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): November 20, 2014
____________________
CollabRx, Inc.
(Exact Name of Registrant as Specified in Charter)
Delaware
(State or Other Jurisdiction
of Incorporation)
000-26824
(Commission
File Number)
68-0370244
(I.R.S. Employer
Identification No.)
44 Montgomery Street, Suite 800
San Francisco, CA 94104-4811
(Address of Principal Executive Offices)
(415) 248-5350
(Registrant's telephone number, including area code)
(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 communication 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.
On November 20, 2014, CollabRx, Inc. (the "Company") was notified by the Nasdaq that the shareholders' equity balance reported on its last Quarterly Report filed with the Securities and Exchange Commission on November 14, 2014 fell below the $2,500,000 minimum requirement for continued listing under the Nasdaq Capital Market's Listing Rule 5550(b)(1) ("the Rule"). In accordance with the Rule, the Company has 45 days to prepare and submit a plan to Nasdaq outlining how it intends to regain compliance. If the Company's plan is accepted, Nasdaq may grant the Company an extension of up to180 days from November 20, 2014, or until May 19, 2015, to regain compliance.
Item 9.01. Financial Statements and Exhibits.
(d) Exhibits
Exhibit No.
99.1 Press Release, dated December 3, 2014, "CollabRx Announces Receipt of NASDAQ Notice of
Non-compliance with Rule 5550(b)(1).
SIGNATURES
Pursuant to the requirements of the Securities Exchange Act 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.
| Date: December 3, 2014 | COLLABRX, INC. | ||
| By: | /s/ Thomas R. Mika | ||
Name: Title: | Thomas R. Mika President and Chief Executive Officer | ||