc announced a quarterly dividend of $0.12 0.94% with an ex dividend date of 9/27/2013 which will be payable on 10/23/2013.

On 11/22/2013 Agilent Technologies Inc announced a quarterly dividend of $0.1320 0.99% with an ex dividend date of 12/27/2013 which will be payable on 1/22/2014.

On 4/1/2014 Agilent Technologies Inc announced a quarterly dividend of $0.13 0.93% with an ex dividend date of 4/9/2014 which will be payable on 4/23/2014.

On 5/22/2014 Agilent Technologies Inc announced a quarterly dividend of $0.1320 0.94% with an ex dividend date of 6/27/2014 which will be payable on 7/23/2014.

On 9/17/2014 Agilent Technologies Inc announced a quarterly dividend of $0.1320 0.9% with an ex dividend date of 9/26/2014 which will be payable on 10/22/2014.

Recent Trading Activity for Agilent Technologies Inc (NYSE:A)
Shares of Agilent Technologies Inc closed the previous trading session at with 77.43 shares trading hands.

The post Agilent Technologies Inc (NYSE:A) Insider Trading Activity – CEO Sold 24,635 shares of Stock appeared first on Market Exclusive.

Affiliated Managers Group, Inc. (NYSE:AMG) Insider Trading Activity – Director Bought 6,589 shares of Stock

ME Staff — Tue, 17 Sep 2019 07:05:13 +0000

Insider Trading Activity For Affiliated Managers Group, Inc. (NYSE:AMG)

Samuel T Byrne , Director of Affiliated Managers Group, Inc. (NYSE:AMG) reportedly Bought 6,589 shares of the company’s stock at an average price of 88.77 for a total transaction amount of $584,905.53 SEC Form

Insider Trading History For Affiliated Managers Group, Inc. (NYSE:AMG)

On 5/14/2013 Rita M Rodriguez, Director, sold 3,425 with an average share price of $163.76 per share and the total transaction amounting to $560,878.00.

On 8/1/2013 Sean Healey, CEO, sold 105,000 with an average share price of $183.78 per share and the total transaction amounting to $19,296,900.00.

On 8/1/2013 Samuel Byrne, Director, sold 5,666 with an average share price of $183.95 per share and the total transaction amounting to $1,042,260.70.

On 8/2/2013 Nathaniel Dalton, COO, sold 50,000 with an average share price of $185.24 per share and the total transaction amounting to $9,262,000.00.

On 8/7/2013 William Nutt, Director, sold 28,500 with an average share price of $180.62 per share and the total transaction amounting to $5,147,670.00.

On 9/10/2013 Andrew Dyson, EVP, sold 10,000 with an average share price of $180.37 per share and the total transaction amounting to $1,803,700.00.

On 5/8/2014 John Kingston III, Chairman, sold 69,800 with an average share price of $195.35 per share and the total transaction amounting to $13,635,430.00.

Analyst Ratings History For Affiliated Managers Group, Inc. (NYSE:AMG)

On 1/9/2018 Goldman Sachs Group Downgraded rating Buy to Neutral with a price target of $216.00
On 7/30/2018 Keefe, Bruyette & Woods Upgraded rating Market Perform to Outperform with a price target of $191.00
On 1/14/2019 Credit Suisse Group Lower Price Target of rating Neutral with a price target of $162.00 to $123.00
On 1/29/2019 Jefferies Financial Group Downgraded rating Buy to Hold with a price target of $109.87
On 5/7/2019 Deutsche Bank Lower Price Target of rating Hold to Hold with a price target of $111.00 to $103.00
On 7/29/2019 Barrington Research Lower Price Target of rating Outperform with a price target of $135.00 to $125.00
On 7/30/2019 Bank of America Downgraded rating Buy to Underperform with a price target of $97.00 to $85.00

Dividend Information For Affiliated Managers Group, Inc. (NYSE:AMG)
Affiliated Managers Group, Inc. (NYSE:AMG) pays an annual dividend of $1.28 with a yield of 1.45% and an average dividend growth of 0.00% (3 Year Average).

