-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, IP1z60pLgLSubO83c4ewmBAlbQaYV2HwBVMgNrz9EhtyZ0MZibc3R03A8913zgIy SzR/mThs6JaCt5ibcCQewQ== 0000102198-04-000001.txt : 20040129 0000102198-04-000001.hdr.sgml : 20040129 20040129141449 ACCESSION NUMBER: 0000102198-04-000001 CONFORMED SUBMISSION TYPE: 8-K PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20040123 ITEM INFORMATION: Other events ITEM INFORMATION: Financial statements and exhibits FILED AS OF DATE: 20040129 FILER: COMPANY DATA: COMPANY CONFORMED NAME: COMPETITIVE TECHNOLOGIES INC CENTRAL INDEX KEY: 0000102198 STANDARD INDUSTRIAL CLASSIFICATION: PATENT OWNERS & LESSORS [6794] IRS NUMBER: 362664428 STATE OF INCORPORATION: DE FISCAL YEAR END: 0731 FILING VALUES: FORM TYPE: 8-K SEC ACT: 1934 Act SEC FILE NUMBER: 001-08696 FILM NUMBER: 04551757 BUSINESS ADDRESS: STREET 1: 1960 BRONSON ROAD STREET 2: BUILDING 1 CITY: FAIRFIELD STATE: CT ZIP: 06824 BUSINESS PHONE: 2032556044 MAIL ADDRESS: STREET 1: 1960 BRONSON ROAD STREET 2: BUILDING 1 CITY: FAIRFIELD STATE: CT ZIP: 06824 FORMER COMPANY: FORMER CONFORMED NAME: UNIVERSITY PATENTS INC DATE OF NAME CHANGE: 19920703 8-K 1 f8k_amex.txt FORM 8-K 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) January 23, 2004 COMPETITIVE TECHNOLOGIES, INC. (Exact name of registrant as specified in its charter) Delaware 1-8696 36-2664428 (State or other (Commission File (IRS Employer jurisdiction Number) Identification No.) of incorporation) 1960 Bronson Road, Fairfield, Connecticut 06824 (Address of principal executive offices) (Zip Code) Registrant's telephone number, including area code (203) 255-6044 Not Applicable (Former Name or Former Address, if Changed Since Last Report) Item 5. Other Events and Regulation FD Disclosure. On January 23, 2004, the American Stock Exchange (AMEX) notified Competitive Technologies, Inc. (CTT) that AMEX had accepted CTT's plan to regain compliance with AMEX continued listing standards and that AMEX was continuing CTT's listing pursuant to an extension. To maintain its listing, CTT is required to make progress consistent with its plan during the extension period and to regain compliance with AMEX continued listing standards by May 12, 2005. Item 7. Financial Statements and Exhibits. (c) Exhibits. Page 99.1 Registrant's press release dated January 29, 2004 3 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. COMPETITIVE TECHNOLOGIES, INC. Registrant Date: January 29, 2004 /s/John B. Nano By: John B. Nano President and Chief Executive Officer EX-99.1 4 ex99-1.txt PRESS RELEASE - CTT COMPLIANCE PLAN ACCEPTED BY AMEX Exhibit 99.1 For Immediate Release: COMPETITIVE TECHNOLOGIES COMPLIANCE PLAN ACCEPTED BY AMEX Fairfield, CT - (January 29, 2004) - Competitive Technologies, Inc. (AMEX: CTT) announced today that the American Stock Exchange (AMEX) has accepted CTT's plan to regain compliance with AMEX continued listing standards by the extension date of May 12, 2005 AMEX notified CTT on November 12, 2003 that CTT had fallen below Section 1003(a)(ii) of the AMEX Company Guide for having shareholders' equity of less than $4 million and losses from continuing operations and/or net losses in three out of its four most recent fiscal years. CTT was afforded the opportunity to submit a plan of compliance to the AMEX and presented its plan on December 12, 2003. To maintain its listing, CTT will be subject to periodic review by AMEX staff during the extension period. During this time CTT is required to make progress consistent with the plan and to regain compliance with the listing standards. About Competitive Technologies, Inc. Competitive Technologies, established in 1968, is a full service technology transfer and licensing provider focused on the technology needs of its customers and transforming those requirements into commercially viable solutions. CTT is a global leader in identifying, developing and commercializing innovative technologies in life, digital, nano, and physical sciences developed by universities, companies and inventors. The global market for technology transfer services is estimated at $150 billion annually. CTT maximizes the value of intellectual assets for the benefit of its customers, clients and shareholders. Visit CTT's website: http://www.competitivetech.net Statements about the Company's future expectations, including development and regulatory plans, and all other statements in this document other than historical facts are "forward-looking statements" within the meaning of applicable Federal Securities Laws and are not guarantees of future performance. These statements involve risks and uncertainties, including those set forth in Item 1 of the Company's most recent Form 10-K and in CTT's other filings with the SEC, and are subject to change at any time. The Company's actual results could differ materially from these forward-looking statements. The Company undertakes no obligation to update publicly any forward-looking statement. Direct inquiries to: Johnnie D. Johnson, Strategic IR, Inc. E-mail: jdjohnson@strategic-ir.com Tel. (212) 754-6565; Fax (212) 754-4333 E-mail: ctt@competitivetech.net -----END PRIVACY-ENHANCED MESSAGE-----