Current Report Filing (8-k)
02 Novembre 2017 - 4:36PM
Edgar (US Regulatory)
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): November 2, 2017(October 30, 2017)
ALPHA-EN
CORPORATION
(Exact
Name of Registrant as Specified in Its Charter)
Delaware
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001-12885
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95-4622429
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(State
or Other Jurisdiction of Incorporation)
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(Commission
File Number)
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(IRS
Employer
Identification No.)
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28
Wells Avenue, 2nd Floor, Yonkers, New York 10701
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(Address
of Principal Executive Offices)
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(914)
418-2000
(Registrant’s
Telephone Number, Including Area Code)
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):
[ ]
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Written
communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)
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[ ]
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Soliciting
material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)
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[ ]
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Pre-commencement
communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))
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[ ]
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Pre-commencement
communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))
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Indicate
by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (17 CFR
§230.405) or Rule 12b-2 of the Securities Exchange Act of 1934 (17 CFR §240. 12b-2).
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. [ ]
Item
5.02
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Departure
of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain
Officers.
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On
November 1, 2017, the Board of Directors (the “Board”) of alpha-En Corporation (the “Company”) appointed
Sam Pitroda to serve as Chief Executive Officer, succeeding Steve Fludder who submitted his resignation as Chief Executive Officer
to the Company on October 30, 2017, with such resignation to be effective as of November 1, 2017. Mr. Fludder’s resignation
and Mr. Pitroda’s appointment were each effective as of November 1, 2017. Mr. Fludder will continue to support the Company
in a consulting capacity.
Mr.
Pitroda is an information technology and telecommunications inventor and entrepreneur. He was the founder and former Chief Executive
Officer of C-Sam, Inc. a provider of mobile wallets and other on-device software, which was founded in 1998 and purchased in 2014
by MasterCard. Earlier in his career Mr. Pitroda also founded a number of other telecommunications companies in India and the
U.S. Mr. Pitroda also served as advisor to Prime Minister Indira Gandhi of India on Public Information Infrastructure and Innovation
and as a Cabinet Minister under Rajiv Gandhi. Mr. Pitroda has an MS and BS in Physics from Maharaja Sayajai Rao University in
India and an M.S. in Electrical Engineering from Illinois Institute of Technology.
There
are no arrangements or understandings between Mr. Pitroda and any other persons pursuant to which he was appointed Chief Executive
Officer. There are also no family relationships between Mr. Pitroda and any director or executive officer of the Company, and
he has no direct or indirect material interest in any transaction required to be disclosed pursuant to Item 404(a) of Regulation
S-K.
On
November 1, 2017 the Company issued a press release entitled “Alpha-En Corporation Announces Sam Pitroda as New Chief Executive
Officer”. A copy of the press release is attached hereto as Exhibit 99.1 and incorporated herein by reference. The information
disclosed in this Item 8.01, including Exhibit 99.1 hereto, shall not be deemed “filed” for purposes of Section 18
of the Securities Exchange Act of 1934 and shall not be deemed incorporated by reference into any filing made under the Securities
Act of 1933, except as expressly set forth by specific reference in such filing.
Item
9.01
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Financial
Statements and Exhibits.
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(d)
Exhibits
99.1 Press Release, dated November 1, 2017
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.
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ALPHA-EN
CORPORATION
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(Registrant)
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Date:
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November
2, 2017
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By:
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/s/
Jerome I. Feldman
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Name:
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Jerome
I. Feldman
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Title:
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Executive
Chairman and Treasurer
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Alpha En (CE) (USOTC:ALPE)
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