<SEC-DOCUMENT>0001437749-19-003642.txt : 20190228
<SEC-HEADER>0001437749-19-003642.hdr.sgml : 20190228
<ACCEPTANCE-DATETIME>20190228163040
ACCESSION NUMBER:		0001437749-19-003642
CONFORMED SUBMISSION TYPE:	8-K
PUBLIC DOCUMENT COUNT:		1
CONFORMED PERIOD OF REPORT:	20181214
ITEM INFORMATION:		Entry into a Material Definitive Agreement
FILED AS OF DATE:		20190228
DATE AS OF CHANGE:		20190228

FILER:

	COMPANY DATA:	
		COMPANY CONFORMED NAME:			CVD EQUIPMENT CORP
		CENTRAL INDEX KEY:			0000766792
		STANDARD INDUSTRIAL CLASSIFICATION:	SPECIAL INDUSTRY MACHINERY, NEC [3559]
		IRS NUMBER:				112621692
		STATE OF INCORPORATION:			NY
		FISCAL YEAR END:			1231

	FILING VALUES:
		FORM TYPE:		8-K
		SEC ACT:		1934 Act
		SEC FILE NUMBER:	001-16525
		FILM NUMBER:		19643785

	BUSINESS ADDRESS:	
		STREET 1:		355 S. TECHNOLOGY DRIVE
		CITY:			CENTRAL ISLIP
		STATE:			NY
		ZIP:			11722
		BUSINESS PHONE:		6319817081

	MAIL ADDRESS:	
		STREET 1:		355 S. TECHNOLOGY DRIVE
		CITY:			CENTRAL ISLIP
		STATE:			NY
		ZIP:			11722
</SEC-HEADER>
<DOCUMENT>
<TYPE>8-K
<SEQUENCE>1
<FILENAME>cvv20190228_8k.htm
<DESCRIPTION>FORM 8-K
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			<p style="font-family:'Times New Roman', Times, serif;font-size:10pt;margin:0pt;text-align:center;text-transform:uppercase;"><b>to Section 13 or 15(d) of the</b></p>
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			<p style="font-family:'Times New Roman', Times, serif;font-size:10pt;margin:0pt;text-align:center;">Date of report (Date of earliest event reported): <b>December 14, 2018</b></p>
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<p style="font-family:'Times New Roman', Times, serif;font-size:10pt;margin:0pt;text-align:center;">&nbsp;</p>

<p style="font-family:'Times New Roman', Times, serif;font-size:12pt;margin:0pt;text-align:center;text-transform:uppercase;">CVD EQUIPMENT CORPORATION</p>

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			<p style="font-family:'Times New Roman', Times, serif;font-size:10pt;margin:0pt;text-align:center;">1-16525</p>
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			<p style="font-family:'Times New Roman', Times, serif;font-size:10pt;margin:0pt;text-align:center;">11-2621692</p>
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			<p style="font-family:'Times New Roman', Times, serif;font-size:10pt;margin:0pt;text-align:center;">355 South Technology Drive</p>

			<p style="font-family:'Times New Roman', Times, serif;font-size:10pt;margin:0pt;text-align:center;">Central Islip, New York</p>
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			<p style="font-family:'Times New Roman', Times, serif;font-size:10pt;margin:0pt;text-align:center;">11722</p>
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			<p style="font-family:'Times New Roman', Times, serif;font-size:10pt;margin:0pt;text-align:center;">(Address of Principal Executive Offices)</p>
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			<p style="font-family:'Times New Roman', Times, serif;font-size:10pt;margin:0pt;text-align:center;">(Zip Code)</p>
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<p style="font-family:'Times New Roman', Times, serif;font-size:10pt;margin:0pt;text-align:center;">Registrant&rsquo;s Telephone Number, Including Area Code: (631) 981-7081</p>

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<p style="font-family:'Times New Roman', Times, serif;font-size:10pt;margin:0pt;text-align:center;">(Former Name or Former Address, if Changed Since Last Report)</p>

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<p style="font-family:'Times New Roman', Times, serif;font-size:10pt;margin:0pt;text-align:left;">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 (<i>see </i>General Instruction A.2. below):</p>

<p style="font-family:'Times New Roman', Times, serif;font-size:10pt;margin:0pt;text-align:justify;">&nbsp;</p>

