Current Report Filing (8-k)
April 01 2013 - 4:51PM
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): April 1, 2013 (March 26, 2013)
NV5 HOLDINGS, INC.
(Exact name of registrant as specified in its charter)
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Delaware |
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001-35849 |
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45-3458017 |
(State or Other Jurisdiction of Incorporation) |
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(Commission File Number) |
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(IRS Employer Identification No.) |
200 South Park Road, Suite 350
Hollywood, Florida
33021 (Zip Code)
(Address of Principal Executive Offices)
Registrants telephone number, including area code: (954) 495-2112
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 follow provisions:
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Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425) |
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Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12) |
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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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Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c)) |
Item 1.01. Entry into a Material Definitive Agreement.
On March 26, 2013, NV5 Holdings, Inc. (the Company) entered into an Underwriting Agreement with Roth Capital Partners, LLC in connection
with its initial public offering. The Company previously filed the form of underwriting agreement as an exhibit to its Registration Statement on Form S-1 (File No. 333-186229).
A copy of the Underwriting Agreement is filed as Exhibit 1.1 to this Current Report on Form 8-K and is incorporated herein by reference. The foregoing description of the Underwriting Agreement does not
purport to be complete and is qualified in its entirety by reference to the complete text of the Underwriting Agreement.
Item 2.02.
Results of Operations and Financial Condition.
On April 1, 2013, the Company reported its financial results for the fourth quarter
and fiscal year ending 2012. The information contained in this Item 2.02 (including Exhibit 99.1) is furnished pursuant to Item 2.02 and shall not be deemed to be filed for the purpose of Section 18 of the Securities
Exchange Act of 1934 or otherwise subject to the liabilities of that section.
The Company does not have, and expressly disclaims, any
obligation to release publicly any updates or any changes in the Companys expectations or any change in events, conditions, or circumstances on which any forward-looking statement is based.
Item 9.01 Financial Statements and Exhibits.
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Exhibit No. |
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Description |
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1.1 |
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Underwriting Agreement, dated March 26, 2013, between the Registrant and Roth Capital Partners, LLC |
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99.1 |
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Press Release dated April 1, 2013 |
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.
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Date: April 1, 2013 |
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NV5 HOLDINGS, INC. |
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By: |
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/s/ Michael P. Rama |
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Name: |
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Michael P. Rama |
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Title: |
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Vice President and Chief Financial Officer |
EXHIBIT INDEX
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Exhibit No. |
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Description |
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1.1 |
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Underwriting Agreement, dated March 26, 2013, between the Registrant and Roth Capital Partners, LLC |
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99.1 |
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Press Release dated April 1, 2013 |
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