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APPLIED GENETIC TECHNOLOGIES CORPORATION (NASDAQ:AGTC) Files An 8-K Other Events

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ME Staff 8-k
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APPLIED GENETIC TECHNOLOGIES CORPORATION (NASDAQ:AGTC) Files An 8-K Other Events
Item 8.01. Other Events.

On June 24, 2021, Applied Genetic Technologies Corporation issued a press release reporting 12-month data from its ongoing phase 1/2 Achromatopsia (ACHM) clinical trials. A copy of this press release is attached to this Current Report on Form 8-K as Exhibit 99.1 and is incorporated herein by reference.

Item 9.01. Financial Statements and Exhibits.

(d) Exhibits.

99.1    Press release dated June 24, 2021.


APPLIED GENETIC TECHNOLOGIES CORP Exhibit
EX-99.1 2 d175382dex991.htm EX-99.1 EX-99.1 Exhibit 99.1   AGTC Reports 12-Month Data from its Ongoing Phase 1/2 Achromatopsia Clinical Trials Showing Biologic Activity in Patients with Mutations in the ACHM B3 Gene – Activities to support the next stage of clinical development of ACHM B3 candidate are ongoing- – Dosing of pediatric patients in ACHM B3 program and ACHM A3 program is expected to be completed in August 2021 – -Conference call to review data today at 8:00am ET- GAINESVILLE,…
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About APPLIED GENETIC TECHNOLOGIES CORPORATION (NASDAQ:AGTC)

Applied Genetic Technologies Corporation is a clinical-stage biotechnology company. The Company develops gene therapy products designed to manage the lives of patients with severe diseases in ophthalmology. As of March 31, 2016, its product candidates included treatments for X-linked retinoschisis (XLRS), over two forms of achromatopsia (ACHM) and X-linked retinitis pigmentosa (XLRP). As of March 31, 2016, the Company was engaged in developing three discovery programs, targeting three indications based on its adeno-associated virus vector technologies. XLRS is an inherited retinal degenerative disease caused by mutations in the retinoschisis1 (RS1) gene. Achromatopsia is an inherited condition that is associated with visual acuity loss, extreme light sensitivity resulting in daytime blindness, and reduced or complete loss of color discrimination, achromatopsia is caused by mutations in any of several genes. The Company is also developing Alpha-1 Antitrypsin Deficiency (Alpha 1).

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USA EQUITIES CORP. (OTCMKTS:USAQ) Files An 8-K Entry into a Material Definitive Agreement

By
ME Staff 8-k
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USA EQUITIES CORP. (OTCMKTS:USAQ) Files An 8-K Entry into a Material Definitive Agreement
ITEM 1.01 ENTRY INTO A MATERIAL DEFINITIVE AGREEMENT

On June 23, 2021, USA Equities Corp. (the “Company,” “we,” “us” and words of similar import) entered into a Purchase Agreement with MedScience Research Group, Inc. to which we acquired the trademark “AllergiEnd,” the web domain “AllergiEnd.com” and the US Method Patent Registration No. 9,655,556 relating to the allergy testing kit and related materials we distribute to our physician clients. (collectively, the “Assets”). Each of the Assets is associated with the AllergiEnd® diagnostic and allergen immunotherapy products we currently distribute as part of our recurring revenue business model focused on non-allergy specialist medical practitioners. In consideration for the Assets we issued to MedScience one million two hundred fifty thousand (1,250,000) shares of our common stock and our promissory note in the amount of $750,000 bearing interest at the rate of ten percent (10%) per annum and payable in thirty-six consecutive monthly instalments commencing July 7, 2021 and continuing through June 7, 2024.

Concurrent with the execution and delivery of the Purchase Agreement with MedScience we entered into a Contract Manufacturing Agreement with MedScience whereby MedScience agreed to manufacture and supply to us certain allergy related products including test kits, immunotherapies and injectable mixtures on the terms and conditions set forth in the Manufacturing Contract for the ten-year term of the Agreement. The price for each product can be increased by MedScience at any time and from time to time on ninety (90) days’ notice to us.

