Current Report Filing (8-k)
March 01 2018 - 9:29AM
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): February 27, 2018
GI DYNAMICS, INC.
(Exact name of registrant as specified in its charter)
|
|
|
|
|
Delaware
|
|
000-55195
|
|
84-1621425
|
(State or other jurisdiction
of incorporation)
|
|
(Commission
File Number)
|
|
(IRS Employer
Identification No.)
|
355 Congress Street
Boston, MA 02210
(Address
of principal executive offices and zip code)
Registrants telephone number, including area code: (781)
357-3300
(Former name or former address, if changed since last report.)
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))
|
Indicate by check mark whether the registrant is an emerging growth company as
defined in 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 2.02
|
Results of Operations and Financial Condition.
|
On February 27, 2018 (Australian
Eastern Daylight Time), GI Dynamics, Inc. (the Company) issued an Australian Securities Exchange (ASX) announcement containing its preliminary financial results for the fiscal year ended December 31, 2017. A copy of the
ASX announcement is attached hereto as Exhibit 99.1. The preliminary financial results are currently under audit by the Companys auditors, Moody, Famiglietti & Andronico, LLP, with final audited results to be released in the
Companys Annual Report on Form
10-K
to be filed with the Securities and Exchange Commission.
The information in this Item 2.02 shall not be deemed filed for purposes of Section 18 of the Securities Exchange
Act of 1934, as amended (the Exchange Act) or otherwise subject to the liabilities of that section, nor shall it be deemed incorporated by reference in any filing under the Securities Act of 1933, as amended, or the Exchange Act, except
as expressly set forth by specific reference in such a filing.
Item 7.01
|
Regulation FD Disclosure
|
See Item 2.02 above.
Item 9.01
|
Financial Statements and Exhibits.
|
(d) Exhibits
*
|
Exhibit 99.1 is being furnished and shall not be deemed filed for the purposes of Section 18 of the Securities Exchange Act of 1934 or otherwise subject to the liabilities of that Section, nor shall
they be incorporated by reference into any registration statement or other document filed with the Securities and Exchange Commission.
|
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.
|
|
|
|
|
|
|
|
|
|
|
|
|
GI DYNAMICS, INC.
|
|
|
|
|
Dated: March 1, 2018
|
|
|
|
|
|
/s/ Houry Youssoufian
|
|
|
|
|
|
|
Houry Youssoufian
|
|
|
|
|
|
|
VP Finance and Secretary
|