Occulogix, Inc. - Current report filing (8-K)
12 9월 2008 - 3:05AM
Edgar (US Regulatory)
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): September 8,
2008
OCCULOGIX,
INC.
(Exact
name of Registrant as specified in its Charter)
Delaware
|
000
51030
|
59-343-4771
|
(State
or other Jurisdiction of Incorporation)
|
(Commission
File Number)
|
(IRS
Employer Identification No.)
|
2600
Skymark Avenue, Unit 9, Suite 201
Mississauga,
Ontario L4W 5B2
(Address
of principal executive offices)
Registrant’s
telephone number, including area code:
(905) 602-0887
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))
ITEM
3.01 Notice of Delisting or Failure to Satisfy a Continued Listing Rule or
Standard; Transfer of Listing
On
September 8, 2008, OccuLogix, Inc. (the “Company”) issued a press release
announcing that it received notification from the NASDAQ Listing Qualifications
Panel (the “Panel”) that the Panel has determined to delist the Company’s
securities from The NASDAQ Capital Market, effective at the open of business on
September 18, 2008. The Company received the Panel’s notification on
September 8, 2008.
As
previously announced on August 29, 2008, the Company had requested additional
time from NASDAQ to regain compliance with the minimum stockholders’ equity and
bid price requirements for continued listing on The NASDAQ Capital
Market. The Company’s request was based on its continuing expectation
that it will satisfy these requirements following the implementation of the
transactions that the Company’s stockholders are being asked to approve at the
Annual and Special Meeting of Stockholders, to be held on September 30,
2008. The Panel determined not to grant the Company’s request, citing
a lack of authority under the NASDAQ Marketplace Rules to grant an extension
beyond September 18, 2008.
The
Company has requested that the NASDAQ Listing and Hearing Review Council (the
“Listing Council”) review the Panel’s determination in this matter and grant the
Company the time necessary to regain compliance with all applicable listing
requirements, including the time to hold the Annual and Special Meeting of
Stockholders on September 30, 2008. However, there can be no
assurance that the Listing Council will grant the Company’s
request.
In view
of the Panel’s determination, the Company will take steps to facilitate the
transfer of the trading of its common stock on the Over-the-Counter Bulletin
Board (the “OTCBB”), which is maintained by the Financial Industry Regulatory
Authority (also known as FINRA), on or prior to September 18,
2008. The Company plans to make a further announcement regarding the
timing of any quotation of its securities on the OTCBB, when and if
applicable. In the interim and through September 17, 2008, the
Company’s common stock will continue to trade on The NASDAQ Capital
Market. The Panel’s determination has no impact on the Company’s
listing on the Toronto Stock Exchange.
ITEM
9.01 Financial Statements and Exhibits
(d)
Exhibits
|
Press
Release of OccuLogix, Inc. dated September 8,
2008.
|
SIGNATURE
Pursuant
to the requirements of the Securities Exchange Act of 1934, the Company has duly
caused this Report to be signed on its behalf by the undersigned hereunto duly
authorized.
|
|
OCCULOGIX,
INC.
|
|
|
|
Date: September
11, 2008
|
By:
|
/s/Suh
Kim
|
|
|
Suh
Kim
|
|
|
General
Counsel
|
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