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			<p style="font-family:'Times New Roman', Times, serif;font-size:10pt;margin:0pt;text-align:center;">&#9744;</p>
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			<p style="font-family:'Times New Roman', Times, serif;font-size:10pt;margin:0pt;text-align:justify;">Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)</p>
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			<p style="font-family:'Times New Roman', Times, serif;font-size:10pt;margin:0pt;text-align:center;">&nbsp;</p>
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			<p style="font-family:'Times New Roman', Times, serif;font-size:10pt;margin:0pt;text-align:justify;">&nbsp;</p>
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			<p style="font-family:'Times New Roman', Times, serif;font-size:10pt;margin:0pt;text-align:center;">&#9744;</p>
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			<p style="font-family:'Times New Roman', Times, serif;font-size:10pt;margin:0pt;text-align:justify;">Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)</p>
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			<p style="font-family:'Times New Roman', Times, serif;font-size:10pt;margin:0pt;text-align:center;">&nbsp;</p>
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			<p style="font-family:'Times New Roman', Times, serif;font-size:10pt;margin:0pt;text-align:center;">&#9744;</p>
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			<p style="font-family:'Times New Roman', Times, serif;font-size:10pt;margin:0pt;text-align:justify;">Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))</p>
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			<p style="font-family:'Times New Roman', Times, serif;font-size:10pt;margin:0pt;text-align:center;">&nbsp;</p>
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			<p style="font-family:'Times New Roman', Times, serif;font-size:10pt;margin:0pt;text-align:justify;">&nbsp;</p>
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			<p style="font-family:'Times New Roman', Times, serif;font-size:10pt;margin:0pt;text-align:center;">&#9744;</p>
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			<p style="font-family:'Times New Roman', Times, serif;font-size:10pt;margin:0pt;text-align:justify;">Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))</p>
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			<p style="font-family:'Times New Roman', Times, serif;font-size:10pt;margin:0pt;text-align:justify;">Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (&sect;230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (&sect;240.12b-2 of this chapter).</p>

			<p style="font-family:'Times New Roman', Times, serif;font-size:10pt;margin:0pt;text-align:justify;">&nbsp;</p>
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			<p style="font-family: &quot;Times New Roman&quot;, Times, serif; font-size: 10pt; margin-bottom: 0pt; margin-right: 0pt; margin-top: 0pt; text-align: right;">Emerging growth company &#9744;</p>
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			<p style="font-family:'Times New Roman', Times, serif;font-size:10pt;margin:0pt;text-align:justify;">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.&nbsp; &#9744;</p>
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<p style="font-family:'Times New Roman', Times, serif;font-size:10pt;margin:0pt;text-align:left;">&nbsp;</p>

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			<p style="font-family:'Times New Roman', Times, serif;font-size:10pt;margin:0pt;text-align:justify;"><b>Item 1.01</b></p>
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			<p style="font-family:'Times New Roman', Times, serif;font-size:10pt;margin:0pt;text-align:justify;"><b>Entry into a Material Definitive Agreement </b></p>
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<p style="background-color:#FFFFFF;font-family:'Times New Roman', Times, serif;font-size:10pt;margin:0pt;text-align:justify;">&nbsp;</p>

<p style="background-color:#FFFFFF;font-family:'Times New Roman', Times, serif;font-size:10pt;margin:0pt;text-align:justify;">On December 14, 2018, the Board of Directors the (&ldquo;Board&rdquo;) of CVD Equipment Corporation (the &ldquo;Corporation&rdquo;) approved the following annual compensation for each of the non-employee directors of the Corporation, effective January 1, 2019:</p>

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			<p style="font-family: &quot;Times New Roman&quot;, Times, serif; font-size: 10pt; margin: 0pt; text-align: left;"><u>Annual Retainer </u><u>Payable to</u><u> each </u></p>

