<SEC-DOCUMENT>0001564590-18-023536.txt : 20180925
<SEC-HEADER>0001564590-18-023536.hdr.sgml : 20180925
<ACCEPTANCE-DATETIME>20180925060551
ACCESSION NUMBER:		0001564590-18-023536
CONFORMED SUBMISSION TYPE:	8-K
PUBLIC DOCUMENT COUNT:		1
CONFORMED PERIOD OF REPORT:	20180921
ITEM INFORMATION:		Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing
FILED AS OF DATE:		20180925
DATE AS OF CHANGE:		20180925

FILER:

	COMPANY DATA:	
		COMPANY CONFORMED NAME:			MoSys, Inc.
		CENTRAL INDEX KEY:			0000890394
		STANDARD INDUSTRIAL CLASSIFICATION:	SEMICONDUCTORS & RELATED DEVICES [3674]
		IRS NUMBER:				770291941
		STATE OF INCORPORATION:			DE
		FISCAL YEAR END:			1231

	FILING VALUES:
		FORM TYPE:		8-K
		SEC ACT:		1934 Act
		SEC FILE NUMBER:	000-32929
		FILM NUMBER:		181084603

	BUSINESS ADDRESS:	
		STREET 1:		2309 BERING DRIVE
		CITY:			SAN JOSE
		STATE:			CA
		ZIP:			95131
		BUSINESS PHONE:		408 418 7500