Troy Grogan, our President and principal shareholder, is a director of MedScience and a holder of shares of common stock of MedScience.

The foregoing description of the Purchase Agreement, the promissory note issued to MedScience and the Manufacturing Contract does not purport to be complete and is qualified in its entirety by reference to the copies of the Purchase Agreement, the promissory note and the Manufacturing Contract included as Exhibits 10.1, 10.2 and 10.3 to this Current Report on Form 8-K which are incorporated herein by reference.

ITEM 2.01 COMPLETION OF ACQUISITION OR DISPOSITION OF ASSETS

See Item 1.01 hereof for a description of the assets we acquired from MedScience Research Group, Inc. on June 23, 2021 to a Purchase Agreement entered into on such date.

ITEM 3.02 UNREGISTERED SALES OF EQUITY SECURITIES

On June 23, 2021, we issued one million two hundred fifty thousand (1,250,000) shares of our common stock to MedScience Research Group, Inc., in consideration of the Assets acquired by us as described under Item 1.01 of this Report. The issuance was exempt under Section 4(2) of the Securities Act of 1933, as amended. The issuance was part of a private transaction in which no securities were offered to any party other than MedScience which accepted the shares as part of the consideration for the assets we acquired, no solicitation of any party was made in connection with the issuance, MedScience was advised that the shares had not been registered under the Securities Act and cannot be transferred unless they are registered for sale under the Securities Act or there is available an exemption from such registration requirements and appropriate “stop transfer” orders have been placed against the shares.

Item 7.01 REGULATION FD DISCLOSURE

On June 24, 2021, USA Equities Corp. (the “Company”) issued a press release entitled “USA Equities Corp. Acquires AllergiEnd® Assets.”

A copy of the above-mentioned press release is attached herewith as Exhibit 99.1.

By filing this Current Report on Form 8-K and furnishing the information contained herein, the Company makes no admission as to the materiality of any information in this report that is required to be disclosed solely by reason of Regulation FD. The Company uses, and will continue to use, its website (https://usaqcorp.com), press releases, and various social media channels, including its Twitter account (https://twitter.com/USAQcorp), its LinkedIn account (https://www.linkedin.com/company/usaqcorp) its Facebook account (https://www.facebook.com/USA-Equities-100113722270622), and its Instagram account (https://www.instagram.com/usaqcorp/) as additional means of disclosing public information to investors, the media and others interested in the Company. It is possible that certain information that the Company posts on its website, disseminates in press releases and on social media could be deemed to be material information, and the Company encourages investors, the media and others interested in the Company to review the business and financial information that the Company posts on its website, disseminates in press releases and on the social media channels identified above, as such information could be deemed to be material information.


USA EQUITIES CORP. Exhibit
EX-10.1 2 ex10-1.htm   Exhibit 10.1   PURCHASE AGREEMENT   THIS PURCHASE AGREEMENT (the “Agreement”),…
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About USA EQUITIES CORP. (OTCMKTS:USAQ)

USA Equities Corp., formerly American Biogenetic Sciences, Inc., is a shell company. The Company focuses to seek new business opportunities, including seeking an acquisition or merger with an operating company. The Company’s subsidiary, USA Equities Trust, Inc., is engaged in acquiring real estate. The Company was engaged in the research, development and marketing of cardiovascular and neurobiology products for the purpose of commercial development and vaccines distribution. The Company’s products were designed for in vitro and in vivo diagnostic procedures and therapeutic drugs, and its products had been identified for use in the treatment of epilepsy, migraine and mania, neurodegenerative diseases, coronary artery diseases and cancer. The Company has no operations.

