Current Report Filing (8-k)
February 02 2021 - 4:31PM
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
February 1, 2021
Date of Report (Date of earliest event reported)
INVIVO THERAPEUTICS HOLDINGS CORP.
(Exact Name of Registrant as Specified in
Charter)
Nevada
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001-37350
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36-4528166
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(State or Other
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(Commission File Number)
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(IRS Employer
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Jurisdiction of Incorporation)
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Identification No.)
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One Kendall Square, Suite B14402
Cambridge, Massachusetts 02139
(Address of Principal Executive Offices)
(Zip Code)
(617) 863-5500
(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:
Title of each class
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Trading symbol(s)
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Name of each exchange on which
registered
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Common Stock, $0.00001 par value
per share
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NVIV
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The Nasdaq Capital Market
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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 8.01. Other Events.
As previously disclosed by InVivo Therapeutics
Holdings Corp. (the “Company”) on that certain Current Report on Form 8-K filed on December 8, 2020 with
the U.S. Securities and Exchange Commission (the “SEC”), on December 4, 2020, the Company received a written notice
(the “Initial Notice”) from the Listing Qualifications department of The Nasdaq Stock Market LLC (“Nasdaq”)
indicating that the Company was not in compliance with Nasdaq Listing Rule 5550(a)(2), which requires a minimum closing bid
price of $1.00 per share of the Company’s common stock (the “Minimum Bid Price Requirement”). The Initial Notice
provided the Company 180 calendar days, or until June 2, 2021, to regain compliance with the Minimum Bid Price Requirement.
On February 1, 2021, the Company received
a letter (the “Compliance Letter”) from the Listing Qualifications department of Nasdaq notifying the Company that
it has regained compliance with the Minimum Bid Price Requirement. The Compliance Letter noted that (i) the Company’s
common stock had a closing bid price of at least $1.00 for a minimum of ten consecutive trading days from January 15, 2021
through January 29, 2021, and (ii) the Company has regained compliance with the Minimum Bid Price Requirement. Accordingly,
Nasdaq considers the matter closed.
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.
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INVIVO THERAPEUTICS HOLDINGS CORP.
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Date: February 2, 2021
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By:
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/s/ Richard Toselli
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Name:
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Richard Toselli, M.D.
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Title:
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Chief Executive Officer
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InVivo Therapeutics (NASDAQ:NVIV)
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