Current Report Filing (8-k)
May 17 2017 - 4:11PM
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 16, 2017
GenVec, Inc.
(Exact name of registrant as specified in its
charter)
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Delaware
(state or other jurisdiction of incorporation)
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000-24469
(Commission
File Number)
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23-2705690
(I.R.S. Employer
Identification No.)
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910 Clopper Road, Suite 220N
Gaithersburg, Maryland
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20878
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(Address of principal executive offices)
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(Zip Code)
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Registrant's telephone number, including area
code:
(240) 632-0740
(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 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.
¨
INFORMATION TO BE INCLUDED IN THE REPORT
Section 3 – Securities and Trading Markets
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Item 3.01.
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Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing.
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On May 16,
2017, GenVec, Inc. (the “Company”) received a notice from The NASDAQ Stock Market LLC (“NASDAQ”) that the
Company is not in compliance with NASDAQ’s Listing Rule 5550(b)(1) because it has not maintained a minimum of $2.5 million
in stockholders’ equity. The notification of noncompliance has no immediate effect on the listing or trading of the Company’s
common stock on NASDAQ under the symbol “GNVC.”
Pursuant to
the NASDAQ Listing Rules, the Company has 45 days, or until June 30, 2017, to submit a plan to regain compliance with the minimum
stockholders’ equity requirement. If the plan is accepted, the Company may be granted up to 180 calendar days from May 16,
2017 to evidence compliance.
SIGNATURE
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.
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GENVEC, INC.
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By:
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/s/ Douglas J. Swirsky
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Douglas J. Swirsky
President, Chief Executive Officer and Corporate
Secretary
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Dated: May 17, 2017
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