Current Report Filing (8-k)
October 29 2020 - 4:43PM
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): October 29, 2020
RAFAEL
HOLDINGS, INC.
(Exact
name of registrant as specified in its charter)
|
Delaware
|
|
1-38411
|
|
82-2296593
|
(State
or other jurisdiction
of Incorporation)
|
|
(Commission File
Number)
|
|
(IRS
Employer
Identification No.)
|
520
Broad Street
Newark, New Jersey
|
|
07102
|
|
(Address
of principal executive offices)
|
|
(Zip Code)
|
Registrant’s
telephone number, including area code: 212 658-1450
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 (see General Instruction A.2. below):
|
☐
|
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. ☐
Securities
registered pursuant to Section 12(b)-2 of the Exchange Act:
|
Title
of each class
|
|
Trading
Symbol
|
|
Name
of each exchange on
which registered
|
|
Class
B common stock, par value $0.1 per share
|
|
RFL
|
|
New
York Stock Exchange
|
Item
2.02. Results of Operations and Financial Condition.
On
October 29, 2020, the Registrant posted an earnings release to the investors page of its website (www.rafaelholdings.com) announcing
its results of operations for the fiscal quarter and fiscal year ended July 31, 2020. A copy of the earnings release concerning
the foregoing results is furnished herewith as Exhibit 99.1 and is incorporated herein by reference.
The
Registrant is furnishing the information contained in this Report, including Exhibit 99.1, pursuant to Item 2.02 of Form 8-K promulgated
by the Securities and Exchange Commission (the “SEC”). This information shall not be deemed to be “filed”
with the SEC or incorporated by reference into any other filing with the SEC unless otherwise expressly stated in such filing.
In addition, this Report and the press release contain statements intended as “forward-looking statements” that are
subject to the cautionary statements about forward-looking statements set forth in the press release.
Item 9.01
Financial Statements and 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.
|
|
RAFAEL
HOLDINGS, INC.
|
|
|
|
|
|
|
By:
|
/s/ David Polinsky
|
|
|
|
Name:
David Polinsky
|
|
|
|
Title:
Chief Financial Officer
|
Dated:
October 29, 2020
EXHIBIT
INDEX
3
Rafael (NYSE:RFL)
Historical Stock Chart
From Mar 2024 to Apr 2024
Rafael (NYSE:RFL)
Historical Stock Chart
From Apr 2023 to Apr 2024
