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): December 6, 2018
ASTA FUNDING, INC. |
(Exact name of registrant as specified in its charter) |
Delaware | 001-35637 | 22-3388607 |
(State or other jurisdiction
of incorporation) | (Commission
File Number) | (IRS Employer
Identification No.) |
| | | |
| | 210 Sylvan Avenue
Englewood Cliffs, NJ 07632
(201) 567-5648 | |
(Address, including zip code, and telephone number, including area code, of
the registrant’s principal executive offices) |
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))
Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 or Rule 12b-2 of the Securities Exchange Act of 1934.
Emerging growth company ☐
Item 3.01 | Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing. |
On December 6, 2018, Asta Funding, Inc. (the “Company”) received a letter from the Nasdaq Stock Market LLC (“Nasdaq”) stating that the Company has regained compliance with Nasdaq’s continued listing requirements set forth in Listing Rule 5250(c)(1) and Listing Rule 5620(a) and that the Company is in compliance with other applicable requirements for listing on the Nasdaq Stock Market. The letter also confirms that Nasdaq is closing the non-compliance matter.
Item 7.01 | Regulation FD Disclosure. |
On December 6, 2018, the Company issued a press release announcing its receipt of the Nasdaq compliance letter. A copy of the Company’s press release is attached hereto as Exhibit 99.1 and is incorporated herein by reference.
Item 9.01 | Financial Statements and Exhibits. |
(d) Exhibits.
99.1 Press Release dated December 6, 2018
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.
| Asta Funding, Inc. | |
| | | |
Date: December 6, 2018 | By: | /s/ Bruce R. Foster | |
| Name: | Bruce R. Foster | |
| Title: | Chief Financial Officer | |
EXHIBIT INDEX
Exhibit Number | | Description |
99.1 | | Press Release dated December 6, 2018 |
| | | |
3
