SUNWORKS, INC. 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
Date of report (Date of earliest event reported): September 19, 2022SUNWORKS, INC.
(Exact Name of the Registrant as Specified in Charter)
| Delaware | 001-36868 | 01-0592299 | ||
(State or Other Jurisdiction of Incorporation) | (Commission File Number) | (IRS Employer Identification No.) |
1555 Freedom Boulevard Provo, UT | 84604 | |
| (Address of Principal Executive Offices) | (Zip Code) |
(385)497-6955
Registrant's telephone number, including area code
(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:
| ☐ | 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)) |
Securities registered pursuant to Section 12(b) of the Act:
| Title of each class | Trading Symbol | Name of each exchange on which registered | ||
| Common Stock, par value $0.001 | SUNW | NasdaqCapital Market |
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 5.05 Amendments to the Registrant's Code of Ethics, or Waiver of a Provision of the Code of Ethics.
On September 19, 2022, the Sunworks, Inc. Board unanimously approved amendments to the Sunworks, Inc. Code of Conduct (the "Code of Ethics"), to be implemented and effective as of September 20, 2022.
The amendments reflect that Christopher Monahan, Sunworks,Inc.'s Chief Legal & Compliance Officer, is the Compliance Officer, specify the Compliance Officer's responsibilities under the Code of Ethics,and clarify the reporting and enforcement procedures under the Code of Ethics.
The text of the Code of Ethics, as amended, is attached hereto as Exhibit 14.1 and incorporated herein by reference. This description of the amendment to the Code of Ethics is qualified in its entirety by reference to the text thereof.
Item 9.01. Financial Statements and Exhibits.
| (d) Exhibits | ||
| Number | Description | |
| 14.1 | Redline Showing Amendments to Code of Ethics |
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.
| SUNWORKS, INC. | ||
| Date: September 19, 2022 | By: | /s/ Gaylon Morris |
| Gaylon Morris | ||
| Chief Executive Officer |
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Sunworks Inc. published this content on 20 September 2022 and is solely responsible for the information contained therein. Distributed by Public, unedited and unaltered, on 20 September 2022 10:09:28 UTC.
