Current Report Filing (8-k)

Date : 03/14/2017 @ 6:06AM
Source : Edgar (US Regulatory)
Stock : Sunworks, Inc. (SUNW)
Quote : 1.11  -0.06 (-5.13%) @ 6:02PM

Current Report Filing (8-k)






Washington, D.C. 20549






Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934


Date of Report (Date of earliest event reported):  March 13, 2017



(Exact name of registrant as specified in its charter)


Delaware   001-36868   01-0592299

(State or other jurisdiction of

incorporation or organization)



File Number)


IRS Employer

Identification No.)


1030 Winding Creek Road, Suite 100

Roseville, CA 95678

(Address of Principal Executive Offices)   (Zip Code)


(805) 690-9000

(Registrant’s telephone number, including area code)


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


[  ] Soliciting material pursuant to Rule 14a-12 under the Exchange Act


[  ] 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 7.01 Regulation FD Disclosure


Sunworks, Inc. (the “Company”) has made available a presentation about the Company’s business, a copy of which is filed as Exhibit 99.1 to this Current Report on Form 8-K (the “Report”) and is hereby incorporated by reference.


The information contained in the presentation is summary information that should be considered in the context of the Company’s filings with the SEC and other public announcements the Company may make by press release or otherwise from time to time. The presentation speaks as of the date of this Report. While the Company may elect to update the presentation in the future to reflect events and circumstances occurring or existing after the date of this Report, the Company specifically disclaims any obligation to do so.


The presentation contains forward-looking statements, and as a result, investors should not place undue reliance on these forward-looking statements.


The information set forth in this Report, including without limitation the presentation, is not 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 may be expressly set forth by specific reference in such a filing.


tem 9.01 Financial Statements and Exhibits.


(d)        Exhibits.


The exhibits listed in the following Exhibit Index are filed as part of this Report.


Exhibit No.   Description
99.1   Sunworks, Inc. presentation dated March 2017






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 thereunto duly authorized.


Date: March 13, 2017 By: /s/ James B. Nelson
  Name: James B. Nelson
  Title: Chief Executive Officer




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