UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, DC 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 21, 2016
 
root9B Holdings, Inc.
(Exact Name of Registrant as Specified in Its Charter)
 
 
Delaware
 
000-50502
 
20-0443575
(State or Other Jurisdiction of Incorporation or Organization)
 
(Commission File Number)
 
(IRS Employer Identification No.)
 
 
102 N. Cascade Avenue, Suite 220
Colorado Springs, CO
 
80919
(Address of Principal Executive Offices)
 
 
(Zip Code)
 
Registrant’s Telephone Number, Including Area Code: (602) 889 1137
 
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 (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 8.01
Other Events.
 
On December 21, 2016, the root9b Holdings, Inc. issued a press release entitled “root9B Holdings Announces Uplisting to Nasdaq Capital Market”. A copy of the press release is attached to this Current Report on Form 8-K as Exhibit 99.1.
 
Item 9.01
Financial Statements and Exhibits.
 
(d) Exhibits.
 
The information set forth in the Exhibit Index immediately following the signature page to this Current Report on Form 8-K is incorporated by reference into this Item 9.01.
 
 
 
 
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, thereunto duly authorized.
 
 
 
 
 
 
 
 
 
 
 
 
 
ROOT9B HOLDINGS, INC.
 
 
 
 
 
 
 
 
 
Dated: December 21, 2016
 
 
 
By:
 
 /s/ Dan Wachtler
 
 
 
 
 
 
Name:
 
Dan Wachtler                                            
 
 
 
 
 
 
Title:
 
President & Chief Operating Officer
 
 
 
 
 
Exhibit Index
 
 
 
 
Exhibit
 
Description
99.1
 
Press Release dated December 21, 2016.