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Inspired Entertainment, Inc. (NASDAQ:INSE) Files An 8-K Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers

By
ME Staff 8-k
-

Inspired Entertainment, Inc. (NASDAQ:INSE) Files An 8-K Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers
Item 5.02

Effective June 21, 2021, Inspired Entertainment, Inc. (the “Company”) entered into an amendment (the “Addendum”) to the employment agreement between the Company and A. Lorne Weil, the Company’s Executive Chair (the “Executive”), dated as of October 9, 2020 (such agreement, as clarified on April 12, 2021, the “Employment Agreement”). The Employment Agreement, as amended by the Addendum, provides that the Executive agrees to convert his first tranche of Time Based RSUs and first tranche of Adjusted EBITDA Based RSUs to Stock Price Based RSUs by:

(d) Exhibits.


Inspired Entertainment, Inc. Exhibit
EX-10.1 2 ex10-1.htm   Exhibit 10.1   EXECUTION VERSION   ADDENDUM TO OCTOBER 9,…
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About Inspired Entertainment, Inc. (NASDAQ:INSE)

Inspired Entertainment, Inc., formerly Hydra Industries Acquisition Corp., is a global games technology company. The Company is engaged in developing and operating digital games and networks. The Company is engaged in supplying Virtual Sports, Mobile Gaming and Server-Based Gaming (SBG) systems with associated terminals and digital content to regulated betting, gaming and lottery operators around the world. The Company operates through two segments: Server Based Gaming and Virtual Sports. The Company operates approximately 25,000 digital gaming terminals and supplies its Virtual Sports products in over 35,000 venues and on approximately 100 Websites in over 30 countries. The Company provides digital gaming solutions on its network that accommodates a range of devices, including land-based gaming machine products, mobile devices, such as smartphones and tablets, as well as personal computer (PC) and social applications.

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BLUE LINE PROTECTION GROUP, INC. (OTCMKTS:BLPG) Files An 8-K Material Modification to Rights of Security Holders

By
ME Staff 8-k
-

BLUE LINE PROTECTION GROUP, INC. (OTCMKTS:BLPG) Files An 8-K Material Modification to Rights of Security Holders
Item 3.03 of the Original Report, as amended by the First Amendment and update the market, stockholders and other interested parties in respect of the disclosures contained in Item 8.01 herein. No other revisions have been made to the Original Report, and other than mentioned in the foregoing sentence, this 8-K/A does not amend, update, or change any other items or disclosures contained in the Original Report.

ITEM 3.03 MATERIAL MODIFICATION TO RIGHTS OF SECURITY HOLDERS.

The definition of “Effective Date” is amended to have the meaning set forth in Item 8.01 below, incorporated hereinto this Item 3.03 by reference thereto.

Item 8.01 Other Events.

The Company reported in its Form 8-K dated April 1, 2021, that it had filed an Issuer Company-Related Action Notification Form with FINRA on March 25, 2021, under FINRA Rule 6490, for processing a 1-for-100 reverse stock split of its authorized and issued and outstanding common stock. On June 22, 2020, we received notice from FINRA/OTC Corporate Actions that the reverse stock split described above will take effect at the open of business on Tuesday, July 6, 2021. A “D” will be placed on the Blue Line Protection Group ticker symbol, BLPG, for 20 business days to alert the public of the split. The trading symbol for the Company’s common stock will remain “BLPG.” The new CUSIP number for the Company’s common stock following the reverse stock split will be 09568Q305.

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About BLUE LINE PROTECTION GROUP, INC. (OTCMKTS:BLPG)

Blue Line Protection Group, Inc. provides armed protection, financial solutions, logistics, and compliance services for businesses engaged in the legal cannabis industry. The Company offers asset logistic services, such as armored transportation service; security services, including shipment protection, money escorts, security monitoring, asset vaulting, very important person (VIP) and dignitary protection, and others; financial services, such as handling transportation and storage of currency; training, and compliance services. It offers an integrated approach to manage the movement of cannabis and cash from growers through dispensaries via armed and armored transport, money processing, vaulting and related credit. Money processing services generally include counting, sorting and wrapping currency. The Company supplies guards, protection and armed and armored transportation to approximately 60% of all the licensees in Colorado.

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INC. (NASDAQ:INCR) Files An 8-K Entry into a Material Definitive Agreement

By
ME Staff 8-k
-

INC. (NASDAQ:INCR) Files An 8-K Entry into a Material Definitive Agreement
Item 1.01. Entry into a Material Definitive Agreement.

