SOCKET MOBILE, INC. — Regulatory Filings 2019

Jan 18, 2019

8-K 1 form-8k0117.htm FORM 8-K

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UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, DC 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)

January 17, 2019

SOCKET MOBILE, INC.

(Exact name of registrant as specified in its charter)

Delaware	001-13810	94-3155066
(State
or other jurisdiction of incorporation)	(Commission
File Number)	(IRS
Employer Identification No.)

39700 Eureka Drive

Newark, CA 94560

(Address of principal executive offices, including zip code)

(510) 933-3000

(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))

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Item 5.02 Departure of Principal Officer

On January 17, 2019, James Lopez, Vice President of Sales, Marketing and Developer Programs, voluntarily terminated his employment with the Company effective February 17, 2019 to pursue other opportunities. The terms of his termination are provided under an Executive Employment Agreement between Mr. Lopez and the Company. The form of the Executive Employment Agreement was filed as an exhibit to a Form 8-K filed May 5, 2017 which is incorporated herein by reference. Under his Executive Employment Agreement, Mr. Lopez is entitled to exercise his vested stock options for one year from his effective termination date.

The duties of Mr. Lopez are being temporarily assumed by Kevin Mills, the Company’s President and CEO.

Item 9.01 Financial Statements and Exhibits

(d) Exhibits.

None

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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.

| | SOCKET MOBILE,
INC. |
| --- | --- |
| Date: January 17, 2019 | /s/
David W. Dunlap |
| | David W. Dunlap |
| | Vice President, Finance and Administration and Chief Financial Officer |