OPTICAL CABLE CORP — Regulatory Filings 2021

May 10, 2021

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 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): May 10, 2021****

OPTICAL CABLE CORPORATION

(Exact name of registrant as specified in its charter)

Virginia	000-27022	54-1237042
(State or other jurisdiction of incorporation or organization)	(Commission File Number)	(I.R.S. Employer Identification Number)
5290 Concourse Drive Roanoke , VA		24019
(Address of principal executive offices)		(Zip Code)

( 540 ) 265-0690****

(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))

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

Title of Each Class	Trading Symbol	Name of exchange on which registered
Common Stock , no par value	OCC	Nasdaq Global 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 ☐

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. ☐

Table of Contents

Item 8.01 Other Events	3
Item 9.01 Financial Statements and Exhibits	3
Signatures	4
Exhibits

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Item 8.01 Other Events

On May 10, 2021, Optical Cable Corporation (“OCC”) announced that OCC and CommScope have entered into a long-term agreement to cross-license portions of their patent portfolios to each other effective April 30, 2021 (the “Agreement”).

The Agreement provides that each shall have a fully-paid up personal, nonexclusive, nontransferable, irrevocable license relating to certain copper data communication connectivity patents of both OCC and CommScope, in addition to OCC’s in-building wireless patents. Both companies can access and implement the other company’s licensed patents and technologies under the agreement.

This Agreement follows a 2004 agreement under which CommScope and SMP Data Communications, a company acquired by OCC in 2008, cross-licensed various copper data communication connectivity technologies of OCC and CommScope, including complementary core technologies of both companies that efficiently achieve Cat 6 and Cat 6A RJ45 connector performance.

The press release announcing the contract is attached hereto as Exhibit 99.1 and is incorporated by reference.

Item 9.01 Financial Statements and Exhibits

(d) Exhibits

The following are filed as Exhibits to this Report.

Exhibit No.	Description of Exhibit
99.1	Press Release dated May 10, 2021 (FILED HEREWITH)
104	Cover page Interactive Data File (embedded within the inline XBRL document)

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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.

OPTICAL CABLE CORPORATION
By:	/s/ Tracy G. Smith
Name:	Tracy G. Smith
Title:	Senior Vice President and Chief Financial Officer

Dated: May 10, 2021

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