DSS, INC. — Regulatory Filings 2019

Apr 11, 2019

8-K 1 form8-k.htm

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UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

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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 11, 2019

DOCUMENT SECURITY SYSTEMS, INC.

(Exact name of registrant as specified in its charter)

| New
York | 001-32146 | 16-1229730 |
| --- | --- | --- |
| (State
or other jurisdiction of incorporation) | (Commission File Number) | (IRS
Employer Identification No.) |

| 200
Canal View Boulevard Suite 300 Rochester, NY | 14623 |
| --- | --- |
| (Address
of principal executive offices) | (Zip
Code) |

Registrant’s telephone number, including area code: (585) 325-3610

Not Applicable

(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 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. [ ]

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Item 5.02 Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers

On April 11, 2019, the Board of Directors (the “Board”) of Document Security Systems, Inc. (the “Company”) appointed Mr. Frank Heuszel as interim Chief Executive Officer of the Company, effective immediately. In addition, the Board appointed Mr. Heuszel as interim Chief Financial Officer of the Company, to be effective on April 17, 2019. The term of each interim appointment will not exceed one year. Mr. Heuszel will receive aggregate cash compensation of $7,500 per month for his interim services. Mr. Heuszel also currently serves as a member of the Company’s Board. Mr. Heuszel’s biographical information is included in the Company’s Current Report on Form 8-K filed on August 1, 2018, and is incorporated herein by reference.

There is no arrangement or understanding between Mr. Heuszel and any other person pursuant to which he was selected as an officer of the Company. There is no family relationship between Mr. Heuszel and any director or executive officer of the Company, and Mr. Heuszel is not a party to a related party transaction within the meaning of Item 404(a) of Regulation S-K.

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SIGNATURE

Pursuant to the requirements of the Securities Exchange Act of 1934, the Registrant has duly caused this Current Report on Form 8-K to be signed on its behalf by the undersigned hereunto duly authorized.

| /s/
Philip Jones |
| --- |
| Philip
Jones |
| Chief
Financial Officer |

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