	MAIL ADDRESS:	
		STREET 1:		2309 BERING DRIVE
		CITY:			SAN JOSE
		STATE:			CA
		ZIP:			95131

	FORMER COMPANY:	
		FORMER CONFORMED NAME:	MONOLITHIC SYSTEM TECHNOLOGY INC
		DATE OF NAME CHANGE:	19960613
</SEC-HEADER>
<DOCUMENT>
<TYPE>8-K
<SEQUENCE>1
<FILENAME>mosy-8k_20180930.htm
<DESCRIPTION>8-K 2018 09 25
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<p style="text-align:center;margin-bottom:10pt;margin-top:0pt;text-indent:0%;font-family:Calibri;font-size:11pt;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;"><a name="_DV_M0"></a>UNITED STATES</p>
<p style="text-align:center;margin-bottom:10pt;margin-top:0pt;text-indent:0%;font-family:Calibri;font-size:11pt;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;"><a name="_DV_M1"></a>SECURITIES AND EXCHANGE COMMISSION</p>
<p style="text-align:center;margin-bottom:10pt;margin-top:0pt;text-indent:0%;font-family:Calibri;font-size:11pt;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;"><a name="_DV_M2"></a>Washington, D.C. 20549</p>
<p style="text-align:center;margin-bottom:10pt;margin-top:0pt;text-indent:0%;font-weight:bold;font-family:Calibri;font-size:11pt;font-style:normal;text-transform:none;font-variant: normal;"><a name="_DV_M3"></a>Form 8-K</p>
<p style="text-align:center;margin-bottom:10pt;margin-top:0pt;text-indent:0%;font-weight:bold;font-family:Calibri;font-size:11pt;font-style:normal;text-transform:none;font-variant: normal;"><a name="_DV_M4"></a>Current Report</p>
<p style="text-align:center;margin-bottom:10pt;margin-top:0pt;text-indent:0%;font-weight:bold;font-family:Calibri;font-size:11pt;font-style:normal;text-transform:none;font-variant: normal;"><a name="_DV_M5"></a>Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934</p>
<p style="text-align:center;margin-bottom:10pt;margin-top:0pt;text-indent:0%;font-family:Calibri;font-size:11pt;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;"><a name="_DV_M6"></a>Date of Report<font style="font-weight:bold;"> </font>(Date of earliest event reported):<font style="font-weight:bold;">&nbsp;&nbsp;</font>September 21, 2018</p>
<p style="text-align:center;margin-bottom:10pt;margin-top:0pt;text-indent:0%;font-weight:bold;font-family:Calibri;font-size:11pt;font-style:normal;text-transform:none;font-variant: normal;"><a name="_DV_M7"></a>MoSys, Inc.</p>
<p style="text-align:center;margin-bottom:10pt;margin-top:0pt;text-indent:0%;font-family:Calibri;font-size:11pt;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;"><a name="_DV_M8"></a>(Exact name of registrant as specified in its charter)</p>
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<p style="text-align:center;margin-bottom:10pt;margin-top:0pt;text-indent:0%;font-family:Calibri;font-size:11pt;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;"><a name="_DV_M10"></a>(Commission File Number)</p>
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<p style="text-align:center;margin-bottom:0pt;margin-top:0pt;margin-left:0pt;;text-indent:0pt;;font-weight:bold;font-family:Calibri;font-size:11pt;font-style:normal;text-transform:none;font-variant: normal;">77-0291941</p></td>
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<p style="text-align:center;margin-bottom:0pt;margin-top:0pt;margin-left:0pt;;text-indent:0pt;;font-family:Calibri;font-size:11pt;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;">(I.R.S. Employer Identification No.)</p></td>
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<p style="text-align:center;margin-bottom:0pt;margin-top:0pt;margin-left:0pt;;text-indent:0pt;;font-family:Calibri;font-size:11pt;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;">&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;incorporation)</p></td>
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<p style="margin-bottom:0pt;margin-top:0pt;text-indent:0%;font-family:Times New Roman;font-size:11pt;"><a name="_DV_M12"></a><a name="_DV_M13"></a>&nbsp;</p>
<p style="text-align:center;margin-bottom:10pt;margin-top:0pt;text-indent:0%;font-weight:bold;font-family:Calibri;font-size:11pt;font-style:normal;text-transform:none;font-variant: normal;"><a name="_DV_M14"></a><a name="_DV_M15"></a>2309 Bering Drive</p>
<p style="text-align:center;margin-bottom:10pt;margin-top:0pt;text-indent:0%;font-weight:bold;font-family:Calibri;font-size:11pt;font-style:normal;text-transform:none;font-variant: normal;">San Jose, California 95131</p>
<p style="text-align:center;margin-bottom:10pt;margin-top:0pt;text-indent:0%;font-family:Calibri;font-size:11pt;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;"><a name="_DV_M16"></a>(Address of principal executive offices, with zip code)</p>
<p style="text-align:center;margin-bottom:10pt;margin-top:0pt;text-indent:0%;font-weight:bold;font-family:Calibri;font-size:11pt;font-style:normal;text-transform:none;font-variant: normal;"><a name="_DV_M17"></a>(408) 418-7500</p>
<p style="text-align:center;margin-bottom:10pt;margin-top:0pt;text-indent:0%;font-family:Calibri;font-size:11pt;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;"><a name="_DV_M18"></a>(Registrant's telephone number, including area code)</p>
<p style="text-align:center;margin-bottom:8pt;margin-top:0pt;text-indent:3.85%;font-size:12pt;font-family:Times New Roman;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;"><a name="_DV_M19"></a>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 (<font style="font-style:italic;">see</font> General Instruction A.2. below):</p>
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<p style="margin-bottom:6pt;margin-top:0pt;font-size:11pt;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;font-family:'Times New Roman';"><font style="font-size:11pt;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;font-family:'Times New Roman';">&#9744;</font></p></td>
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<p style="margin-bottom:6pt;margin-top:0pt;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;font-family:Calibri;font-size:11pt;"><a name="_DV_M22"></a>Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))</p></td></tr></table></div>
