Current Report Filing (8-k)
December 13 2019 - 8:31AM
Edgar (US Regulatory)
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
December 09, 2019
Date of Report (Date of earliest event reported)
SolarWindow Technologies, Inc.
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(Exact name of registrant as specified in its charter)
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Nevada
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333-127953
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59-3509694
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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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300 Main Street, Suite 6, Vestal, New York
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13850
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(Address of principal executive offices)
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(Zip Code)
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(800) 213-0689
(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 (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))
Securities registered pursuant to Section 12(b) of the Act: None.
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. ☐
SECTION 7 – Regulation FD
Item 7.01 Regulation FD Disclosure
On December 09, 2019, SolarWindow Technologies,
Inc., developer of transparent coatings that convert ordinary glass into electricity-generating windows, issued a press release
titled “SolarWindow: The CEO’s Year End Summary and 2020 Outlook”. A copy of the press release is attached as
Exhibit 99.1 to this report.
Except for the historical information presented
in this document, the matters discussed in this Report, or otherwise incorporated by reference into this document, contain “forward-looking
statements” (as such term is defined in the Private Securities Litigation Reform Act of 1995). These statements are identified
by the use of forward-looking terminology such as “believes,” “plans,” “intend,” ”scheduled,”
“potential,” “continue,” “estimates,” “hopes,” “goal,” “objective,”
“expects,” “may,” “will,” “should” or “anticipates” or the negative
thereof or other variations thereon or comparable terminology, or by discussions of strategy that involve risks and uncertainties.
The safe harbor provisions of Section 21E of the Securities Exchange Act of 1934, as amended, and Section 27A of the Securities
Act of 1933, as amended, apply to forward-looking statements made by the Registrant. The reader is cautioned that no statements
contained in this Report should be construed as a guarantee or assurance of future performance or results. These forward-looking
statements involve risks and uncertainties, including those identified within this Report. The actual results that the Registrant
achieves may differ materially from any forward-looking statements due to such risks and uncertainties. These forward-looking statements
are based on current expectations, and the Registrant assumes no obligation to update this information. Readers are urged to carefully
review and consider the various disclosures made by the Registrant in this Report and in the Registrant’s other reports filed
with the Securities and Exchange Commission that attempt to advise interested parties of the risks and factors that may affect
the Registrant’s business.
Note: Information in this Report furnished
pursuant to Item 7 shall not be deemed to be “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 in this Report shall not be incorporated by
reference into any registration statement pursuant to the Securities Act of 1933, as amended. The furnishing of the information
in this Report is not intended to, and does not, constitute a representation that such furnishing is required by Regulation FD
or that the information this Report contains is material investor information that is not otherwise publicly available.
SECTION 9. Financial Statements and Exhibits
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 on December 13,
2019.
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SolarWindow Technologies, Inc.
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By:
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/s/ John Conklin
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Name:
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John Conklin
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Title:
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President and Chief Executive Officer
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