root9B Holdings, Inc. Form 8-K: Current report
Filings on SEC EDGAR, newest first; amendments sit with their base form. Values are as filed.
- 2016-12-29: Form 8-K; Period of report 2016-12-22; Description 1.01 Entry into a Material Definitive Agreement; 2.03 Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant; 3.02 Unregistered Sales of Equity Securities; Details 1.01.
- 2016-12-21: Form 8-K; Period of report 2016-12-21; Description 8.01 Other Events; Details 8.01.
- 2016-12-20: Form 8-K; Period of report 2016-12-15; Description 1.01 Entry into a Material Definitive Agreement; 7.01 Regulation FD Disclosure; 8.01 Other Events; Details 1.01.
- 2016-12-06: Form 8-K; Period of report 2016-11-30; Description 5.03 Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year; 8.01 Other Events; Details 5.03.
| Filed | Form | Period of report | Description | Details | Document |
|---|---|---|---|---|---|
| 2016-12-29 | 8-K | 2016-12-22 | 1.01 Entry into a Material Definitive Agreement; 2.03 Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant; 3.02 Unregistered Sales of Equity Securities | 1.01 Entry into a Material Definitive Agreement. 2.03 The information disclosed in Item 1.01 of this Current Report on Form 8-K is incorporated by reference into this Item 2.03. 3.02 The information disclosed in Item 1.01 of this Current Report on Form 8-K is incorporated by reference into this Item 3.02. | rtnb_8k.htm |
| 2016-12-21 | 8-K | 2016-12-21 | 8.01 Other Events | 8.01 On December 21, 2016, the root9b Holdings, Inc. issued a press release entitled “root9B Holdings Announces Uplisting to Nasdaq Capital Market”. | rtnb_8k.htm |
| 2016-12-20 | 8-K | 2016-12-15 | 1.01 Entry into a Material Definitive Agreement; 7.01 Regulation FD Disclosure; 8.01 Other Events | 1.01 Entry into a Material Definitive Agreement. 7.01 On December 20, 2016, the Company sent a letter to its stockholders discussing, among other things, the Purchase Agreement, the Company’s transition to a “pure-play” cybersecurity firm, and the listing of the Company’s common stock on the Nasdaq Capital Market. 8.01 On December 20, 2016, the Company issued a press release, a copy of which is attached to this Current Report on Form 8-K as Exhibit 99.2. | rtnb_8k.htm |
| 2016-12-06 | 8-K | 2016-11-30 | 5.03 Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year; 8.01 Other Events | 5.03 As previously disclosed, on October 24, 2016, the stockholders of root9B Holdings, Inc., a Delaware corporation (formerly root9B Technologies, Inc.) (the “Company”), approved proposals that authorized an amendment to effect (i) a reverse stock split at a ratio determined by the Company’s Board of Directors and (ii) a decrease in the number of authorized shares of the Company’s common stock. 8.01 On November 30, 2016, the Board approved changes to its committee charters and the Code of Business Conduct and Ethics to further enhance its corporate governance practices. | rtnb_8k.htm |
| 2016-11-29 | 8-K | 2016-11-22 | 5.02 Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers; 8.01 Other Events | 5.02 On November 22, 2016, the Board of Directors (the “Board”) of root9B Technologies, Inc. (the “Company”) appointed William Hoke as the Company’s Chief Financial Officer, effective immediately. 8.01 On November 29, 2016, the Company issued a press release regarding the appointment of Mr. Hoke as the Company’s CFO. | rtnb_8k.htm |
| 2016-10-27 | 8-K | 2016-10-24 | 5.07 Submission of Matters to a Vote of Security Holders | 5.07 root9B Technologies, Inc., a Delaware corporation (the “Company”), held its 2016 Special Meeting of Stockholders on October 24, 2016 (the “Meeting”). | rtnb_8k.htm |
| 2016-09-23 | 8-K | 2016-09-21 | 1.01 Entry into a Material Definitive Agreement; 2.03 Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant; 3.02 Unregistered Sales of Equity Securities; 8.01 Other Events | 1.01 Entry into a Material Definitive Agreement. 2.03 The information disclosed in Item 1.01 of this Current Report on Form 8-K is incorporated by reference into this Item 2.03. 3.02 The information disclosed in Item 1.01 of this Current Report on Form 8-K is incorporated by reference into this Item 3.02. 8.01 On September 22, 2016, the Company issued a press release entitled “root9B Technologies Announces Dismissal of Class Action Lawsuit”. | rtnb_8k.htm |
| 2016-09-12 | 8-K | 2016-09-09 | 1.01 Entry into a Material Definitive Agreement; 2.03 Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant; 3.02 Unregistered Sales of Equity Securities | 1.01 Entry into a Material Definitive Agreement. 2.03 The information disclosed in Item 1.01 of this Current Report on Form 8-K is incorporated by reference into this Item 2.03. 3.02 The information disclosed in Item 1.01 of this Current Report on Form 8-K is incorporated by reference into this Item 3.02. | rtnb_8k.htm |
| 2016-09-07 | 8-K | 2016-08-31 | 5.02 Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers; 8.01 Other Events | 5.02 On August 31, 2016, the Board of Directors of root9B Technologies, Inc. (the “Company”) appointed Dan Wachtler as the Company’s President and Chief Operating Officer, effective immediately. 8.01 On August 31, 2016, the Company issued a press release entitled “Dan Wachtler named President and COO of root9B Technologies”. | rtnb_8k.htm |
