Amended Current Report Filing (8-k/a)
September 10 2018 - 4:07PM
Edgar (US Regulatory)
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 8-K/A
Current Report
Pursuant to Section 13 or 15(d)
of the
Securities Exchange Act of 1934
Date of Report (Date of earliest event
reported): August 31, 2018
DROPCAR,
INC.
(Exact name
of Registrant as specified in its charter)
Delaware
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001-34643
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98-0204758
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(State or other jurisdiction
of incorporation)
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(Commission
File No.)
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(IRS Employer
Identification No.)
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DropCar, Inc.
1412 Broadway,
Suite 2105
New York, New
York 10018
(Address of
principal executive offices and zip code)
Registrant’s
telephone number, including area code: (646) 342-1595
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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¨
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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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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.
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EXPLANATORY NOTE
This current report on Form 8-K/A (this
“Amendment”) amends the current report on Form 8-K dated September 4, 2018 filed by DropCar, Inc. with the U.S. Securities
and Exchange Commission (the “Original Form 8-K”). The purpose of this Amendment is to (i) file certain documents
with the Commission as a result of requests from The Nasdaq Stock Market (“Nasdaq”) and (ii) to file a corrected Form
of Reload Warrant (as defined in the Original Form 8-K) as Exhibit 4.1 to correct certain typographical errors in the Form of Reload
Warrant filed with the Original Form 8-K.
Item 1.01 Entry into a Material
Definitive Agreement.
On September 5, 2018,
DropCar, Inc. (the “Company”) received a request from The Nasdaq Stock Market (“Nasdaq”), to (i) amend
its Certificate of Designations, Preferences and Rights of the Series H-4 Convertible Preferred Stock, par value $0.0001 per share
(the “Series H-4 Preferred Stock”), originally filed with the Secretary of State of the State of Delaware on March
8, 2018 (the “Certificate of Designations”) to provide that the Series H-4 Preferred Stock may not be converted into
shares of the Company’s common stock, par value $0.0001 per share (the “Common Stock”) until the Company has
obtained stockholder approval of the issuance of the Common Stock underlying the Series H-4 Preferred Stock pursuant to the applicable
rules and regulations of Nasdaq and (ii) amend its Series H-4 warrants to purchase shares of Common Stock originally issued on
March 8, 2018 (the “Series H-4 Warrants”), to provide that the Series H-4 Warrants may not be exercised until the Company
has obtained stockholder approval of the issuance of Common Stock underlying the Series H-4 Warrants pursuant to the applicable
rules and regulations of Nasdaq.
In response to the
above requests, on September 10, 2018, the Company (i) filed a Certificate of Amendment (the “COD Amendment”) to the
Certificate of Designations and (ii) entered into an amendment (the “Warrant Amendment”) with the holders of its Series
H-4 Preferred Stock, in each case to provide for stockholder approval as described above prior to the conversion of the Series
H-4 Preferred Stock or exercise of the Series H-4 Warrants, as the case may be. The foregoing summaries of the COD Amendment and
the Warrant Amendment are subject to, and qualified in their entirety by reference to, the COD Amendment and the Warrant Amendment,
which are incorporated herein by reference to Exhibits 3.1 and 4.2, respectively.
Item 3.03 Material Modification to Rights of Security Holders
The information set forth in Item 1.01 of
this Current Report on Form 8-K is incorporated herein by reference.
Item 5.03 Amendments to Articles of Incorporation or Bylaws;
Change in Fiscal Year.
The information set forth in Item 1.01 of
this Current Report on Form 8-K is incorporated herein by reference.
Item
9.01 Financial Statements and Exhibits.
(d) 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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DROPCAR, INC.
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Date: September 10, 2018
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By:
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/s/ Spencer Richardson
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Name: Spencer Richardson
Title: Chief Executive Officer
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