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): April 17, 2024
MIND Technology, Inc.
(Exact name of registrant as specified in its charter)
|
Delaware
|
001-13490
|
76-0210849
|
|
(State or other jurisdiction of
incorporation)
|
(Commission
File Number)
|
(I.R.S. Employer
Identification No.)
|
| |
|
|
|
2002 Timberloch Place, Suite 550
The Woodlands, Texas
|
|
77380
|
|
(Address of principal executive offices)
|
|
(Zip Code)
|
Registrant’s telephone number, including area code: 281-353-4475
Not Applicable
(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:
|
☐
|
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))
|
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 Stock - $0.01 par value per share
|
MIND
|
The NASDAQ Stock Market LLC
|
|
Series A Preferred Stock - $1.00 par value per share
|
MINDP
|
The NASDAQ Stock Market LLC
|
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 7.01 Regulation FD Disclosure.
On April 17, 2024, MIND Technology, Inc. (the “Company”) mailed the attached letters to certain holders of its 9.00% Series A Preferred Stock (the “preferred stock”) in connection with soliciting votes to approve an amendment to the Certificate of Designations, Preferences and Rights for the preferred stock. Copies of the letters are furnished as Exhibit 99.1 and Exhibit 99.2 to this report and incorporated by reference into this Item 7.01.
The information in this Item 7.01 (including the information incorporated by reference into this Item 7.01) is being furnished, not filed, for purposes of Section 18 of the Securities Exchange Act of 1934, as amended (the “Exchange Act”), is not subject to the liabilities of that section, and will not be incorporated by reference into any filing under the Exchange Act or the Securities Act of 1933, as amended (the “Securities Act”), unless specifically identified therein as being incorporated therein by reference.
Cautionary Note Regarding Forward-Looking Statements
Certain of the statements contained in this report should be considered forward-looking statements. These forward-looking statements may be identified by words such as “may,” “will,” “expect,” “intend,” “anticipate,” “believe,” “estimate,” “plan,” “project,” “could,” “should,” “would,” “continue,” “seek,” “target,” “guidance,” “outlook,” “if current trends continue,” “optimistic,” “forecast” and other similar words. Such statements include, but are not limited to, statements about the Company’s plans, objectives, expectations, intentions, estimates and strategies for the future, and other statements that are not historical facts. These forward-looking statements are based on the Company’s current objectives, beliefs and expectations, and they are subject to significant risks and uncertainties that may cause actual results and financial position and timing of certain events to differ materially from the information in the forward-looking statements. These risks and uncertainties include, but are not limited to, those set forth in the Company’s Annual Report on Form 10-K for the year ended January 31, 2024 (especially in Part II, Item 7. Management’s Discussion and Analysis of Financial Condition and Results of Operations), and other risks and uncertainties listed from time to time in the Company’s other filings with the Securities and Exchange Commission. There may be other factors of which the Company is not currently aware that may affect matters discussed in the forward-looking statements and may also cause actual results to differ materially from those discussed. The Company does not assume any obligation to publicly update or supplement any forward-looking statement to reflect actual results, changes in assumptions or changes in other factors affecting these forward-looking statements other than as required by law. Any forward-looking statements speak only as of the date hereof or as of the dates indicated in the statement.
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.
|
|
MIND Technology, Inc.
|
|
|
|
|
|
|
|
|
|
|
|
|
April 18, 2024
|
By:
|
/s/ Robert P. Capps
|
|
|
|
|
Name: Robert P. Capps
|
|
|
|
|
Title: President and Chief Executive Officer
|
|
Exhibit 99.1
June 14, 2024
Address1
Address2
Address3
Address4
Address5
Address6
Address7
PARTICIPATION STRONGLY ENCOURAGED!
Re: MIND Technology, Inc. – Special Meeting of Preferred Stockholders Adjourned to June 27, 2024.
Dear Preferred Stockholder,
We have been trying to reach you on behalf of MIND Technology, Inc., regarding an important matter pertaining to the Special Meeting of Preferred Stockholders that has been adjourned to June 27, 2024, to afford stockholders of record additional time to vote on the “Preferred Stock Proposal” and the “Adjournment Proposal”.
Please contact us at your earliest convenience by calling 1-833-795-8497 between the hours of 9:00am and 10:00pm Eastern time, Monday through Friday and Saturday and Sunday from 10:00am to 6:00pm or please scan the QR Code below and follow the prompts provided to vote your account.
This matter is very important and will take only a moment of your time.
Thank you in advance for your assistance with this matter.
Sincerely,
Gina Balderas
Operations Manager
Insert QR CODE here
Exhibit 99.2
Mind Technology Inc. Announces Adjournment of Special Meeting of Preferred Stockholders
Mind Technology Inc. (Ticker: MINDP) recently announced that the June 13th, 2024 Special Meeting of Preferred Stockholders is being adjourned until June 27th, 2024, to provide preferred stockholders with additional time to vote on Proposal 1, Amendment to the Preferred Stock Certificate.
Our records indicate your account is currently unvoted.
Please vote your shares of stock now so that your vote can be counted without delay. Voting is easy. You may use one of the options below to ensure that your vote is promptly recorded in time for the Annual Meeting now adjourned to June 27th, 2024:
| |
■
|
VOTE BY TOUCH-TONE PHONE: You may cast your vote by calling the toll-free number on the enclosed proxy card. Follow the instructions on your proxy card to cast your vote.
|
| |
■
|
VOTE VIA THE INTERNET: You may cast your vote by logging onto the website identified on the enclosed proxy card and following the instructions on the screen.
|
| |
■
|
VOTE BY MAIL: You may cast your vote by mail by completing, signing, dating, and mailing the enclosed proxy card in the postage-prepaid return envelope provided.
|
If you have any questions or require further assistance in voting your shares, please contact our proxy solicitor Alliance Advisors toll-free at 833-795-8497 or email MIND@AllianceAdvisors.com.
Sincerely,
[s] Robert P. Capps
Robert P. Capps
President and Chief Executive Officer
| IF YOU HAVE RECENTLY MAILED YOUR PROXY CARD OR CAST YOUR VOTE BY PHONE OR INTERNET, PLEASE ACCEPT OUR THANKS AND DISREGARD THIS REQUEST. |
MIND Technology (NASDAQ:MINDP)
Historical Stock Chart
From Oct 2024 to Nov 2024
MIND Technology (NASDAQ:MINDP)
Historical Stock Chart
From Nov 2023 to Nov 2024
