Form 8-K - Current report

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) – September 28, 2023

SIFCO Industries, Inc.

(Exact name of registrant as specified in its charter)

Ohio

1-5978

34-0553950

(State or other jurisdiction

of incorporation)

(Commission

File Number)

(IRS Employer

Identification No.)

970 East 64th Street, Cleveland Ohio

44103

(Address of principal executive offices)

(ZIP Code)

Registrant’s telephone number, including area code: (216) 881-8600

N.A.

(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 (see General Instruction A.2. below):


☐			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 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. ☐

Securities registered pursuant to Section 12(b) of the Act:

Title of each class

Trading Symbol(s)

Name of each exchange on which registered

Common Shares

SIF

NYSE American


Item 8.01			Other Events.

On September 28, 2023, SIFCO Industries, Inc. (the “Company” or “SIFCO”) received a notice from the NYSE American LLC (the “NYSE American”) acknowledging that the Company filed its delayed Form 10-Q for the fiscal quarter ended June 30, 2023 and informing the Company that it has now regained compliance with Section 1007 of the NYSE American Company Guide. The notice states further that (i) the Company will be removed from the late filers' list disseminated to data vendors and posted on the Listed Standards Filing Status page on www.nyse.com and (ii) the "LF" indicator posted on the Profile, Data and News page related to each issue will be removed.


Item 9.01			Financial Statements and Exhibits.

(d) Exhibits

10.1 Letter from the NYSE American to the Company dated September 28, 2023.

99.1 Press Release by the Company regarding the letter from the NYSE Ame rican dated September 2 8 , 2023.

104 Cover Page Interactive Data File (embedded within the Inline XBRL document).

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.



						SIFCO Industries, Inc.
						(Registrant)

Date: October 4, 2023
						/s/ Thomas R. Kubera
						Thomas R. Kubera
						Chief Financial Officer
						(Principal Financial Officer)

September 28, 2023 Mr. Peter W. Knapper President & Chief Executive Officer SIFCO Industries, Inc. 970 East 64th Street Cleveland, Ohio 44103 Dear Mr. Knapper: This will acknowledge that SIFCO Industries, Inc. (the “Company”) filed its delayed Form 10-Q for the quarter ended June 30, 2023, on EDGAR on September 28, 2023. As a result, the Company has now regained compliance with Section 1007 of the NYSE American Company Guide and it will be removed from the late filers’ list disseminated to data vendors and posted on the Listed Standards Filing Status page on www.nyse.com. Also, the “LF” indicator posted on the Profile, Data and News pages related to each issue will be removed. If you have any questions, please contact Vaughn Smith at 212-656-2248 or vaughn.smith@nyse.com. Sincerely, cc: Thomas R. Kubera, SIFCO Industries, Inc. Paul Dorfman, Intercontinental Exchange, Inc. | NYSE Deoclides Machado, NYSE Regulation Tanya Hoos, CPA Senior Director NYSE Regulation 11 Wall Street New York, NY 10005 T +1 212 656 5391 tanya.hoos@nyse.com

SIFCO Industries, Inc. Received Notice of Non-Compliance with NYSE AMERICAN Continued Listing Requirements

Cleveland -- SIFCO Industries, Inc. (the “Company” or “SIFCO”) on September 28, 2023 received written notice from the regulation office of the NYSE American LLC (the “NYSE American”) acknowledging that the Company filed its delayed Form 10-Q for the fiscal quarter ended June 30, 2023 and informing the Company that it has now regained compliance with Section 1007 of the NYSE American Company Guide. The notice states further that the Company will be removed from the late filers’ list disseminated to data vendors and posted on the Listed Standards Filing Status page on www.nyse.com and the “LF” indicator posted on the Profile, Data and News page related to each issue will be removed.

Forward-Looking Language

Certain statements contained in this press release are “forward-looking statements” within the meaning of the Private Securities Litigation Reform Act of 1995, such as statements relating to financial results and plans for future business development activities, and are thus prospective. Such forward-looking statements are subject to risks, uncertainties and other factors, which could cause actual results to differ materially from future results expressed or implied by such forward-looking statements. Potential risks and uncertainties include, but are not limited to, economic conditions, concerns with or threats of, or the consequences of, pandemics, contagious diseases or health epidemics, including COVID-19, competition and other uncertainties the Company, its customers, and the industry in which they operate have experienced and continue to experience, detailed from time to time in the Company’s Securities and Exchange Commission filings.

The Company's Annual Report on Form 10-K for the year ended September 30, 2022 and other reports filed with the Securities and Exchange Commission can be accessed through the Company's website: www.sifco.com, or on the Securities and Exchange Commission's website: www.sec.gov.

SIFCO Industries, Inc. is engaged in the production of forgings and machined components primarily for the aerospace and energy markets. The processes and services include forging, heat-treating, coating, and machining.

Contacts

SIFCO Industries, Inc.

Thomas R. Kubera, 216-881-8600

www.sifco.com

Cover	Feb. 22, 2023
Cover [Abstract]
Document Type	8-K
Document Period End Date	Sep. 28, 2023
Entity Registrant Name	SIFCO Industries, Inc.
Entity Incorporation, State or Country Code	OH
Entity File Number	1-5978
Entity Tax Identification Number	34-0553950
Entity Address, Postal Zip Code	44103
Entity Address, State or Province	OH
Entity Address, City or Town	Cleveland
Entity Address, Address Line One	970 East 64th Street,
City Area Code	216
Local Phone Number	881-8600
Written Communications	false
Soliciting Material	false
Pre-commencement Tender Offer	false
Pre-commencement Issuer Tender Offer	false
Entity Emerging Growth Company	false
Title of 12(b) Security	Common Shares
Trading Symbol	SIF
Security Exchange Name	NYSEAMER
Amendment Flag	false
Entity Central Index Key	0000090168