NETWORK-1 TECHNOLOGIES, INC. — Regulatory Filings 2021

Jul 16, 2021

8-K 1 form8k_071421.htm FORM 8K DATED JULY 14, 2021 Field: Rule-Page

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UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

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FORM 8-K

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CURRENT REPORT

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

Date of Report (Date of earliest event reported): July 14, 2021

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Network-1 Technologies, Inc.

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(Exact name of registrant as specified in its charter)

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Delaware	001-15288	11-3027591
(State or Other Jurisdiction	(Commission	(I.R.S. Employer
of Incorporation)	File Number)	Identification No.)

445 Park Avenue, Suite 912, New York, New York 10022

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(Address of Principal Executive Offices) (Zip Code)

(212) 829-5770

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(Registrant’s telephone number, including area code)

N/A

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(Former name or former address, if changed since last report)

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 $0.01 per share | NTIP | NYSE American |

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))

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 8.01 Other Events.

On July 14, 2021 Network-1 Technologies, Inc. announced that the European Patent Office issued a Decision to Grant European Patent No. EP3111689 (Embedded Universal Integrated Circuit Card Supporting Two-Factor Authentication), which is being published in the European Patent Bulletin of July 14, 2021. In addition, the UK Intellectual Property Office issued Intention to Grant letters for Applications GB1608573.0 and GB2100530.1 (both entitled Set of Servers for “Machine-to-Machine” Communications Using Public Key Infrastructure). The UK applications are expected to be granted shortly after July 9, 2021 and August 9, 2021, respectively. The claims in these granted foreign applications are generally directed towards authentication of a module including an embedded universal integrated circuit card (eUICC) with a mobile network and supporting secure communication between the module and the mobile network.

A copy of the press release is attached as Exhibit 99.1.

Item 9.01 Financial Statements and Exhibits.

(d) Exhibits

Exhibit No.	Description
99.1	Press Release dated July 14, 2021

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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.

| /s/ Corey M.

Horowitz
Name:    Corey M. Horowitz Title:      Chairman and Chief Executive Officer

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