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<p style="margin-bottom:6pt;margin-top:0pt;text-indent:0%;font-size:12pt;font-family:Times New Roman;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;"><a name="_AEIOULastRenderedPageBreakAEIOU2"></a><font style="font-size:12pt;font-family:Times New Roman;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;">Indicate by check mark whether the registrant is</font><font style="font-size:12pt;font-family:Times New Roman;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;"> 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 &#160;&#160;</font><font style="font-family:Segoe UI Symbol;">&#9744;</font><font style="font-size:12pt;font-family:Times New Roman;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;"> </font></p>
<p style="margin-bottom:6pt;margin-top:0pt;text-indent:0%;font-size:12pt;font-family:Times New Roman;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;">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. &#160;&#160;<font style="font-family:Segoe UI Symbol;">&#9744;</font> </p>
<p style="margin-bottom:0pt;margin-top:0pt;margin-left:7.69%;text-indent:-3.85%;font-family:Calibri;font-size:11pt;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;"><br /></p>
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<p style="margin-bottom:0pt;margin-top:0pt;font-weight:bold;color:#000000;font-size:11pt;font-family:Calibri;font-style:normal;text-transform:none;font-variant: normal;"><font style="font-weight:bold;color:#000000;font-size:11pt;font-family:Calibri;font-style:normal;text-transform:none;font-variant: normal;">Item 3.01 </font></p></td>
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<p style="margin-bottom:0pt;margin-top:0pt;font-weight:bold;color:#000000;font-style:normal;text-transform:none;font-variant: normal;font-family:Calibri;font-size:11pt;"><a name="_AEIOULastRenderedPageBreakAEIOU3"></a><font style="font-weight:bold;color:#000000;font-size:11pt;font-family:Calibri;font-style:normal;text-transform:none;font-variant: normal;"></font><font style="font-weight:bold;color:#000000;font-size:11pt;font-family:Calibri;font-style:normal;text-transform:none;font-variant: normal;">Notice of Delisting or Failure to Satisfy a</font><font style="font-weight:bold;color:#000000;font-size:11pt;font-family:Calibri;font-style:normal;text-transform:none;font-variant: normal;"> Continued Listing Rule&#160;or Standard; Transfer of Listing</font><font style="font-weight:bold;color:#000000;font-size:11pt;font-family:Calibri;font-style:normal;text-transform:none;font-variant: normal;">.</font></p></td></tr></table></div>
<p style="text-align:justify;margin-bottom:0pt;margin-top:0pt;text-indent:7.69%;font-size:12pt;font-family:Times New Roman;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;">On September 21, 2018, MoSys, Inc. (the &#8220;Company&#8221;) received a deficiency letter from the Listing Qualifications Department (the "Staff") of The NASDAQ Stock Market ("Nasdaq") providing notification that, for the previous 30 consecutive business days, the bid price for the Company's common stock had closed below the minimum $1.00 per share requirement for continued inclusion on the Nasdaq Capital Market. The notification has no immediate effect on the listing or trading of the Company's common stock, which will continue to trade on The Nasdaq Capital Market under the symbol "MOSY."</p>
<p style="text-align:justify;margin-bottom:0pt;margin-top:0pt;text-indent:7.69%;font-size:12pt;font-family:Times New Roman;">&nbsp;</p>
<p style="margin-bottom:0pt;margin-top:0pt;font-size:12pt;font-family:Times New Roman;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;text-indent:7.69%;">The letter also states that the Company will be provided 180 calendar days, or until March 20, 2019, to regain compliance with the minimum bid price requirement. In accordance with Nasdaq Listing Rule 5810(c)(3)(A), the Company can regain compliance if, at any time during the 180-day period, the closing bid price of the Company's common stock is at least $1.00 for a minimum of 10 consecutive business days. If, by March 20, 2019, the Company cannot demonstrate compliance, it may be eligible for additional time. To qualify for additional time, the Company would be required to meet the continued listing requirement for market value of publicly held shares and all other initial listing standards for The Nasdaq Capital Market, with the exception of the bid price requirement, and would need to provide written notice of its intention to cure the deficiency during the second compliance period by effecting a reverse stock split, as necessary.  If the Company meets these requirements, the Staff will inform the Company that it has been granted an additional 180 calendar days. However, if it appears to the Staff that the Company will not be able to cure the deficiency, or if the Company is otherwise not eligible, then the Staff will provide notice that the Company's securities will be subject to delisting. At such time, the Company may appeal the delisting determination to a Nasdaq Listing Qualifications Panel ("Panel"). The Company would remain listed pending the Panel's decision. There can be no assurance that, if the Company does appeal a subsequent delisting determination by the Staff to the Panel, that such appeal would be successful.</p>
<p style="margin-bottom:0pt;margin-top:0pt;text-indent:0%;font-size:11pt;font-family:Calibri;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;">&#160; </p>
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<p style="margin-bottom:0pt;margin-top:0pt;text-indent:0%;font-family:Times New Roman;">&nbsp;</p>
<p style="text-align:center;margin-bottom:10pt;margin-top:0pt;text-indent:0%;font-weight:bold;color:#000000;font-family:Calibri;font-size:11pt;font-style:normal;text-transform:none;font-variant: normal;"><a name="_DV_M36"></a>SIGNATURES</p>
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<p style="text-align:justify;margin-bottom:10pt;margin-top:0pt;text-indent:3.85%;color:#000000;font-family:Calibri;font-size:11pt;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;"><a name="_DV_M37"></a>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.</p>
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<p style="text-align:justify;margin-bottom:0pt;margin-top:0pt;margin-left:0pt;;text-indent:0pt;;font-family:Calibri;font-size:11pt;font-weight:normal;font-style:normal;text-transform:none;font-variant: normal;">Vice President of Finance and Chief Financial Officer</p></td>
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