UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

 

Washington, DC 20549

 

 

FORM 8-K

 

CURRENT REPORT

 

Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934

 

June 16, 2016

Date of Report

(Date of earliest event reported)

 

 

 

 

SOCKET MOBILE, INC.

(Exact name of registrant as specified in its charter)

 

Delaware   001-13810   94-3155066
(State or other jurisdiction of incorporation)   (Commission File Number)   (IRS Employer
Identification No.)

 

39700 Eureka Drive

Newark, CA 94560

(Address of principal executive offices, including zip code)

 

(510) 933-3000

(Registrant’s telephone number, including area code)

 

 

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))

 

 

 
 

Item 3.01. Transfer of Listing

 

On June 16, 2016, Socket Mobile, Inc. (the “Company”) received approval from the Listing Qualifications Department of The Nasdaq Stock Market confirming that the Company’s common stock would commence trading on the Nasdaq Capital Market on June 22, 2016. On that date, the Company’s listing will transfer from the OTCQB tier of the Over-the-counter (OTC) market. The Company’s common stock will continue to trade under the trading symbol SCKT.

 

The full text of the Company's press release on June 20, 2016 announcing listing approval from the Nasdaq Stock Market Listings Qualification Department and commencement of trading on the Nasdaq Capital Market on June 22, 2016 is furnished with this report as Exhibit 99.1.

 

 

Item 9.01. Financial Statements and Exhibits

 

(d) Exhibits.

 

Exhibit No.   Description
     
99.1   Press release dated June 20, 2016

 

 

 

 

 

 

 1 

 

 

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.

 

    SOCKET MOBILE, INC.
     
  Date: June 20, 2016 /s/ David W. Dunlap  
   

Name: David W. Dunlap

Vice President, Finance and Administration and Chief Financial Officer

 

 

 

 

 

 

 

 2 

 

EXHIBIT INDEX

 

 

Exhibit No.   Description
     
99.1   Press release dated June 20, 2016

 

 

 

 

 

 3