Current Report Filing (8-k)
October 03 2017 - 4:26PM
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 2, 2017
DOCUMENT
SECURITY SYSTEMS, INC.
(Exact
name of registrant as specified in its charter)
New
York
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001-32146
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16-1229730
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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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200
Canal View Boulevard
Suite
300
Rochester,
NY
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14623
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(Address
of principal executive offices)
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(Zip
Code)
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Registrant’s
telephone number, including area code:
(585) 325-3610
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):
[ ]
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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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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. [ ]
Item
3.01 Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing
On
October 2, 2017, Document Security Systems, Inc. (the “Company”) was formally notified by the NYSE American LLC Exchange
(the “NYSE American”) that the Company has regained compliance with the stockholders’ equity continued listing
standards set forth in Section 1003(a)(ii) of the NYSE American LLC Company Guide (the “Company Guide”), and will
be permitted to continue to list its common stock for trading on the NYSE American exchange under the symbol “DSS”.
As
previously reported in a Current Report on Form 8-K filed by the Company on April 7, 2016, the Company was previously notified
by the NYSE American that it was not in compliance with the continued listing stockholders’ equity standards set forth in
Section 1003(a)(ii) of the Company Guide, and was instructed by the NYSE American to submit a plan of compliance by May 2, 2016
addressing how it intended to regain compliance with the requirements of Section 1003(a)(ii) of the Company guide by October 2,
2017, which it did in due course. Also, as reported in a Current Report on Form 8-K filed on May 24, 2016, the Company was notified
that the NYSE American had accepted the Company’s submitted plan to regain compliance with Section 1003(a)(ii) by October
2, 2017, subject to periodic review by the NYSE American for compliance with the initiatives set forth in the plan.
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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DOCUMENT SECURITY SYSTEMS, INC.
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Dated: October 3, 2017
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By:
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/s/ Jeffrey Ronaldi
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Jeffrey Ronaldi
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Chief Executive Officer
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