			<p style="font-family: &quot;Times New Roman&quot;, Times, serif; font-size: 10pt; margin: 0pt; text-align: left;"><u>non-employee director</u>:</p>
			</td>
			<td style="width: 10%;">&nbsp;</td>
			<td style="width: 55%; vertical-align: bottom;">$50,000 per year (payable $20,000 in cash &amp;</td>
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			<td style="width: 35%;">&nbsp;</td>
			<td style="width: 10%;">&nbsp;</td>
			<td style="width: 55%;">$30,000 in restricted stock)</td>
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			<td style="width: 35%;">&nbsp;</td>
			<td style="width: 10%;">&nbsp;</td>
			<td style="width: 55%;">&nbsp;</td>
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			<td style="width: 35%;"><u>Additional Fees</u><u> Payable to Committee Chairs</u>:</td>
			<td style="width: 10%;">&nbsp;</td>
			<td style="width: 55%;">&nbsp;</td>
		</tr>
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			<td style="width: 35%; padding-left: 27pt;">Audit Committee Chair:</td>
			<td style="width: 10%;">&nbsp;</td>
			<td style="width: 55%;">$25,000 per year (payable $10,000 in cash &amp;</td>
		</tr>
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			<td style="width: 35%;">&nbsp;</td>
			<td style="width: 10%;">&nbsp;</td>
			<td style="width: 55%;">$15,000 in restricted stock)</td>
		</tr>
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			<td style="width: 35%;">&nbsp;</td>
			<td style="width: 10%;">&nbsp;</td>
			<td style="width: 55%;">&nbsp;</td>
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			<td style="width: 35%; padding-left: 27pt;">Strategic Planning Committee Chair:</td>
			<td style="width: 10%;">&nbsp;</td>
			<td style="width: 55%;">$10,000 per year (payable $4,000 in cash &amp;</td>
		</tr>
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			<td style="width: 35%;">&nbsp;</td>
			<td style="width: 10%;">&nbsp;</td>
			<td style="width: 55%;">$6,000 in restricted stock)</td>
		</tr>
		<tr>
			<td style="width: 35%;">&nbsp;</td>
			<td style="width: 10%;">&nbsp;</td>
			<td style="width: 55%;">&nbsp;</td>
		</tr>
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			<td style="width: 35%; padding-left: 27pt;">Compensation Committee Chair:</td>
			<td style="width: 10%;">&nbsp;</td>
			<td style="width: 55%;">$5,000 per year (payable $2,000 in cash &amp;</td>
		</tr>
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			<td style="width: 35%;">&nbsp;</td>
			<td style="width: 10%;">&nbsp;</td>
			<td style="width: 55%;">$3,000 in restricted stock)</td>
		</tr>
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			<td style="width: 35%;">&nbsp;</td>
			<td style="width: 10%;">&nbsp;</td>
			<td style="width: 55%;">&nbsp;</td>
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			<td style="width: 35%; padding-left: 27pt;">Nominating, Gov. &amp; Compliance</td>
			<td style="width: 10%;">&nbsp;</td>
			<td style="width: 55%;">$5,000 per year (payable $2,000 in cash &amp;</td>
		</tr>
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			<td style="width: 35%; padding-left: 27pt;">Committee Chair:&nbsp;</td>
			<td style="width: 10%;">&nbsp;</td>
			<td style="width: 55%;">$3,000 in restricted stock)</td>
		</tr>
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			<td style="width: 35%; padding-left: 27pt;">&nbsp;</td>
			<td style="width: 10%;">&nbsp;</td>
			<td style="width: 55%;">&nbsp;</td>
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			<td style="width: 35%;"><u>Independent Lead Director</u><u>:</u></td>
			<td style="width: 10%;">&nbsp;</td>
			<td style="width: 55%;">$30,000 (payable in all cash)</td>
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<p style="font-family: &quot;Times New Roman&quot;, Times, serif; font-size: 10pt; margin: 0pt; text-align: justify;">The restricted stock payable to each non-employee director as set forth above was issued as of January 15, 2019, at an exercise price per share equal to $3.99. The restricted stock shall vest ratably on a quarterly basis from the date of grant on the last day of each calendar quarter, except that with regards to the fourth quarter, such vesting date shall be the earlier of December 31<sup>st</sup> or the date of the Corporation&rsquo;s next annual meeting of shareholders, but in no event earlier than November 15<sup>th</sup>. In the event that such non-employee director is no longer serving as a director on the scheduled vesting date, then such un-vested shares of restricted stock shall be cancelled. The foregoing shares of restricted stock shall immediately fully vest in the event of change of control of the Corporation.</p>

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<p style="font-family: &quot;Times New Roman&quot;, Times, serif; font-size: 10pt; margin: 0pt; text-align: justify;"><u>Stock Option Grant</u></p>

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<p style="font-family:'Times New Roman', Times, serif;font-size:10pt;margin:0pt;text-align:justify;">On January 15, 2019, each non-employee director of the Board also received as additional compensation a one-time grant of options to purchase 15,000 shares of the Corporation&rsquo;s common stock at an exercise price equal to $5.00 per share, which shall vest twelve months from the date of issuance. Such options shall be exercisable for ten years from the date of vesting. In the event that such non-employee director is no longer serving as a director on the scheduled vesting date, then such un-vested option shall be cancelled. The foregoing options shall immediately fully vest in the event of change of control of the Corporation.</p>

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<p style="background-color:#FFFFFF;font-family:'Times New Roman', Times, serif;font-size:10pt;margin:0pt;text-align:center;"><b>SIGNATURES</b></p>

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<p style="background-color:#FFFFFF;font-family:'Times New Roman', Times, serif;font-size:10pt;margin:0pt;text-align:justify;text-indent:Infinity%;">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 thereunto duly authorized.</p>

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<p style="background-color:#FFFFFF;font-family:'Times New Roman', Times, serif;font-size:10pt;margin:0pt;text-align:left;">Date:&nbsp; February 28, 2019</p>

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			<p style="font-family:'Times New Roman', Times, serif;font-size:10pt;margin:0pt;text-align:left;"><b>CVD EQUIPMENT CORPORATION</b></p>
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			<p style="font-family:'Times New Roman', Times, serif;font-size:10pt;margin:0pt;text-align:left;">/s/ Leonard A. Rosenbaum</p>
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			<p style="font-family:'Times New Roman', Times, serif;font-size:10pt;margin:0pt;text-align:left;">Chairman, President and Chief Executive Officer</p>
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