Current Report Filing (8-k)
November 29 2017 - 4:28PM
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):
November 22, 2017
OncoCyte
Corporation
(Exact
name of registrant as specified in its charter)
California
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1-37648
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27-1041563
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(State
or other jurisdiction
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(Commission
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(IRS
Employer
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of
incorporation)
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File
Number)
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Identification
No.)
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1010
Atlantic Avenue
Suite
102
Alameda,
California 94501
(Address
of principal executive offices)
(510)
775-0515
(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:
☐
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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. ☒
Forward-Looking
Statements
Any
statements that are not historical fact (including, but not limited to statements that contain words such as “may,”
“will,” “believes,” “plans,” “intends,” “anticipates,” “expects,”
“estimates”) should also be considered to be forward-looking statements. Additional factors that could cause actual
results to differ materially from the results anticipated in these forward-looking statements are contained in OncoCyte Corporation’s
Form 10 filed with the Securities and Exchange Commission (“SEC”) under the heading “Risk Factors” and
other filings that OncoCyte may make with the SEC. Undue reliance should not be placed on these forward-looking statements which
speak only as of the date they are made, and the facts and assumptions underlying these statements may change. Except as required
by law, OncoCyte disclaims any intent or obligation to update these forward-looking statements.
References
to “OncoCyte,” “we” or “us” are references to OncoCyte Corporation
Section
3 - Securities and Trading Markets
Item
3.01 Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing.
On
November 22, we notified the NYSE American (the “Exchange”) that, as a result of the departure of Don M. Bailey from
our Board of Directors (the “Board”) the Board no longer has a majority of independent directors as required by Section
802(a) of the Exchange Company Guide and as a result we are not in compliance with the Exchange’s continued listing standards.
As previously disclosed, our Board plans to recruit a new independent director to fill the vacancy resulting from Mr. Bailey’s
departure to regain compliance with Section 802(a) of the Exchange Company Guide within the time frame required by the Exchange
for continued listing of our common stock.
On
November 27, 2017, we received an official notice of noncompliance from the Exchange acknowledging the recipe of our notice and
notifying us that in accordance with Section 802(b) of the Exchange Company Guide we have until our next annual meeting of shareholders
or one year from the date of Mr. Bailey’s departure from the Board to comply with the Exchange’s board composition
requirements, provided that if our next annual meeting of shareholders occurs no later than 180 days after the date of Mr. Bailey’s
departure from the Board, we will have 180 days from the date of his departure to regain compliance.
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.
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ONCOCYTE
CORPORATION
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Date:
November 29, 2017
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By:
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/
s/
William Annett
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William
Annett
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President
and Chief Executive Officer
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