Dividend History For Affiliated Managers Group, Inc. (NYSE:AMG)

On 2/3/2017 Affiliated Managers Group, Inc. announced a quarterly dividend of $0.20 with an ex dividend date of 2/7/2017 which will be payable on 2/23/2017.

On 5/2/2017 Affiliated Managers Group, Inc. announced a quarterly dividend of $0.20 0.52% with an ex dividend date of 5/9/2017 which will be payable on 5/25/2017.

On 7/31/2017 Affiliated Managers Group, Inc. announced a Quarterly dividend of $0.20 0.43% with an ex dividend date of 8/8/2017 which will be payable on 8/24/2017.

On 10/30/2017 Affiliated Managers Group, Inc. announced a Quarterly dividend of $0.20 0.43% with an ex dividend date of 11/8/2017 which will be payable on 11/22/2017.

On 1/30/2018 Affiliated Managers Group, Inc. announced a quarterly dividend of $0.30 0.59% with an ex dividend date of 2/7/2018 which will be payable on 2/23/2018.

On 4/30/2018 Affiliated Managers Group, Inc. announced a Quarterly dividend of $0.30 0.73% with an ex dividend date of 5/9/2018 which will be payable on 5/24/2018.

On 7/31/2018 Affiliated Managers Group, Inc. announced a quarterly dividend of $0.30 0.75% with an ex dividend date of 8/8/2018 which will be payable on 8/23/2018.

Recent Trading Activity for Affiliated Managers Group, Inc. (NYSE:AMG)
Shares of Affiliated Managers Group, Inc. closed the previous trading session at 88.40 −0.22 0.25% with 87.93 shares trading hands.

The post Affiliated Managers Group, Inc. (NYSE:AMG) Insider Trading Activity – Director Bought 6,589 shares of Stock appeared first on Market Exclusive.

AAON, Inc. (NASDAQ:AAON) Insider Trading Activity – CFO Sold 21,000 shares of Stock

ME Staff — Tue, 17 Sep 2019 07:04:53 +0000

Insider Trading Activity For AAON, Inc. (NASDAQ:AAON)

Scott M Asbjornson , CFO of AAON, Inc. (NASDAQ:AAON) reportedly Sold 21,000 shares of the company’s stock at an average price of 49.9 for a total transaction amount of $1,047,900.00 SEC Form

Insider Trading History For AAON, Inc. (NASDAQ:AAON)

On 6/13/2013 David E Knebel, VP, sold 24,750 with an average share price of $32.59 per share and the total transaction amounting to $806,602.50.

On 12/6/2013 David E Knebel, VP, sold 27,000 with an average share price of $30.76 per share and the total transaction amounting to $830,520.00.

On 3/21/2014 Jerry R Levine, Director, sold 15,000 with an average share price of $28.75 per share and the total transaction amounting to $431,250.00.

On 3/21/2014 David E Knebel, VP, sold 13,375 with an average share price of $29.11 per share and the total transaction amounting to $389,346.25.

On 5/27/2015 Scott M Asbjornson, CFO, sold 42,525 with an average share price of $24.28 per share and the total transaction amounting to $1,032,507.00.

On 6/22/2015 Rebecca Thompson, CAO, sold 4,000 with an average share price of $23.50 per share and the total transaction amounting to $94,000.00.

On 2/29/2016 Kathy I Sheffield, VP, sold 12,775 with an average share price of $24.92 per share and the total transaction amounting to $318,353.00.

Analyst Ratings History For AAON, Inc. (NASDAQ:AAON)

On 5/6/2019 DA Davidson Downgraded rating Neutral to Underperform with a price target of $35.00

Dividend Information For AAON, Inc. (NASDAQ:AAON)
AAON, Inc. (NASDAQ:AAON) pays an annual dividend of $0.32 with a yield of 0.63% and an average dividend growth of 13.30% (3 Year Average).

