Current Report Filing (8-k)
April 02 2018 - 4:37PM
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
March 29, 2018
(Date of Report; Date of Earliest Event Reported)
STEIN MART,
INC.
(Exact Name of Registrant as Specified in its Charter)
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Florida
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0-20052
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64-0466198
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(State or Other Jurisdiction
of Incorporation)
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(Commission
File Number)
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(IRS Employer
Identification No.)
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1200 Riverplace Blvd., Jacksonville, Florida 32207
(Address of Principal Executive Offices Including Zip Code)
(904)
346-1500
(Registrants 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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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 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. ☐
On March 29, 2018, Stein Mart, Inc. (the Company),
received notice from the Listing Qualifications Department of The NASDAQ Stock Market (NASDAQ), notifying the Company that it was back in compliance with the minimum bid price requirements set forth in Nasdaq Listing Rule 5450(a)(1) for
continued listing on the Nasdaq Global Market.
The Company was previously notified on March 13, 2018, that it was not in compliance
with NASDAQ Listing Rule 5450(a)(1) because its common stock had failed to maintain a minimum bid price of $1.00 per share for a period of thirty (30) consecutive business days.
Pursuant to the March 29, 2018 letter, NASDAQ notified the Company that the closing bid price of its common stock had exceeded $1.00 for
the prior 10 consecutive business days and, as such, the Company has regained compliance with Listing Rule 5450(a)(1) and the matter is now closed.
SIGNATURES
Pursuant to the requirements of the Securities Exchange Act of 1934, as amended, the registrant has duly caused this report to be signed on its behalf by the
undersigned hereunto duly authorized.
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STEIN MART, INC.
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(Registrant)
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Date: April 2, 2018
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By:
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/s/ Gregory W. Kleffner
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Gregory W. Kleffner
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Executive Vice President and Chief Financial Officer
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