8-K 1 f37017e8vk.htm FORM 8-K e8vk
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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 3, 2008
 
ESS TECHNOLOGY, INC.
(Exact name of registrant as specified in its charter)
 
         
California   0-26660   94-2928582
(State or other jurisdiction
of incorporation)
  (Commission File Number)   (IRS Employer
Identification No.)
     
48401 FREMONT BOULEVARD
FREMONT, CA
  94538
(Address of principal
executive offices)
  (Zip Code)
     
Registrant’s telephone number, including area code: (510) 492-1088
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))
 
 

 


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Item 3.01. Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing
Item 9.01. Financial Statements and Exhibits
SIGNATURE
EXHIBIT INDEX
EXHIBIT 99.1


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Item 3.01. Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing.
On January 3, 2008, ESS Technology, Inc. (“ESS” or the “Company”) received a Nasdaq Staff Determination letter indicating that ESS is not currently in compliance with Nasdaq’s requirements for continued listing as set forth in Marketplace Rules 4350(e) and 4350(g) due to the Company’s failure to hold its annual meeting of shareholders and to solicit proxies from its shareholders and that its securities are subject to delisting from the Nasdaq Stock Market. The Company will initiate the appeal process by requesting a hearing before the Nasdaq Listing Qualifications Panel in response to the letter. Pending a decision by the panel, ESS shares will remain listed on the Nasdaq Stock Market. There can be no assurance the panel will grant the Company’s request for continued listing. The Company issued a press release on January 9, 2008, a copy of which is attached to this report as Exhibit 99.1 and is incorporated herein by reference.
Item 9.01. Financial Statements and Exhibits.
(d) Exhibits.
     99.1 Press Release dated January 9, 2008.

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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.
         
Date: January 9, 2008  ESS TECHNOLOGY, INC.
 
 
  By:   /s/ Robert L. Blair    
    Robert L. Blair   
    President and Chief Executive Officer   

 


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EXHIBIT INDEX
99.1 Press Release dated January 9, 2008.