SPA-Letter Agreement dated June 22, 2021

 

As previously reported, the Company and Unique Logistics Holdings, Limited, a Hong Kong company (“ULHK”) entered into that certain Securities Purchase Agreement, dated May 29, 2020 (the “SPA”). to terms of the SPA, subject to the obtaining of required board and shareholder approvals and the satisfactory completion by the Company of a diligence review of the books, records and financial statements of each of (i) Unique Logistics International (North and East China) Company Limited and Affiliated companies of Unique Logistics International (North and East China) Company Limited operating in North East China and Taiwan (collectively, “UL China”), and (ii) Unique Logistics International India (Private) Limited (“UL India”), within 12 months of the Closing Date (the “Purchase Period”), the Company will acquire ULHK’s 50% interest in UL China and 65% interest in UL India (the “Acquisitions”) with a purchase price based on the a certain valuation of EBITDA multiples as discussed in the SPA for 2017, 2018 and 2019 (the “EBITDA Evaluation Period”). On June 22, 2021, the Company and ULHK entered into a Letter Agreement (the “SPA-Letter Agreement”) to which the Company and ULHK agreed to amend the SPA extending the Purchase Period (as defined in the SPA) to December 31, 2021. In addition to the Purchase Period extension, the parties to the SPA-Letter Agreement changed the EBITDA Evaluation Period to 2018, 2019, and 2020. All other terms and conditions not amended by the SPA will remain in full force and effect.

 

The foregoing summary of the SPA-Letter Agreement does not purport to be complete and is qualified in its entirety by reference to the full text of the SPA-Letter Agreement, a copy of which is filed hereto as Exhibit 10.1, and is incorporated herein by reference.

Addendum to Recourse Factoring and Security Agreement

 

As previously reported, Unique Logistics International, Inc., a Nevada corporation (the “Company”), Unique Logistics Holdings, Inc., a Delaware corporation (“Holdings”), Unique Logistics International (NYC), LLC, a Delaware limited liability company (“New York”), Unique Logistics International (BOS), Inc., a Massachusetts corporation (“Boston” and, together with the Company, Holdings and New York, collectively, “Seller”), entered into a Revolving Purchase, Loan and Security Agreement (the “TBK Agreement”) dated as of June 1, 2021, with TBK BANK, SSB, a Texas State Savings Bank (“Purchaser”), for a facility under which Purchaser will, from time to time, buy approved receivables from the Seller. The TBK Agreement provides for Seller to have access to the lesser of (i) $30 million (“Maximum Facility”) and (ii) the Formula Amount (as defined in the TBK Agreement) at an interest rate of the highest prime rate (but in no event less than 3.25%) plus 3%.

 

As previously reported, the TBK Agreement replaced the Company’s prior recourse factoring and security agreement with Corefund Capital, LLC (“Core”) entered into on May 29, 2020 (the “Prior Agreement”), to which Core agreed to purchase from the Company up to an aggregate of $25,000,000 of accounts receivables (the “Core Facility”). The Core Facility provided Core with security interests in purchased accounts until the accounts was repurchased by the Company or paid by the customer. As of June 1, 2021, the Core Facility was terminated along with all security interests granted to Core and was replaced with the TBK Agreement.

 

Effective June 17, 2021, the Company and Core amended the Prior Agreement (the “Addendum”) rescinding the Company’s termination notice of the Prior Agreement. The Addendum provides for a credit line of $2,000,000.00 with no term and no early termination fee which is in addition to the facility provided under the TBK Agreement. to the Addendum, the Company and Core agreed that Core would refile a UCC lien on the Company. The UCC lien will include the following collateral: all seller’s assets now owned and hereafter acquired accounts; chattel paper; deposit accounts; contract rights; letter of credit rights; instruments; payment and general intangibles; goods; inventory; insurance proceeds; equipment and fixtures; investment property; and all books and records relating to all of the foregoing property, including without limitation, all computer programs; and all proceeds of the foregoing. All other terms and conditions not amended by the Addendum will remain in full force and effect.

