8-K 1 form8k-23215_esp.htm 8-K
Espey Mfg. & Electronics Corp.
8-K on 01/06/2020   Download
SEC Document
SEC Filing


Washington, D. C. 20549



Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934

Date of Report
December 31, 2019



(Exact name of registrant as specified in its charter)

New York

(State or Other Jurisdiction of Incorporation)

(Commission File Number)


(IRS Employer Identification No.)


233 Ballston Avenue, Saratoga Springs, New York 12866

(Address of principal executive offices)


(518) 584-4100

(Registrant’s telephone number, including area code)


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:

☐  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))

Securities registered pursuant to Section 12(b) of the Act

           Title of each class Trading Symbol Name of each exchange on which registered
Common Stock $.33-1/3 par value   ESP NYSE American
Common Stock Purchase Rights   NYSE American


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.



ITEM 3.03. Material Modification to Rights of Security Holders


The Second Amended and Restated Rights Agreement dated as of December 18, 2009, between Espey Mfg. & Electronics Corp. (the “Company”) and Registrar and Transfer Co. (the “Rights Agreement”), and all common stock purchase rights distributed to holders of the Company’s common stock pursuant to the Rights Agreement, expired by their respective terms on December 31, 2019. Accordingly, the Rights Agreement is of no further force and effect.




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.

Date:  January 6, 2020  



  By: /s/ David O’Neil

David O’Neil

Principal Financial Officer and Executive Vice President