Current Report Filing (8-k)
April 21 2020 - 4:58PM
Edgar (US Regulatory)
UNITED
STATES
SECURITIES
AND EXCHANGE COMMISSION
Washington,
D.C. 20549
FORM
8-K
CURRENT
REPORT
Pursuant
to Section 13 or Section 15(d) of the Securities Exchange Act of 1934
Date
of Report (Date of earliest event reported): April 21, 2020
GUARDION
HEALTH SCIENCES, INC.
(Exact
name of registrant as specified in its charter)
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Delaware
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001-38861
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44-4428421
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(State
or other jurisdiction
of
incorporation)
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(Commission
File
Number)
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(I.R.S.
Employer
Identification
No.)
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15150
Avenue of Science, Suite 200
San
Diego, CA 92128
(Address
of principal executive offices, including zip code)
Registrant’s
telephone number, including area code: (858) 605-9055
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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[ ]
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Soliciting
material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)
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[ ]
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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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[ ]
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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:
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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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Common
Stock, par value $0.001 per share
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GHSI
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The
NASDAQ Stock Market LLC
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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 [X]
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. [ ]
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Item
7.01
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Regulation
FD Disclosure
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The
information contained in this 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 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.
On
April 22, 2020, Guardion Health Sciences, Inc. (the “Company”) will present a PowerPoint presentation (the
“Presentation”) at the April 2020 Virtual Investor Summit. The Presentation is furnished as Exhibit 99.1 to this Current
Report on Form 8-K.
On
April 21, 2020, the Nasdaq Stock Market LLC (“Nasdaq”) informed the Company that given the extraordinary market conditions,
Nasdaq has determined to toll the compliance periods for bid price and market value of publicly held shares (“MVPHS”)
requirements (collectively, the “Price-based Requirements”) through June 30, 2020. The Company had previously been
granted until September 14, 2020, to regain compliance with the bid price requirement. Accordingly, since the Company had 152
calendar days remaining in its bid price compliance period as of April 16, 2020, it will, upon reinstatement of the Price-based
Requirements, still have 152 calendar days from July 1, 2020, or until November 30, 2020, to regain compliance.
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Item
9.01
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Financial
Statements and Exhibits
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(d)
Exhibits
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.
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GUARDION
HEALTH SCIENCES, INC.
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Date:
April 21, 2020
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By:
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/s/
MICHAEL FAVISH
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Name:
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Michael
Favish
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Title:
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Chief
Executive Officer
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