 

The foregoing summary of the Addendum does not purport to be complete and is qualified in its entirety by reference to the full text of the Addendum, a copy of which is filed hereto as Exhibit 10.2, and is incorporated herein by reference.

 

Item 2.03 Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant.

 

The applicable information set forth in Item 1.01 of this Current Report on Form 8-K is incorporated by reference in this Item 2.03.

 

Item 9.01. Financial Statements and Exhibits.

 

(d) Exhibits.

 

 

 

 


UNIQUE LOGISTICS INTERNATIONAL INC Exhibit
EX-10.1 2 f8k062321_ex10z1.htm EXHIBIT 10.1 ADDENDUM TO RECOURSE FACTORING AND SECURITY AGREEMENT Exhibit 10.2 SPA-Letter Agreement dated June 22,…
To view the full exhibit click here

About INC. (NASDAQ:INCR)

INC Research Holdings, Inc. is a global contract research organization (CRO). The Company is focused on Phase I to Phase IV clinical development services for the biopharmaceutical and medical device industries. The Company operates through two segments: Clinical Development Services and Phase I Services. The Company’s Clinical Development Services segment offers all clinical development services, including full-service global studies, as well as ancillary services, such as clinical monitoring, investigator recruitment, patient recruitment, data management, study reports to assist customers with their drug development process, quality assurance audits and specialized consulting services. The Company’s Phase I Services segment focuses on clinical development services for Phase I trials, which include scientific exploratory medicine, first-in-human studies through proof-of-concept stages and support for Phase I studies in established compounds.

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VNUE, INC. (OTCMKTS:VNUE) Files An 8-K Regulation FD Disclosure

By
ME Staff 8-k
-

VNUE, INC. (OTCMKTS:VNUE) Files An 8-K Regulation FD Disclosure
Item 7.01 Regulation FD Disclosure

About VNUE, INC. (OTCMKTS:VNUE)

VNUE, Inc. (VNUE) is a development-stage company. The Company is carrying on business as a live entertainment music service company, which brings bands and fans together by capturing audio and video recordings of live performances and delivers the experience of a venue to home and hand. By streamlining the processes of curation, clearing, capturing, distribution and monetization, it manages the complexities of the music ecosystem. The Company captures content through its Front of House mobile application and provides distribution and monetization through a suite of mobile, Web administration applications, allowing an artist to deliver and sell their live performances directly to the fans attending their shows. VNUE is primarily used in live music venues. The Company is also branching into various other entertainment experiences, such as comedy, plays, musicals, university lectures, professional demonstrations and panel discussions, as well as action sports, among others.

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On Track Innovations Ltd. (NASDAQ:OTIV) Files An 8-K Entry into a Material Definitive Agreement

By
ME Staff 8-k
-

On Track Innovations Ltd. (NASDAQ:OTIV) Files An 8-K Entry into a Material Definitive Agreement
Item 1.01. Entry into a Material Definitive Agreement.

On December 9, 2020, On Track Innovations Ltd. (the “Company”) entered into a loan financing agreement with Jerry L. Ivy, Jr., Descendants’ Trust (the “Lender”). The Lender is the Controlling Shareholder of the Company (as such term is defined under the Israeli Companies Law, 5759-1999, as amended (the “Companies Law”)). The agreement was amended on January 26, 2021 (as amended, the “Agreement”) to allow for an additional lender to join the Lender and lend an additional $100,000 and provides that the Lender and the additional lender will extend a loan to the Company in the aggregate amount of up to $1,600,000 (the “Loan Amount”). The Agreement, before it was amended, was further described in the Current Report on Form 8-K filed by the Company on December 15, 2020.

