Current Report Filing (8-k)
23 August 2019 - 8:01PM
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): August 19, 2019
SG
BLOCKS, INC.
(Exact
Name of Registrant as Specified in its Charter)
Delaware
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001-38037
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95-4463937
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(State
or Other Jurisdiction
of Incorporation)
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(Commission
File Number)
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(I.R.S.
Employer
Identification Number)
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195
Montague Street, 14th Floor
Brooklyn,
NY 11201
(Address
of Principal Executive Offices, Zip Code)
Registrant’s
telephone number, including area code: 646-240-4235
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:
☐
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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 $0.01
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SGBX
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The Nasdaq Stock
Market LLC
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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 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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(b)
On August 19, 2019, A. Richard Moore, Jr., amidst an existing leave of absence due to personal issues, formally resigned from
his position as a member of the Board of Directors (the “Board”) of SG Blocks, Inc. (the “Company”).
On
August 20, 2019, Mahesh Shetty separated from the Company and from his positions as President and Chief Financial Officer of the
Company.
(c)
On August 22, 2019, the Board appointed Gerald Sheeran, currently the Controller of the Company, as the acting Chief Financial
Officer of the Company for a period of 90 days. The Board will continue to evaluate permanent options for the Chief Financial
Officer position during such period.
Gerald
Sheeran has served as the Controller of the Company since March of 2018 and brings extensive experience and expertise in areas
of finance and accounting. Prior to joining the Company, Mr. Sheeran was a Senior Accounting Manager for Lucid Energy Group from
March of 2013 to March of 2018. Before his time at Lucid Energy Group, Mr. Sheeran worked for a number of different companies
in connection with their accounting, reporting, and financial operations. Mr. Sheeran holds a Bachelor’s degree in Business
Administration in Accounting from the University of Texas at Arlington.
In
connection with Mr. Sheeran’s appointment as the acting Chief Financial Officer of the Company, Mr. Sheeran’s annual
salary was increased to $180,000. Mr. Sheeran did not receive any other additional compensation in connection with such appointment,
and there were no other changes to his compensation in connection with such appointment other than the increased annual salary
noted above.
SIGNATURE
Pursuant
to the requirements of the Securities Exchange Act of 1934, as amended, the registrant has duly caused this report to be signed
on its behalf by the undersigned hereunto duly authorized.
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SG Blocks, Inc.
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Dated:
August 22, 2019
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By:
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/s/
Paul Gavin
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Paul Gavin
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Chairman and CEO
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2
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