Current Report Filing (8-k)
October 08 2020 - 8:29AM
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 8, 2020
CAPSTONE TURBINE CORPORATION
(Exact name of registrant as specified
in its charter)
Delaware
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001-15957
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95-4180883
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(State
or other jurisdiction
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(Commission
File Number)
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(IRS
Employer
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of
incorporation)
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Identification
No.)
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16640
Stagg Street,
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Van
Nuys, California
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91406
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(Address
of principal executive
offices)
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(Zip
Code)
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(818) 734-5300
(Registrant’s telephone number, including
area code)
Former name or former address, if changed since last report:
N/A
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 (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 exchange on which
registered
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Common Stock, par
value $.001 per
share
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CPST
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NASDAQ Capital Market
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Series B Junior Participating
Preferred
Stock
Purchase Rights
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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 (17 CFR §230.405) or Rule 12b-2 of the Securities
Exchange Act of 1934 (17 CFR §240.12b-2).
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. ¨
Capstone Turbine Corporation
(the “Company”) is filing this Current Report on Form 8-K for the purpose of incorporating by reference into
the Company’s Registration Statement on Form S-3, as amended (Filed No. 333-225503), the opinion of the Company’s
counsel filed herewith as Exhibit 5.1.
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Item 9.01.
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Financial Statements and Exhibits.
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(d) Exhibits.
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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CAPSTONE TURBINE CORPORATION
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Date: October 8, 2020
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By:
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/s/
Frederick S. Hencken III
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Name:
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Frederick S. Hencken III
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Title:
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Chief Financial Officer and Chief Accounting
Officer (Principal Financial Officer)
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