StockerYale, Inc. Form 8-K

StockerYale, Inc.

November 15, 2004

/s/ Richard P. Lindsay

Richard P. Lindsay
Chief Financial Officer
and Secretary

-----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, QHcaYMJ/spCw/CjY5cuk9hjrtomKmJS7c5umpgoATlvkbwyrWd825gDCUaJhz9UN CqLXRuNVTXpIlHeq0hvzvw== 0000094538-04-000070.txt : 20041115 0000094538-04-000070.hdr.sgml : 20041115 20041115162015 ACCESSION NUMBER: 0000094538-04-000070 CONFORMED SUBMISSION TYPE: 8-K PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20041109 ITEM INFORMATION: Other Events FILED AS OF DATE: 20041115 DATE AS OF CHANGE: 20041115 FILER: COMPANY DATA: COMPANY CONFORMED NAME: STOCKERYALE INC CENTRAL INDEX KEY: 0000094538 STANDARD INDUSTRIAL CLASSIFICATION: OPTICAL INSTRUMENTS & LENSES [3827] IRS NUMBER: 042114473 STATE OF INCORPORATION: MA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 8-K SEC ACT: 1934 Act SEC FILE NUMBER: 000-27372 FILM NUMBER: 041145521 BUSINESS ADDRESS: STREET 1: 32 HAMPSHIRE ROAD CITY: SALEM STATE: NH ZIP: 03079 BUSINESS PHONE: 6038938778 MAIL ADDRESS: STREET 1: 32 HAMPSHIRE ROAD CITY: SALEM STATE: NH ZIP: 03079 FORMER COMPANY: FORMER CONFORMED NAME: STOCKER & YALE INC DATE OF NAME CHANGE: 19950623 8-K 1 stkr_form8k-11152004.htm FORM 8-K StockerYale, Inc. 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

November 9, 2004
Date of Report (Date of earliest event reported)

StockerYale, Inc.

(Exact name of registrant as specified in its charter)


Massachusetts (State or other jurisdiction of incorporation)		000-27372 (Commission File No.)		04-2114473 (IRS Employer Identification No.)

32 Hampshire Road, Salem, New Hampshire 03079
(Address of principal executive offices) (Zip Code)

Registrant's telephone number, including area code:
(603) 893-8778

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:

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))

Section 8 - Other Events

Item 8.01. Other Events

On November 9, 2004, StockerYale, Inc., ("StockerYale") received a "Wells Notice" from the staff of the Securities and Exchange Commission ("SEC") relating to certain disclosures contained in press releases that the company issued on April 19, 2004 and April 21, 2004. The Wells Notice stated that the staff of the SEC intends to recommend that a civil action be brought against StockerYale and Mark W. Blodgett, Chairman and Chief Executive Officer of StockerYale, alleging violations of Section 17(a) of the Securities Act of 1933 and Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder. Under the SEC's procedure, StockerYale will have an opportunity to respond to the staff's recommendation before the SEC initiates a civil action. StockerYale has been cooperating in the staff's investigation and intends to respond promptly to the Wells Notice. In its response, StockerYale intends to vigorously defend its actions. There can be no assurance that this matter will be resolved in a manner favorable to StockerYale or Mr. Blodgett or that the ultimate impact on StockerYale will not be material.

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 thereunto duly authorized.

2 / STKR /

END

FORM 8-K

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