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): February 11, 2020
 
Soliton, Inc.
(Exact name of registrant as specified in its charter)
  
Delaware
001-38815
36-4729076
(State or other jurisdiction of
incorporation or organization)
(Commission File Number)
(I.R.S. Employer Identification No.)
 
5304 Ashbrook Drive
Houston, Texas 77081
(Address of principal executive offices) (Zip Code)
 
Registrant’s telephone number, including area code: (844) 705-4866
 
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 (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))
 
Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (§230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (§240.12b-2 of this chapter).
 
Emerging growth company ☒
 
If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act.
 
Securities registered pursuant to Section 12(b) of the Act:
 
 Title of each class
 Trading Symbols(s)
 Name of each exchange on which registered
Common stock, par value $0.001 per share
SOLY
The NASDAQ Stock Market LLC






Item 7.01. Regulation FD Disclosure
 
On February 11, 2020, Soliton, Inc. (the “Company”) issued a press release announcing it had filed for Special 510(k) Premarket Notification with the U.S. Food and Drug Administration for its Generation II Rapid Acoustic Pulse device. A copy of the press release is attached to this report as Exhibit 99.1 and is incorporated by reference herein.
 
The information contained in Item 7.01 of this Current Report on Form 8-K, including Exhibit 99.1, is being furnished and shall not be deemed to be “filed” for the purpose of the Securities Exchange Act of 1934, as amended (“Exchange Act”), nor shall it be deemed incorporated by reference in any filing under the Exchange Act or the Securities Act of 1933, as amended, unless specifically identified therein as being incorporated by reference.
 
Item 9.01.  Financial Statements and Exhibits
 
(d) Exhibits
 
Exhibit
No.
Exhibit
 
 
99.1
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. 
 
 
 
SOLITON, INC.
 
 
 
 
 
 
 
 
 
 
By:
/s/ Lori Bisson
 
 
 
Lori Bisson
 
 
 
Executive Vice-President,
 
 
 
Chief Financial Officer
 
 
 
Dated: February 11, 2020