The Agreement provides, among other things, that the Loan Amount and all accrued interest (the “Secured Amount”) matures upon the lapse of six months following the initial closing, i.e., on June 17, 2021 (the “Maturity Date”), and will be payable in full on the Maturity Date, provided that the maturity date can be extended, in respect of the Loan Amount, at the sole option of the majority of the lenders. On June 17, 2021, the Lender, being the majority of the lenders, exercised its option to extend the maturity date, and the parties entered into a notice of exercise of option and agreement (the “Extension Agreement”), according to which the maturity date was extended until December 17, 2021 (the “Extended Maturity Date”, and the “Extended Maturity Period”, as applicable).

The Loan Amount has been bearing interest on all outstanding principal at an interest rate of 8.0% per annum. The net amount of interest on the Loan Amount accrued through June 17, 2021 was $54,849 (the “Interest Debt”). to the Extension Agreement, the interest rate will automatically increase, effective as of the Maturity Date, to the rate of 10.0% per annum (the “Extension Interest”). Any payment of interest is subject to withholding of taxes at source and the interest rates mentioned above are net of such withholding. Under the Extension Agreement, it was agreed that the Interest Debt shall be payable on the Extended Maturity Date, while until then it shall be considered part of the Loan Amount and shall bear the Extension Interest rate. In the event of a conversion of the Loan amount, the Interest Debt shall convert into ordinary shares of the Company at the conversion price of $0.174 per share, and the remaining Secured Amount shall be converted at a price per share of $0.124, as originally contemplated under the Agreement.

Subject to the understandings detailed herein, the Agreement shall continue to be in effect and apply, in accordance with its terms, including, without limitations, to the Extended Maturity Period and the Secured Amount.

The foregoing descriptions of the Agreement and the Extension Agreement are qualified by reference to the full text of the Agreement and the Extension Agreement. The Extension Agreement is filed as Exhibit 10.1 to this Current Report on Form 8-K.

Item 9.01. Financial Statements and Exhibits.

(d) Exhibits

10.1Notice of Exercise of Option and Agreement dated June 17, 2021.


ON TRACK INNOVATIONS LTD Exhibit
EX-10.1 2 ea143153ex10-1_ontrackinno.htm NOTICE OF EXERCISE OF OPTION AND AGREEMENT DATED JUNE 17,…
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About On Track Innovations Ltd. (NASDAQ:OTIV)

On Track Innovations Ltd. is a developer of cashless payment solutions. The Company’s segments include Retail and Mass Transit, Petroleum, Parking and Other. The Company offers solutions for banking, mobile network operators, vending, mass transit, petroleum and parking. The Company provides its customers with training and installation support, customer service and technical support. Its PayEnable technology can be implemented into a range of products. Its Retail and Mass Transit products include TRIO mPOS, Pico BT, WAVE, WAVE PKI, oti SATURN 6700 UNO, oti SATURN 6500 TRIO and oti SCI 6000. It also offers otiMetry and oti CONNECT 3000. Its EasyFuel Plus solution is a wireless, cashless, cardless and paperless refueling tracking and payment solution. Its EasyPark set of parking solutions provides parking fee collection, parking payment enforcement and parking management solution. Its MediSmart solution is an information management and claims submission system for the medical sector.

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W Technologies, Inc. (OTCMKTS:WTCG) Files An 8-K Regulation FD Disclosure

By
ME Staff 8-k
-

W Technologies, Inc. (OTCMKTS:WTCG) Files An 8-K Regulation FD Disclosure
Item 7.01. Regulation FD Disclosure.

On June 22, 2021, W Technologies, Inc. issued a press release announcing entry into a share exchange agreement with KryptoBank Co. (“KryptoBank”) and its stockholders, to which KryptoBank will become a wholly owned subsidiary of the Company. The share exchange is expected to close by July 31, 2021. to the share exchange agreement, the Company will acquire 100% of KryptoBank’s issued and outstanding common stock in exchange for the issuance by the Company of common stock representing 90% of the Company’s issued and outstanding common stock. A copy of this press release is attached hereto as Exhibit 99.1 and incorporated herein by reference.

