UNITED STATES SECURITIES AND EXCHANGE COMMISSIO
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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): April 9, 2019
DOCUMENT SECURITY SYSTEMS, INC.
(Exact name of registrant as specified in its charter)
New York 001-32146 16-1229730
(State or other jurisdiction
of incorporation) (Commission
File Number) (IRS Employer
Identification No.)
200 Canal View Boulevard
Suite 300
Rochester, NY
14623
(Address of principal executive offices) (Zip Code)
Registrant’s telephone number, including area code: (585) 325-3610
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. [ ]
Item 5.02 Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers
Mr. Philip Jones, the Chief Financial Officer and interim Principal Executive Officer of Document Security Systems, Inc. (the “Company”), has elected to leave the Company. On April 9, 2019, Philip Jones tendered his resignation as the Chief Financial Officer and interim Principal Executive Officer of the Company and from all executive positions with the Company’s subsidiaries. His departure is effective on April 17, 2019, and is not based on any disagreement with the Company’s accounting principals, practices or financial statement disclosures.
Further, Mr. Jones has agreed to continue to assist the Company as a consultant and the final terms of a consulting agreement are being negotiated. The Company does not anticipate any disruption to its business or operations as a result of this transition.
SIGNATURE
Pursuant to the requirements of the Securities Exchange Act of 1934, the Registrant has duly caused this Current Report on Form 8-K to be signed on its behalf by the undersigned hereunto duly authorized.
DOCUMENT SECURITY SYSTEMS, INC.
Dated: April 10, 2019 By: /s/ Philip Jones
Philip Jones
Chief Financial Officer
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): April 9, 2019
DOCUMENT SECURITY SYSTEMS, INC.
(Exact name of registrant as specified in its charter)
New York 001-32146 16-1229730
(State or other jurisdiction
of incorporation) (Commission
File Number) (IRS Employer
Identification No.)
200 Canal View Boulevard
Suite 300
Rochester, NY
14623
(Address of principal executive offices) (Zip Code)
Registrant’s telephone number, including area code: (585) 325-3610
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. [ ]
Item 5.02 Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers
Mr. Philip Jones, the Chief Financial Officer and interim Principal Executive Officer of Document Security Systems, Inc. (the “Company”), has elected to leave the Company. On April 9, 2019, Philip Jones tendered his resignation as the Chief Financial Officer and interim Principal Executive Officer of the Company and from all executive positions with the Company’s subsidiaries. His departure is effective on April 17, 2019, and is not based on any disagreement with the Company’s accounting principals, practices or financial statement disclosures.
Further, Mr. Jones has agreed to continue to assist the Company as a consultant and the final terms of a consulting agreement are being negotiated. The Company does not anticipate any disruption to its business or operations as a result of this transition.
SIGNATURE
Pursuant to the requirements of the Securities Exchange Act of 1934, the Registrant has duly caused this Current Report on Form 8-K to be signed on its behalf by the undersigned hereunto duly authorized.
DOCUMENT SECURITY SYSTEMS, INC.
Dated: April 10, 2019 By: /s/ Philip Jones
Philip Jones
Chief Financial Officer
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Please conduct your own due diligence before choosing to buy or sell any stock.
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