Current Report Filing (8-k)
31 March 2021 - 11:56PM
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) March 31, 2021
MECHANICAL TECHNOLOGY, INCORPORATED
(Exact name of registrant as specified in
its charter)
Nevada
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000-06890
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14-1462255
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(State or other jurisdiction
of Incorporation)
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(Commission
File Number)
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(IRS Employer
Identification Number)
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325 Washington
Avenue Extension
Albany, New
York
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12205
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(Address of registrant's principal executive office)
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(Zip code)
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(518) 218-2550
(Registrant's telephone number, including
area code)
N/A
(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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☐
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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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Securities registered pursuant to Section 12(b) of the Act:
Title of each class
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Trading symbol(s)
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Name of each exchange on which
registered
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Common Stock, par value $0.001 per share
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MKTY
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The Nasdaq Capital Market
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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 (§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. ☐
Item 2.02 Results of Operations and
Financial Condition
On March 31, 2021, Mechanical Technology,
Incorporated (the "Company") issued a press release announcing its financial
and business highlights for fiscal year ended December 31, 2020. The press
release is attached hereto as Exhibit 99.1 under Item 9.01 of this Current
Report on Form 8-K (this "Form 8-K") and is incorporated by reference herein.
Additionally, on March 31, 2021, the
Company delivered to the Company's stockholders a presentation of the Company's
end of fourth quarter results. The Company released presentation materials that
incorporate the Company's fourth quarter and full-year 2020 results, discussion
of each business segment and recent business highlights. The materials of the presentation
are available at the Company's website, specifically located at: https://www.mechtech.com/mti-announces-year-end-2020-results.
Item 7.01 Regulation FD Disclosure
Reference is made to the disclosure in
Item 2.02 of this Form 8-K, which disclosure is incorporated herein by reference.
The information contained in this Form 8-K
provided under Item 7.01 and Exhibit 99.1 attached hereto are furnished to, but
shall not be deemed filed with, the Securities and Exchange Commission (the "SEC")
or incorporated by reference into the Company's filings under the Securities
Act of 1933, as amended, or the Securities Exchange Act of 1934, as amended.
Forward-Looking Statements
This Form 8-K and Exhibit 99.1 contain
forward-looking statements. Forward-looking statements include, but are not
limited to, statements that express the Company's intentions, beliefs,
expectations, strategies, predictions or any other statements related to the
Company's future activities, or future events or conditions. These statements
are based on current expectations, estimates and projections about the Company's
business based, in part, on assumptions made by its management. These
statements are not guarantees of future performances and involve risks,
uncertainties and assumptions that are difficult to predict. Therefore, actual
outcomes and results may differ materially from what is expressed or forecasted
in the forward-looking statements due to numerous factors, including those
risks that may be included in documents that the Company files from time to time
with the SEC. Any forward-looking statements speak only as of the date on which
they are made, and the Company undertakes no obligation to update any
forward-looking statement to reflect events or circumstances after the date of
this Form 8-K, except as required by law.
Item 9.01. Financial Statements and
Exhibits.
(d) Exhibits
SIGNATURES
Pursuant to the requirement 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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MECHANICAL
TECHNOLOGY, INCORPORATED
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Date: March 31,
2021
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By:
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/s/ Jessica L.
Thomas
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Name:
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Jessica L.
Thomas
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Title:
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Chief Financial
Officer
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