-----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, G5LWmri8F5ezfvEb2S8ioRKef4H0gTTGnZcdVoXaquiNThKny5UXWAbt7xBLMhgT ZI2fkZpTrdcXuUVJuLYd5w== 0001085037-07-000507.txt : 20070301 0001085037-07-000507.hdr.sgml : 20070301 20070228173922 ACCESSION NUMBER: 0001085037-07-000507 CONFORMED SUBMISSION TYPE: 8-K PUBLIC DOCUMENT COUNT: 3 CONFORMED PERIOD OF REPORT: 20070227 ITEM INFORMATION: Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing ITEM INFORMATION: Financial Statements and Exhibits FILED AS OF DATE: 20070301 DATE AS OF CHANGE: 20070228 FILER: COMPANY DATA: COMPANY CONFORMED NAME: CATHAY MERCHANT GROUP, INC. CENTRAL INDEX KEY: 0000352281 STANDARD INDUSTRIAL CLASSIFICATION: PRIMARY PRODUCTION OF ALUMINUM [3334] IRS NUMBER: 042608713 STATE OF INCORPORATION: DE FISCAL YEAR END: 0731 FILING VALUES: FORM TYPE: 8-K SEC ACT: 1934 Act SEC FILE NUMBER: 001-16283 FILM NUMBER: 07659521 BUSINESS ADDRESS: STREET 1: 3604 TOWER 1, KERRY EVERBRIGHT CITY STREET 2: 218 TIAN MU ROAD WEST CITY: SHANGHAI STATE: F4 ZIP: 200070 BUSINESS PHONE: 86-21-6353-0012 MAIL ADDRESS: STREET 1: 3604 TOWER 1, KERRY EVERBRIGHT CITY STREET 2: 218 TIAN MU ROAD WEST CITY: SHANGHAI STATE: F4 ZIP: 200070 FORMER COMPANY: FORMER CONFORMED NAME: EQUIDYNE CORP DATE OF NAME CHANGE: 20000110 FORMER COMPANY: FORMER CONFORMED NAME: AMERICAN ELECTROMEDICS CORP DATE OF NAME CHANGE: 19920703 8-K 1 form8k.htm 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) February 27, 2007

CATHAY MERCHANT GROUP, INC.

(Exact name of registrant as specified in its charter)

Delaware

(State of Incorporation)

 

0-9922

(Commission File Number)

 

04-2608713

(I.R.S. Employer Identification Number)

 

Unit 803, Dina House, Ruttonjee Centre, 11 Duddell Street, Central, Hong Kong SAR, China

(Address of principal executive offices, including zip code)

 

(852) 2537-3613

(Registrant's telephone Number, including area code)

N/A

(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:

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

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

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

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

Item 3.01 Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing

On February 27, 2007, we received notice from the American Stock Exchange (“Amex”) indicating that we were not in compliance with Section 704 of the Amex Company Guide (the “Guide”), which requires a listed company to hold meetings of its shareholders annually to elect directors and take action on other corporate matters. We were afforded the opportunity to submit a plan of compliance to Amex by March 13, 2007, that demonstrates our ability to regain compliance with Section 704 of the Guide by May 29, 2007. If we do not submit a plan or if the plan is not accepted by Amex, we may be subject to delisting procedures as set forth in Section 1010 and Part 12 of the Guide.

On February 28, 2007, we issued a press release announcing the matters discussed above. The full text of the press release is attached as Exhibit 99.1 to this report.

 

 


 

- 2 -

 

 

Item 9.01 Financial Statements and Exhibits

Exhibits

 

99.1

Press release issued by Cathay Merchant Group, Inc. dated February 28, 2007

 

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.

CATHAY MERCHANT GROUP, INC.

 

By:

/s/ Michael Smith

 

Michael Smith

 

Chief Executive Officer, President and Chief Financial Officer

 

Date: February 28, 2007

 

 

 

CW1087698.2

 

 

 

 EX-99 2 ex99-1.htm EXHIBIT 99.1 - NEWS RELEASE

 

Cathay Merchant Group, Inc.

 


 

NEWS RELEASE

 

 

Hong Kong, China, Cathay Merchant Group, Inc. (AMEX: CMQ) (the “Company”) – On February 27, 2007, the Company received notice from the American Stock Exchange (“Amex”) indicating that the Company is not in compliance with Section 704 of the Amex Company Guide (the “Guide”), which requires a listed company to hold meetings of its shareholders annually to elect directors and take action on other corporate matters. The Company was afforded the opportunity to submit a plan of compliance to Amex by March 13, 2007, that demonstrates the Company’s ability to regain compliance with Section 704 of the Guide by May 29, 2007. If the Company does not submit a plan or if the plan is not accepted by Amex, the Company may be subject to delisting procedures as set forth in Section 1010 and Part 12 of the Guide.

 

Contact Information:

Rene Randall

604.683.5767

 

 

UNIT 803, DINA HOUSE, RUTTONJEE CENTRE, 11 DUDDELL STREET, CENTRAL HONG KONG, CHINA

TELEPHONE: (852) 2537-3613 FACSIMILE: (852) 2537-3689

 

CW1087695.2

 

 

 

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