Current Report Filing (8-k)
April 02 2020 - 4:16PM
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
THE
SECURITIES EXCHANGE ACT OF 1934
Date
of report (Date of earliest event reported): March 27, 2020
SIGMA
LABS, INC.
(Exact
name of registrant as specified in its charter)
Nevada
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001-38015
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27-1865814
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(State
or other jurisdiction of
incorporation
or organization)
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(Commission
File
Number)
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(I.R.S.
Employer
Identification
No.)
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3900
Paseo del Sol
Santa
Fe, New Mexico 87507
(Address
of Principal Executive Offices) (Zip Code)
Registrant’s
telephone number, including area code: (505) 438-2576
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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SGLB
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The NASDAQ Stock
Market LLC
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Warrants to Purchase
Common Stock, par value $0.001 per share
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SGLBW
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The NASDAQ Stock
Market LLC
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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
5.07 SUBMISSION OF MATTERS TO A VOTE OF SECURITY HOLDERS.
On
March 27, 2020, Sigma Labs, Inc. (“our” or the “Company”) held a Special Meeting of Stockholders (the
“Special Meeting”) to consider and vote upon the following proposals:
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●
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Proposal
1: To approve the issuance of more than 20% of our issued and outstanding common stock as a result of a private placement
of our securities in January 2020;
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●
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Proposal 2: To
approve an amendment to our Amended and Restated Articles of Incorporation to increase the authorized number of shares of
common stock to 8,000,000 shares.
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Voting
Results
As
previously reported, effective February 27, 2020, the Company effected a 1-for-10 reverse stock split of its issued and outstanding
shares of common stock, and a corresponding decrease in the number of shares of common stock that the Company is authorized to
issue. There were 14,100,427 shares of the Company’s common stock outstanding on the record date for the Special Meeting
(such number and the voting results below do not give effect to the foregoing reverse stock split).
Proposal
1: This proposal was approved with 6,346,821 “FOR” votes, 444,685 “AGAINST” votes and 10,343 “ABSTAIN”
votes. There were 3,540,590 broker non-votes in connection with this proposal.
Proposal
2: This proposal was approved with 9,371,509 “FOR” votes, 943,532 “AGAINST” votes and 27,398 “ABSTAIN”
votes. There were no broker non-votes in connection with this proposal.
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.
Date: April 2, 2020
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SIGMA LABS, INC.
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By:
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/s/
John Rice
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Name:
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John Rice
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Title:
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President and Chief Executive Officer
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