Form 8-K - Current report
12 Julho 2024 - 5:05PM
Edgar (US Regulatory)
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0001642380
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2024-07-08
2024-07-08
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UNITED
STATES
SECURITIES
AND EXCHANGE COMMISSION
Washington,
D.C. 20549
FORM
8-K
CURRENT
REPORT
Pursuant
to Section 13 or 15(d) of the Securities Exchange Act of 1934
Date
of Report (date of earliest event reported): July 8, 2024
Oncocyte
Corporation
(Exact
name of registrant as specified in its charter)
California |
|
1-37648 |
|
27-1041563 |
(State
or other jurisdiction
of incorporation) |
|
(Commission
File Number) |
|
(IRS
Employer
Identification No.) |
15
Cushing
Irvine,
California 92618
(Address
of principal executive offices)
(949)
409-7600
(Registrant’s
telephone number, including area code)
Securities
registered pursuant to Section 12(b) of the Exchange Act:
Title
of each class |
|
Trading
Symbol |
|
Name
of each exchange on which registered |
Common
Stock, no par value |
|
OCX |
|
The
Nasdaq Stock Market LLC |
Check
the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under
any of the following provisions:
☐ |
Written
communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425) |
|
|
☐ |
Soliciting
material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12) |
|
|
☐ |
Pre-commencement
communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b)) |
|
|
☐ |
Pre-commencement
communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c)) |
Indicate
by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (§230.405
of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (§240.12b-2 of this chapter).
Emerging
growth company ☐
If
an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying
with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. ☐
Item
3.01. Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing.
Notice
of Prior Noncompliance and Subsequent Compliance with Nasdaq Listing Rules
On
July 8, 2024, Oncocyte Corporation (the “Company”) received a notice (the “Notice”) from the Listing Qualifications
Staff (“Staff”) of The Nasdaq Stock Market LLC (the “Nasdaq”) stating that the Company was previously not in
compliance, and subsequently regained compliance, with Nasdaq Listing Rules 5605(b)(1) and 5605(c)(2). Specifically, the Notice stated
that, as a result of the previously disclosed passing away of director Alfred D. Kingsley on April 25, 2024, the Company no longer
complied with Nasdaq Listing Rules 5605(b)(1) and 5605(c)(2), which, in relevant parts, require a majority of the Company’s board
of directors (the “Board”) to be comprised of independent directors under the Nasdaq Listing Rules and require the
audit committee of the Board to consist of at least three members, each of whom must be an independent director under the Nasdaq Listing
Rules and meet the heightened independence standards for audit committee members under the Nasdaq Listing Rules and the Securities Exchange
Act of 1934, as amended.
The
Notice further indicated that, subsequent to the occurrence of such noncompliance but prior to the date of the Notice, the Staff
determined that the Company regained compliance with the Rules as a result of the Company’s determination, effective July
1, 2024, that existing director and newly appointed audit committee member Andrew Arno qualifies as “independent”
in accordance with Nasdaq Listing Rule 5605(a)(2), as well as the additional independence standards for audit committee and compensation
committee members, under Nasdaq Listing Rule 5605(c)(2) and Rule 10A-3 under the Securities Exchange Act of 1934, as amended, and under
Nasdaq Listing Rule 5605(d)(2), respectively, which independence determination by the Company was previously disclosed in the
Company’s Current Report on Form 8-K filed on July 5, 2024.
SIGNATURES
Pursuant
to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by
the undersigned hereunto duly authorized.
|
ONCOCYTE
CORPORATION |
|
|
Date:
July 12, 2024 |
By:
|
/s/
Joshua Riggs |
|
|
Joshua
Riggs |
|
|
President
and Chief Executive Officer |
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