Current Report Filing (8-k)
03 6월 2021 - 5:46AM
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): June
2, 2021 (May 25, 2021)
Cascade Acquisition Corp.
(Exact name of registrant as specified in its charter)
Delaware
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001--39728
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85-2562068
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(State or other jurisdiction of
incorporation)
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(Commission File Number)
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(IRS Employer Identification No.)
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1900 Sunset Harbour Dr.
Suite 2102
Miami Beach, Florida 33139
(Address of principal executive offices, including
zip code)
Registrant’s telephone number, including
area code: (203) 856-3033
Not Applicable
(Former name or former address, if changed since last report)
Check the appropriate box
below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following
provisions:
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☐
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Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)
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Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)
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Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))
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Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))
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Securities registered pursuant to Section 12(b)
of the Act:
Title of each class
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Trading Symbol(s)
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Name of each exchange on which registered
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Units, each consisting of one share of Class A common stock, par value $0.0001 per share, and one-half of one Redeemable Warrant
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CAS.U
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The New York Stock Exchange
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Class A Common Stock, $.0001 par value per share
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CAS
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The New York Stock Exchange
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Warrants, each whole warrant exercisable for one share of Class A Common Stock, each whole Warrant exercisable for $11.50 per share
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CAS.WS
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The New York Stock Exchange
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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 þ
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.
As previously disclosed in the Form 12b-25 filed
on May 17, 2021 by Cascade Acquisition Corp. (the “Company”), on April 12, 2021, the staff (the “Staff”)
of the Division of Corporation Finance of the Securities and Exchange Commission (the “SEC”) issued a statement entitled
“Staff Statement on Accounting and Reporting Considerations for Warrants Issued by Special Purpose Acquisition Companies”
(the “Staff Statement”). The Staff Statement, among other things, highlighted the potential accounting implications of certain
terms that are common in warrants issued in connection with the initial public offerings of special purpose acquisition companies such
as the Company. As a result of the Staff Statement, the Company required additional time to file its Quarterly Report on Form 10-Q for
the quarter ended March 31, 2021 (the “Form 10-Q”).
On May 25, 2021, the Company received a notice
(the “Notice”) from the NYSE Regulation staff of the New York Stock Exchange (the "NYSE") stating that the
Company is not in compliance with Section 802.01E of the NYSE Listed Company Manual (the “Rule”) because it has not
timely filed the Form 10-Q with the SEC. The Rule requires listed companies to timely file
all required periodic financial reports with the SEC. The Notice has no immediate effect on the listing or trading of the
Company’s securities. However, if the Company fails to timely regain compliance with
the Rule, the Company’s securities will be subject to delisting from the NYSE.
Under NYSE
rules, the Company has six months from the due date of the 10-Q, or until November 24, 2021, to file the Form 10-Q. If the Company fails
to file the Form 10-Q by November 24, 2021, it can submit an official request to the NYSE to allow the Company’s securities to continue
to trade on the NYSE. If the NYSE accepts the Company's request, then the NYSE may grant an additional six months, or until May 24, 2022,
to file the Form 10-Q. However, there can be no assurance that the NYSE will accept the Company's request or that the Company will be
able to regain compliance within any extension period granted by the NYSE. The NYSE may commence delisting procedures at any
time during the period that is available to the Company to complete the filing, if circumstances warrant.
As noted above, the Company is working diligently
to complete its Form 10-Q. The Company intends to file the Form 10-Q as soon as practicable to regain compliance with NYSE continued listing
standards.
Item 8.01. Other Events.
On June 2, 2021 the Company issued a press release
announcing its receipt of the Notice. A copy of the press release is attached hereto as Exhibit 99.1 and is incorporated herein by reference.
Item 9.01 Financial Statements and Exhibits
(d) Exhibits
SIGNATURE
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.
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Cascade Acquisition Corp.
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By:
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/s/ Daniel Hirsch
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Name:
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Daniel Hirsch
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Title:
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Chief Financial Officer
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Dated: June 2, 2021
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2
Cascade Acquisition (NYSE:CAS)
과거 데이터 주식 차트
부터 4월(4) 2024 으로 5월(5) 2024
Cascade Acquisition (NYSE:CAS)
과거 데이터 주식 차트
부터 5월(5) 2023 으로 5월(5) 2024