Current Report Filing (8-k)
May 18 2021 - 10:31AM
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) May
18, 2021
MECHANICAL TECHNOLOGY, INCORPORATED
(Exact name of registrant as specified in
its charter)
Nevada
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000-06890
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14-1462255
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(State or other jurisdiction
of Incorporation)
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(Commission
File Number)
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(IRS Employer
Identification Number)
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325 Washington Avenue Extension
Albany, New York
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12205
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(Address of registrant's principal executive office)
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(Zip code)
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(518) 218-2550
(Registrant's telephone number, including
area code)
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):
☐
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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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☐
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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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Securities registered pursuant to
Section 12(b) of the Act:
Title of each class
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Trading symbol(s)
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Name of each exchange on which
registered
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Common Stock, par value $0.001 per share
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MKTY
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The Nasdaq Capital Market
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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. ☐
Item 2.02 Results
of Operations and Financial Condition
On May 18, 2021,
Mechanical Technology, Incorporated (the “Company”) issued a press release announcing its financial and business highlights
for the quarterly period ended March 31, 2021. The press release is attached hereto as Exhibit 99.1 under Item 9.01 of this Current
Report on Form 8-K (this “Form 8-K”) and is incorporated by reference herein.
Additionally,
on May 18, 2021, the Company delivered to the Company’s stockholders a presentation of the Company’s first quarter
results. The Company released presentation materials that incorporate the Company’s first quarter results, a discussion of
each business segment and recent business highlights. The materials of the presentation are available at the Company’s website,
specifically located at: https://www.mechtech.com/mti-announces-quarter-one-2021-results.
Item 7.01 Regulation
FD Disclosure
Reference is made
to the disclosure in Item 2.02 of this Form 8-K, which disclosure is incorporated herein by reference.
The information
contained in this Form 8-K provided under Item 7.01 and Exhibit 99.1 attached hereto are furnished to, but shall not be deemed
filed with, the Securities and Exchange Commission (the “SEC”) or incorporated by reference into the Company's filings
under the Securities Act of 1933, as amended, or the Securities Exchange Act of 1934, as amended.
Forward-Looking
Statements
This
Form 8-K and Exhibit 99.1 contain forward-looking statements. Forward-looking statements include, but are not limited to, statements
that express the Company’s intentions, beliefs, expectations, strategies, predictions or any other statements related to
the Company’s future activities, or future events or conditions. These statements are based on current expectations, estimates
and projections about the Company’s business based, in part, on assumptions made by its management. These statements are
not guarantees of future performances and involve risks, uncertainties and assumptions that are difficult to predict. Therefore,
actual outcomes and results may differ materially from what is expressed or forecasted in the forward-looking statements due to
numerous factors, including those risks that may be included in documents that the Company files from time to time with the SEC.
Any forward-looking statements speak only as of the date on which they are made, and the Company undertakes no obligation to update
any forward-looking statement to reflect events or circumstances after the date of this Form 8-K, except as required by law.
Item 9.01.
Financial Statements and Exhibits.
(d) Exhibits
SIGNATURES
Pursuant
to the requirement 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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MECHANICAL TECHNOLOGY, INCORPORATED
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Date: May 18, 2021
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By:
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/s/ Jessica
L. Thomas
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Name:
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Jessica L. Thomas
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Title:
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Chief Financial Officer
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Mechanical Technology (NASDAQ:MKTY)
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