Current Report Filing (8-k)
December 19 2017 - 4:52PM
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):
December 13, 2017
SUNWORKS,
INC.
(Exact
name of registrant as specified in its charter)
Delaware
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001-36868
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01-0592299
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(State
or other jurisdiction of
incorporation or organization)
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(Commission
File Number)
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IRS
Employer
Identification
No.)
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1030
Winding Creek Road, Suite 100
Roseville,
CA
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95678
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(Address
of Principal Executive Offices)
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(Zip
Code)
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(916)
409-6900
(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):
[ ]
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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
5.02 Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements
of Certain Officers.
Effective
December 13, 2017, John Van Slooten resigned as a member of Sunworks, Inc.’s (the “Company’s”) Board of
Directors (the “Board”). Mr. Van Slooten also resigned as a member of the Board’s Compensation and Corporate
Governance/Nominating Committees. Mr. Van Slooten’s resignation was not the result from any disagreement with the Company,
any matter related to the Company’s operations, policies or practices, the Company’s management or the Board.
Effective
December 15, 2017, Brigham Tomco resigned as a member of the Company’s Board. Mr. Tomco also resigned as a member of the
Board’s Audit and Compensation Committees. Mr. Tomco’s resignation was not the result from any disagreement with the
Company, any matter related to the Company’s operations, policies or practices, the Company’s management or the Board.
Effective December
15, 2017, Abraham Emard resigned as a member of the Company’s Board. Mr. Emard’s resignation was not the result from
any disagreement with the Company, any matter related to the Company’s operations, policies or practices, the Company’s
management or the Board. Mr. Emard will continue in an operational and sales leadership role with the Company.
The
Company released a press release with respect to the foregoing, a copy of which is attached hereto as Exhibit 99.1.
Item
9.01 Financial Statements and Exhibits.
(d)
Exhibits
The
exhibits listed in the following Exhibit Index are filed as part of this Current Report on Form 8-K.
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 thereunto duly authorized.
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SUNWORKS,
INC.
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Date:
December 19, 2017
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By:
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/s/
Charles F. Cargile
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Name:
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Charles
F. Cargile
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Title:
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Chief
Executive Officer
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