UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

WASHINGTON, D.C. 20549

 

FORM 8-K/A

(Amendment No. 1)

 

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 18, 2020 (May 14, 2020)

  

SUMMIT WIRELESS TECHNOLOGIES, INC.

(Exact name of registrant as specified in its charter)

 

Delaware 001-38608 30-1135279

(State or other jurisdiction

of Incorporation)

(Commission

File Number)

(IRS Employer

Identification Number)

  

6840 Via Del Oro, Ste. 280

San Jose, CA

95119
(Address of registrant’s principal executive office) (Zip code)

 

(408) 627-4716

(Registrant’s telephone number, including area code)

 

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 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© under the Exchange Act (17 CFR 240.13e-4©)

 

Securities registered pursuant to Section 12(b) of the Act:

 

Title of each class   Trading symbol(s)   Name of each exchange on which
registered

Common Stock, par value

$0.0001 per share

  WISA   The Nasdaq Capital Market

 

Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 or Rule 12b-2 of the Securities Exchange Act of 1934.

 

Emerging growth company     x

 

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. ¨

 

 

 

 

 

Explanatory Note

 

This Current Report on Form 8-K/A amends the Current Report on Form 8-K filed with the Securities and Exchange Commission (the “SEC”) on May 18, 2020 by Summit Wireless Technologies, Inc. (the “Company”) regarding the Company’s Settlement Agreement and Release with Alexander Capital, L.P. (“Alexander”) in order to include, as an exhibit, the legal opinion of Sullivan & Worcester LLP as to the legality of the shares of the Company’s common stock, par value $0.0001 per share (the “Common Stock”), being registered pursuant to the Prospectus Supplement also filed with the SEC on May 18, 2020. Other than the addition of the 9.01 exhibit, there is no other change to the body of the original filing.

  

Item 9.01.Financial Statements and Exhibits


(d) Exhibits.

 

Exhibit

Number

  Description
5.1   Opinion of Sullivan & Worcester LLP.

 

 

 

 

 

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.

  

Date: May 18, 2020

SUMMIT WIRELESS TECHNOLOGIES, INC.

 
       
       
  By: /s/ Brett Moyer  
    Name: Brett Moyer  
    Title: Chief Executive Officer