| 2016-08-26 | 8-K | 2016-08-22 | 5.02 Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers; 8.01 Other Events | 5.02 On August 22, 2016, pursuant to the Company’s bylaws, the Company’s Board of Directors (the “Board”) increased the size of the Board to nine members and elected Eric Hipkins, the Chief Executive Officer of Root9B, LLC, a wholly-owned subsidiary of the Company, to fill the newly created vacancy. 8.01 On August 22, 2016, the Company issued a press release entitled “root9B Technologies Announces Strategic Shift to Pure Cybersecurity”. | rtnb_8k.htm |
| 2016-08-22 | 8-K | 2016-08-17 | 1.01 Entry into a Material Definitive Agreement; 2.03 Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant | 1.01 On August 17, 2016, root9B Technologies Inc. (the “Company”) issued an unsecured, non-convertible, promissory note to Joseph J. Grano, Jr., Chief Executive Officer of the Company, in the principal amount of $500,000 (the “Note”), bearing interest at the rate of 4% per annum and which is payable on or before September 30, 2017. 2.03 The information required by this item in incorporated by reference from Item 1.01 above. | rtnb_8k.htm |
| 2016-06-09 | 8-K | 2016-06-03 | 8.01 Other Events | 8.01 On June 3, 2016, root9B Technologies, Inc. (the “Company”) issued a press release announcing that the Company has been awarded a subcontract from prime contractor Science Applications International Corporation (SAIC). | rtnb_8k.htm |
| 2016-05-26 | 8-K | 2016-05-24 | 5.07 Submission of Matters to a Vote of Security Holders | 5.07 The Annual Meeting of Stockholders of root9B Technologies, Inc. (the “Company”) was held on May 24, 2016 (the “Meeting”). | rtnb_8k.htm |
| 2016-04-22 | 8-K | 2016-04-18 | 1.01 Entry into a Material Definitive Agreement; 3.02 Unregistered Sales of Equity Securities | 1.01 Entry into a Material Definitive Agreement. 3.02 The information provided in response to Item 1.01 of this Current Report on Form 8-K is incorporated by reference into this Item 3.02. | rtnb_8k.htm |
| 2016-04-20 | 8-K | 2016-04-11 | 1.01 Entry into a Material Definitive Agreement | 1.01 Entry into a Material Definitive Agreement. | rtnb_8k.htm |
| 2016-04-20 | 8-K | 2016-04-14 | 1.01 Entry into a Material Definitive Agreement; 5.02 Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers | 1.01 Entry into a Material Definitive Agreement. 5.02 On April 18, 2016, in connection with the Company’s efforts to manage its operating costs, Joseph Grano, the Company’s Chief Executive Officer and Chairman of the Board, voluntarily agreed to forego his guaranteed annual cash bonus of $500,000 earned during the fiscal year ending December 31, 2015. | rtnb_8k.htm |
| 2016-03-23 | 8-K | 2016-03-23 | 8.01 Other Events | 8.01 On March 23, 2016, root9B Technologies, Inc. (the “Company”) issued a press release announcing that the Company has been awarded a cyber operations training contract by the United States Air Force. | rtnb_8k.htm |
| 2016-03-14 | 8-K | 2016-03-09 | 1.01 Entry into a Material Definitive Agreement; 3.02 Unregistered Sales of Equity Securities; 3.03 Material Modification to Rights of Security Holders | 1.01 Entry into a Material Definitive Agreement. 3.02 The information disclosed in Item 1.01 of this Current Report on Form 8-K is incorporated by reference into this Item 3.02. 3.03 The information disclosed in Item 1.01 of this Current Report on Form 8-K is incorporated by reference into this Item 3.03. | rtnb_8k.htm |
| 2016-03-08 | 8-K | 2016-03-07 | 1.01 Entry into a Material Definitive Agreement | 1.01 Entry into a Material Definitive Agreement. | rtnb_8k.htm |
| 2016-03-01 | 8-K | 2016-02-29 | 1.01 Entry into a Material Definitive Agreement | rtnb_8k.htm | |
| 2016-02-25 | 8-K | 2016-02-25 | 5.02 Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers | 5.02 On February 25, 2016, root9B Technologies, Inc., a Delaware corporation (the “Company”), entered into a letter agreement (the “Amendment”) with Kenneth T. Smith, the Company’s former Chief Financial Officer, pursuant to which the Company and Mr. Smith agreed to amend that certain Independent Contractor Consulting Agreement dated November 11, 2015 by and between the Company and Mr. Smith (the “Agreement”). | rtnb_8k.htm |
| 2016-02-11 | 8-K | 2016-02-09 | 1.01 Entry into a Material Definitive Agreement; 3.03 Material Modification to Rights of Security Holders | 1.01 Entry into a Material Definitive Agreement. 3.03 The information disclosed in Item 1.01 of this Current Report on Form 8-K is incorporated by reference into this Item 3.03. | rtnb_8k.htm |
| 2016-02-01 | 8-K | 2016-01-26 | 1.01 Entry into a Material Definitive Agreement; 3.02 Unregistered Sales of Equity Securities; 7.01 Regulation FD Disclosure | 1.01 Entry into a Material Definitive Agreement. 3.02 The information disclosed in Item 1.01 of this Current Report on Form 8-K is incorporated by reference into this Item 3.02. 7.01 On January 26, 2016, the Company announced that David Aucsmith joined the Company as Chief Scientist. | rtnb_8k.htm |
| 2016-01-25 | 8-K | 2016-01-19 | 7.01 Regulation FD Disclosure | 7.01 On January 19, 2016, root9B Technologies, Inc. (the “Company”) issued a press release announcing that root9B, a subsidiary of the Company, has been ranked first on Cybersecurity Venture’s Cybersecurity 500 list. | rtnb_8k.htm |