RETRACTABLE TECHNOLOGIES INC — Regulatory Filings 2020

Aug 17, 2020

8-K 1 tm2028787-1_8k.htm FORM 8-K

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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) August 11, 2020

Retractable Technologies, Inc.

(Exact name of registrant as specified in its charter)

Texas 001-16465 75-2599762

(State or other jurisdiction of incorporation) (Commission File Number) (IRS Employer Identification No.)

511 Lobo Lane, Little Elm, Texas	75068-5295
(Address of principal executive offices)	(Zip Code)

Registrant's telephone number, including area code (972) 294-1010

None

(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	RVP	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 ( 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 5.05 Amendments to the Registrant’s Code of Ethics, or Waiver of a Provision of the Code of Ethics.

On August 11, 2020, the Directors of Retractable Technologies, Inc. (the “Company”) approved amendments to the Company’s Code of Business Conduct and Ethics (the “Code”). The Code applies to the Company’s Directors, officers, and employees. The amendments expand the Code’s description of prohibited stock transactions, blackout periods, and adds a section on maintaining a tolerant and respectful work environment. This description of the amendments to the Code does not purport to be complete and is qualified in its entirety by reference to the full text of the amended Code, which is attached as Exhibit 14 to this report. The revised Code has been posted on the Company’s website at www.retractable.com .

Item 8.01 Other Events.

On August 17, 2020, the Company issued a press release, a copy of which is attached to this Form 8-K as Exhibit 99, announcing financial results as of June 30, 2020.

Item 9.01 Financial Statements and Exhibits.

(d) Exhibits

14 Code of Business Conduct and Ethics

99 Press release

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: August 17, 2020
(Registrant)
BY:	/s/
JOHN W. FORT III
	JOHN W. FORT III
	VICE PRESIDENT, CHIEF FINANCIAL OFFICER, AND CHIEF ACCOUNTING OFFICER

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