-----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, WHFTWicucB5lqG/s3Qhg1gqusLYieffkSC7UUG7VXXVIVGAejzBUAKU7pfmvDKqv TXLZN5BG+Qn+shVDZxOBLw== 0000716688-07-000003.txt : 20070221 0000716688-07-000003.hdr.sgml : 20070221 20070221163922 ACCESSION NUMBER: 0000716688-07-000003 CONFORMED SUBMISSION TYPE: 8-K PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20070221 ITEM INFORMATION: Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing FILED AS OF DATE: 20070221 DATE AS OF CHANGE: 20070221 FILER: COMPANY DATA: COMPANY CONFORMED NAME: MICROWAVE FILTER CO INC /NY/ CENTRAL INDEX KEY: 0000716688 STANDARD INDUSTRIAL CLASSIFICATION: ELECTRONIC COMPONENTS, NEC [3679] IRS NUMBER: 160928443 STATE OF INCORPORATION: NY FISCAL YEAR END: 0930 FILING VALUES: FORM TYPE: 8-K SEC ACT: 1934 Act SEC FILE NUMBER: 000-10976 FILM NUMBER: 07639293 BUSINESS ADDRESS: STREET 1: 6743 KINNE ST CITY: E SYRACUSE STATE: NY ZIP: 13057 BUSINESS PHONE: 3154373953 MAIL ADDRESS: STREET 1: 6743 KINNE ST CITY: EAST SYRACUSE STATE: NY ZIP: 13057 8-K 1 mfc-8k.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) 21 February 2007 ---------------- Microwave Filter Company, Inc. (Exact Name of Registrant as Specified in Charter) New York 0-10976 16-0928443 - ----------------------------- ----------------------- ------------------- (State or Other Jurisdiction (Commission File Number) (IRS Employer of Incorporation) Identification No.) 6743 Kinne Street, East Syracuse, New York 13057 ------------------------------------------------ ---------- (Address of Principal Executive Offices) (Zip Code) (315) 438-4700 -------------- Registrant's telephone number, including area code not applicable ------------------------------------------------------ (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 (See General Instruction A.2. below): [ ] 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 3.01, Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing; Microwave Filter Company, Inc. (NASDAQ Symbol:MFCO) received notification on February 16, 2007 from NASDAQ that the Company does not comply with Marketplace Rule 4310(c)(2)(B), which requires the Company to have a minimum of $2,500,000 in stockholders' equity or $35,000,000 market value of listed securities or $500,000 of net income from continuing operations for the most recently completed fiscal year or two of the three most recently completed fiscal years. In its SEC Form 10-QSB for the period ended December 31, 2006, the Company reported stockholders' equity of $2,487,000. The notification requested the Company to provide a specific plan to achieve and sustain compliance with all the NASDAQ Capital Market listing requirements on or before March 5, 2007. Microwave Filter Company, Inc. will respond to NASDAQ prior to the March 5, 2007 deadline. On February 21, 2007, Microwave Filter Company issued a press release, attached to this Current Report on Form 8-K as Exhibit 99.1, reporting that it received the notice. Item 9.01. Financial Statements and Exhibits. (d) Exhibits. 99.1 Press Release dated February 21, 2007 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. Microwave Filter Company, Inc. -------------------------------- (Registrant) Date: February 21, 2007 By: /s/ Richard L. Jones ------------------------------------ Richard L. Jones Chief Financial Officer EX-99 3 press-rel.txt PRESS RELEASE NEWS RELEASE For Immediate Release For More Information Contact: February 21, 2007 Richard Jones (315)-438-4700 Microwave Filter Company, Inc. Reports Notification from NASDAQ EAST SYRACUSE, NY - Microwave Filter Company, Inc. (NASDAQ Symbol:MFCO) today announced that on February 16, 2007, it received notification from NASDAQ that the Company does not comply with Marketplace Rule 4310(c)(2)(B), which requires the Company to have a minimum of $2,500,000 in stockholders' equity or $35,000,000 market value of listed securities or $500,000 of net income from continuing operations for the most recently completed fiscal year or two of the three most recently completed fiscal years. In its SEC Form 10-QSB for the period ended December 31, 2006, the Company reported stockholders' equity of $2,487,000. The notification requested the Company to provide a specific plan to achieve and sustain compliance with all the NASDAQ Capital Market listing requirements on or before March 5, 2007. Microwave Filter Company, Inc. will respond to NASDAQ prior to the March 5, 2007 deadline. If, after review of that plan, NASDAQ determines that the Company has not presented a definitive plan to achieve and sustain compliance, NASDAQ would provide written notification that the Company would be delisted. The notification also indicated that the Company may appeal NASDAQ's determination to a Listing Qualification Panel. Microwave Filter Company, Inc. designs, develops, manufactures and sells electronic filters, both for radio and microwave frequencies, to help process signal distribution and to prevent unwanted signals from disrupting transmit or receive operations. Markets served include cable television, television and radio broadcast, satellite broadcast, mobile radio, commercial communications and defense electronics. Niagara Scientific, Inc., a wholly owned subsidiary, custom designs case packing machines to automatically pack products into shipping cases. -----END PRIVACY-ENHANCED MESSAGE-----