Dividend History For AAON, Inc. (NASDAQ:AAON)

On 5/23/2013 AAON, Inc. announced a semiannual dividend of $0.10 0.61% with an ex dividend date of 6/11/2013 which will be payable on 7/2/2013.

On 11/7/2013 AAON, Inc. announced a quarterly dividend of $0.10 with an ex dividend date of which will be payable on 12/23/2013.

On 11/8/2013 AAON, Inc. announced a semiannual dividend of $0.10 0.76% with an ex dividend date of 11/27/2013 which will be payable on 12/23/2013.

On 5/5/2014 AAON, Inc. announced a semiannual dividend of $0.13 0.82% with an ex dividend date of 6/10/2014 which will be payable on 7/1/2014.

On 11/7/2014 AAON, Inc. announced a semiannual dividend of $0.09 0.86% with an ex dividend date of 11/28/2014 which will be payable on 12/23/2014.

On 5/21/2015 AAON, Inc. announced a semiannual dividend of $0.11 0.91% with an ex dividend date of 6/10/2015 which will be payable on 7/1/2015.

On 11/3/2015 AAON, Inc. announced a semiannual dividend of $0.11 0.97% with an ex dividend date of 11/30/2015 which will be payable on 12/23/2015.

Recent Trading Activity for AAON, Inc. (NASDAQ:AAON)
Shares of AAON, Inc. closed the previous trading session at with 48.49 shares trading hands.

The post AAON, Inc. (NASDAQ:AAON) Insider Trading Activity – CFO Sold 21,000 shares of Stock appeared first on Market Exclusive.

PARKERVISION, INC. (NASDAQ:PRKR) Files An 8-K Changes in Registrant’s Certifying Accountant

ME Staff 8-k — Mon, 16 Sep 2019 22:12:49 +0000

PARKERVISION, INC. (NASDAQ:PRKR) Files An 8-K Changes in Registrant’s Certifying Accountant
Item 4.01.Change in Registrant’s Certifying Accountant.

On September 10, 2019, ParkerVision, Inc. (the “Company”) dismissed BDO USA LLP (“BDO”) as the Company’s independent registered public accounting firm. The Audit Committee of the Board of Directors of the Company (the “Audit Committee”) participated in and approved the decision to change the Company’s independent registered public accounting firm.

BDO’s audit report on the Company’s consolidated financial statements as of and for the year ended December 31, 2018 did not contain an adverse opinion or a disclaimer of opinion and were not qualified or modified as to uncertainty, audit scope, or accounting principles, except that BDO’s report for the year ended December 31, 2018 included an explanatory paragraph regarding the Company’s ability to continue as a going concern.

During the year ended December 31, 2018, and through the subsequent interim period through September 10, 2019, there were (i) no disagreements (as described in Item 304(a)(1)(iv) of Regulation S-k and the related instructions) between the Company and BDO on any matter of accounting principles or practices, financial statement disclosure, or auditing scope or procedures, which, if not resolved to BDO’s satisfaction, would have caused BDO to make reference thereto in their reports on the financial statements for such year, and (ii) no “reportable events” within the meaning if Item 304(a)(1)(v) of Regulation S-K.

The Company provided BDO with a copy of the disclosures it is making in this Current Report on Form 8-K and requested that BDO furnish a letter addressed to the Securities and Exchange Commission stating whether or not it agrees with the statements made herein. A copy of BDO’s letter dated September 16, 2019, is filed as Exhibit 16.1 hereto.

On September 10, 2019, the Audit Committee approved the appointment of Moore Stephens Lovelace, P.A. (“MSL”) as the Company’s independent registered public accounting firm for the Company’s year ended December 31, 2019, subject to completion of MSL’s standard client acceptance procedures and execution of an engagement letter. On September 16, 2019, MSL completed its procedures, accepted appointment as the Company’s independent registered public accounting firm and the Audit Committee executed an engagement letter with MSL.