The information included in Item 7.01 to this Current Report on Form 8-K, including Exhibit 99.1, shall not be deemed to be “filed” for purposes of Section 18 of the Exchange Act, or otherwise subject to the liabilities of that section, nor shall such information be deemed incorporated by reference in any filing under the Securities Act or the Exchange Act, except as shall be expressly set forth by specific reference in such a filing. The information set forth under this Item 7.01 shall not be deemed an admission as to the materiality of any information in this Current Report on Form 8-K.

Item 9.01. Financial Statements and Exhibits.

(d) Exhibits.

 
 

W Technologies, Inc. Exhibit
SEC.gov | Request Rate Threshold Exceeded html {height: 100%} body {height: 100%; margin:0; padding:0;} #header {background-color:#003968; color:#fff; padding:15px 20px 10px 20px;font-family:Arial,…
To view the full exhibit click here

About W Technologies, Inc. (OTCMKTS:WTCG)

W Technologies, Inc., formerly Winning Edge International, Inc., is a diversified holding company. The Company is engaged in creating mobile and search engine optimized Websites, landing pages and blogs, which incorporates social media and permission based short message service (SMS) text message marketing techniques. It is also engaged in the development of online shopping and payment solutions, environmentally safe oil and gas recovery technologies, clean water technologies, financial services involving residential and commercial real estate and other markets. Its subsidiaries are SoMo Technologies, Inc., Ad Media Group, Inc. and WT Real Estate Development Corp. SoMo Technologies, Inc. includes the GottaGo Text, G2GText and G2GGolf social media advertising operations. AdMedia Group, Inc. is engaged in the digital advertising distribution market. WT Real Estate Development Corp. is the Company’s commercial and residential real estate division.

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Great Elm Capital Corp. (NASDAQ:GECC) Files An 8-K Regulation FD Disclosure

By
ME Staff 8-k
-

Great Elm Capital Corp. (NASDAQ:GECC) Files An 8-K Regulation FD Disclosure
Item 7.01 Regulation FD Disclosure

Great Elm Capital Corp. (the “Company”) issued the press release attached hereto as Exhibit 99.1 in connection with the Company’s exercise of its option to redeem, in whole, the issued and outstanding Notes (as defined below).
The information disclosed under this Item 7.01, including Exhibit 99.1 hereto, is being furnished and shall not be deemed “filed” for purposes of Section 18 of the Securities Exchange Act of 1934, as amended, or otherwise subject to the liabilities of that section. The information provided herein shall not be deemed incorporated by reference into any filing made under the Securities Act of 1933, as amended, except as expressly set forth by specific reference in such filing.
Item 8.01 Other Events
On June 23, 2021, the Company caused notices to be issued to the holders of its 6.50% Notes due 2022 (CUSIP No. 390320 307; NASDAQ: GECCL) (the “Notes”) regarding the Company’s exercise of its option to redeem, in whole, the issued and outstanding Notes, to Section 1104 of the Indenture, dated as of September 18, 2017, by and between the Company and American Stock Transfer & Trust Company, LLC, as trustee (the “Trustee”), and Section 1.01(h) of the First Supplemental Indenture, dated as of September 18, 2017, by and between the Company and the Trustee. The Company will redeem all of the issued and outstanding Notes on July 23, 2021 (the “Redemption Date”). The Notes will be redeemed at 50% of their principal amount, plus accrued and unpaid interest thereon from April 30, 2021, through, but excluding, the Redemption Date. A copy of the notice of redemption is attached to this Current Report on Form 8-K as Exhibit 99.2 and is incorporated herein by reference.
Item 9.01 Financial Statements and Exhibits.
(d) Exhibits.

Great Elm Capital Corp. Exhibit
EX-99.1 2 nt10024411x12_ex99-1.htm EXHIBIT 99.1 Exhibit 99.1 Great Elm Capital Corp. Announces Conditional Redemption of 6.50% Notes due 2022 Waltham,…
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Comstock Holding Companies, Inc. (NASDAQ:CHCI) Files An 8-K Submission of Matters to a Vote of Security Holders

By
ME Staff 8-k
-

Comstock Holding Companies, Inc. (NASDAQ:CHCI) Files An 8-K Submission of Matters to a Vote of Security Holders

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