-----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, KfSxxTq0rH3kggDoSIMfyEegCz0w4eY939Ueh0RAc8pNdcGC/yBcGTI2XUmOKIgu pVFT+WKajr75ouA1m3U1Hg== 0001193125-07-027845.txt : 20070213 0001193125-07-027845.hdr.sgml : 20070213 20070213060434 ACCESSION NUMBER: 0001193125-07-027845 CONFORMED SUBMISSION TYPE: 8-K PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20070122 ITEM INFORMATION: Other Events FILED AS OF DATE: 20070213 DATE AS OF CHANGE: 20070213 FILER: COMPANY DATA: COMPANY CONFORMED NAME: QUEST SOFTWARE INC CENTRAL INDEX KEY: 0001088033 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-PREPACKAGED SOFTWARE [7372] IRS NUMBER: 330231678 STATE OF INCORPORATION: CA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 8-K SEC ACT: 1934 Act SEC FILE NUMBER: 000-26937 FILM NUMBER: 07605777 BUSINESS ADDRESS: STREET 1: 5 POLARIS WAY CITY: ALISO VIEJO STATE: CA ZIP: 92656 BUSINESS PHONE: 9497548000 MAIL ADDRESS: STREET 1: 5 POLARIS WAY CITY: ALISO VIEJO STATE: CA ZIP: 92656 8-K 1 d8k.htm FORM 8-K 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 22, 2007

 

Quest Software, Inc.

(Exact name of registrant as specified in its charter)

 

 

California   000-26937   33-0231678

(State or other jurisdiction

of incorporation)

   (Commission File Number)  

(IRS Employer

Identification No.)

 

5 Polaris Way, Aliso Viejo, California   92656
(Address of principal executive offices)   (Zip Code)

Registrant’s telephone number, including area code (949) 754-8000

 

(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:

 

¨ Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)

 

¨ Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)

 

¨ Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))

 

¨ Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))

 

Item 8.01 Other Events.

On January 22, 2007, Quest Software, Inc. was informed that the NASDAQ Listing and Hearing Review Council called for a review of the NASDAQ Listing Qualifications Panel’s decision regarding Quest. As previously announced, the Panel granted Quest’s request for continued listing on The NASDAQ Stock Market subject to the condition that Quest file its delinquent quarterly reports with the Securities and Exchange Commission and complete the restatement of its prior financial statements on or before January 10, 2007. This deadline was subsequently extended to January 22, 2007 when Quest informed the Panel it would need additional time to complete the restatement. The Listing and Hearing Review Council has determined to stay the Panel’s listing decision and any future Panel determinations to suspend trading in Quest Software securities pending further action by the Listing Council.

Quest also previously announced that it received an informal SEC inquiry relating to Quest’s stock option grant practices. On January 22, 2007, the Company received a subpoena from the SEC seeking additional documents relating to the stock option investigation, pursuant to a formal order of investigation issued by the SEC. Quest continues to cooperate with the SEC.

SIGNATURES

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.

 

    QUEST SOFTWARE, INC.
Date: February 13, 2007    
  By:  

/s/ J. Michael Vaughn

    J. Michael Vaughn
    Vice President, General Counsel
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