During the fiscal years ended December 31, 2018 and 2017, and through the subsequent interim period through September 10, 2019, neither the Company nor anyone acting on its behalf has consulted with MSL regarding (i) the application of accounting principles to a specific transaction, either completed or proposed, or the type of audit opinion that might be rendered on the Company’s financial statements, and neither a written report or oral advice was provided to the Company that MSL concluded was an important factor considered by the Company in reaching a decision as to any accounting, auditing, or financial reporting issue, (ii) any matter that was the subject of a disagreement within the meaning of Item 304(a)(1)(iv) of Regulation S-K, or (iii) any reportable event within the meaning of Item 304(a)(1)(v) of Regulation S-K.

Item 9.01.Financial Statements and Exhibits.

(d) Exhibits

PARKERVISION INC Exhibit
EX-16.1 2 prkr_ex16-1.htm LETTER OF BDO USA,…
To view the full exhibit click here

About PARKERVISION, INC. (NASDAQ:PRKR)

ParkerVision, Inc. is engaged in the designing, developing and marketing of its radio frequency (RF) technologies and products. The Company’s business is focused on the development and marketing of its RF technologies for mobile and other wireless applications. Its products include a modulator/demodulator component that incorporates its technologies, as well as a small number of supporting components that are used in the assembly of wireless devices. Its products are used in wireless communication products and applications. In addition, it offers engineering design and consulting services to third parties to assist them in developing and testing products. Its technologies represent methods for processing RF waveforms in wireless applications. Its technologies apply to both transmit and receive functions of transmitters, receivers and transceivers. A portion of its transmit technology is marketed as Direct2Power (d2p) and its receiver technology is marketed as Direct2Data (d2d).

The post PARKERVISION, INC. (NASDAQ:PRKR) Files An 8-K Changes in Registrant’s Certifying Accountant appeared first on Market Exclusive.

Ocean Power Technologies, Inc. (NASDAQ:OPTT) Files An 8-K Results of Operations and Financial Condition

ME Staff 8-k — Mon, 16 Sep 2019 22:10:00 +0000

Ocean Power Technologies, Inc. (NASDAQ:OPTT) Files An 8-K Results of Operations and Financial Condition
Item 2.02. Results of Operations and Financial Condition.

On September 16, 2019, Ocean Power Technologies, Inc. (the “Company”) issued a press release announcing its financial results for its fiscal first quarter ending July 31, 2019 and date and time of its investor conference call and webcast. A copy of the press release is furnished as Exhibit 99.1 to this report and is incorporated herein by reference.

Item 9.01 Financial Statements and Exhibits.

*99.1

Press release dated September 16, 2019 regarding fiscal first quarter earnings and date and time of the Company’s investor conference call and webcast.

*Furnished herewith.

Ocean Power Technologies, Inc. Exhibit
EX-99.1 2 ex99-1.htm Exhibit 99.1 NEWS RELEASE Ocean Power Technologies Announces First Quarter Fiscal 2020 Results Investor Conference Call and Webcast on September 18,…
To view the full exhibit click here

About Ocean Power Technologies, Inc. (NASDAQ:OPTT)

Ocean Power Technologies, Inc. is developing and seeking to commercialize its systems that generate electricity by connecting the renewable energy of ocean waves. The Company’s PowerBuoy systems use technologies that convert the mechanical energy created by the rising and falling of ocean waves into electricity. The Company focuses on developing its PowerBuoy product line, which is based on modular, ocean-going buoys. Its autonomous PowerBuoy generates power for use in remote locations, independent of an existing power grid. The Company focuses on developing and commercializing its PowerBuoy products and services for use in autonomous power applications. The Company markets its PowerBuoys in the United States and internationally. The autonomous PowerBuoy integrates a power take-off (PTO) and onboard system for energy storage and management. Its PowerBuoy product is the PB3. PB3 can act as an uninterruptable power supply (UPS), which recharges itself by harvesting energy from the waves.

The post Ocean Power Technologies, Inc. (NASDAQ:OPTT) Files An 8-K Results of Operations and Financial Condition appeared first on Market Exclusive.

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