Current Report Filing (8-k)
October 04 2018 - 4:03PM
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): October 1, 2018
THE JOINT CORP.
(Exact name of registrant as specified
in its charter)
Delaware
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001-36724
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90-0544160
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(State or other juris-
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(Commission file
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(IRS employer
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diction of incorporation)
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number)
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identification number)
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16767 N. Perimeter Drive, Suite 240
Scottsdale, AZ 85260
(Address of principal executive offices)
Registrant’s telephone number, including area code:
(480) 245-5960
Check the appropriate box below if the Form 8-K is intended to simultaneously
satisfy the filing obligations 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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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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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 (17 CFR §230.405) or Rule 12b-2 of the Securities Exchange Act
of 1934 (17 CFR §240.12b-2). 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 4.01
Changes in Registrant’s Certifying Accountant.
Effective October 1, 2018, EKS&H LLLP (“EKS&H”),
the independent registered public accounting firm for The Joint Corp. (the “Company”), combined with Plante & Moran
PLLC (“Plante Moran”). As a result of this transaction, on October 1, 2018, EKS&H resigned as the independent registered
public accounting firm for the Company. Concurrent with such resignation, the Company’s audit committee approved the engagement
of Plante Moran as the new independent registered public accounting firm for the Company.
The audit reports of EKS&H on the Company’s financial
statements for the years ended December 31, 2017 and 2016 did not contain an adverse opinion or a disclaimer of opinion, and were
not qualified or modified as to uncertainty, audit scope or accounting principles.
During the two most recent fiscal years ended December 31, 2017
and 2016 and through the subsequent interim period preceding EKS&H’s resignation, there were no disagreements between
the Company and EKS&H on any matter of accounting principles or practices, financial statement disclosure, or auditing scope
or procedures, which disagreements, if not resolved to the satisfaction of EKS&H would have caused them to make reference thereto
in their reports on the Company’s financial statements for such years.
During the two most recent fiscal years ended December 31, 2017
and 2016 and through the subsequent interim period preceding EKS&H’s resignation, there were no reportable events within
the meaning set forth in Item 304(a)(1)(v) of Regulation S-K.
During the two most recent fiscal years ended December 31, 2017
and 2016 and through the subsequent interim period preceding Plante Moran’s engagement, the Company did not consult with
Plante Moran on either (1) the application of accounting principles to a specified transaction, either completed or proposed; or
the type of audit opinion that may be rendered on the Company’s financial statements, and Plante Moran did not provide either
a written report or oral advice to the Company that Plante Moran concluded was an important factor considered by the Company in
reaching a decision as to the accounting, auditing or financial reporting issue; or (2) any matter that was either the subject
of a disagreement, as defined in Item 304(a)(1)(iv) of Regulation S-K, or a reportable event, as defined in Item 304(a)(1)(v) of
Regulation S-K.
The Company has provided EKS&H a copy of the disclosures in
this Form 8-K and has requested that EKS&H furnish it with a letter addressed to the Securities and Exchange Commission stating
whether or not it agrees with the Company’s statements herein. A copy of the letter dated October 4, 2018 is filed as Exhibit
16.1 to this Form 8-K.
Item 9.01
Financial Statements and Exhibits
(d)
Exhibits
Signature
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.
Date: October 4, 2018
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The Joint Corp.
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By
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/s/ Peter D. Holt
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Peter D. Holt
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President and Chief Executive Officer
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