# EDGAR Filing Document

**Accession Number:** 0001642375
**File Stem:** 0001493152-23-002319
**Filing Date:** 2023-1
**Character Count:** 9653
**Document Hash:** a7cfd95526e8a1fd665628f1c019993a
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001493152-23-002319.hdr.sgml**: 20230124

**ACCESSION NUMBER**: 0001493152-23-002319

**CONFORMED SUBMISSION TYPE**: 8-K

**PUBLIC DOCUMENT COUNT**: 14

**CONFORMED PERIOD OF REPORT**: 20230124

**ITEM INFORMATION**: Other Events

**ITEM INFORMATION**: Financial Statements and Exhibits

**FILED AS OF DATE**: 20230124

**DATE AS OF CHANGE**: 20230124

**FILER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** Guardion Health Sciences, Inc.
- **CENTRAL INDEX KEY:** 0001642375
- **STANDARD INDUSTRIAL CLASSIFICATION:** PHARMACEUTICAL PREPARATIONS [2834]
- **IRS NUMBER:** 474428421
- **STATE OF INCORPORATION:** DE
- **FISCAL YEAR END:** 1231

**FILING VALUES:**
- **FORM TYPE:** 8-K
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 001-38861
- **FILM NUMBER:** 23548303

**BUSINESS ADDRESS:**
- **STREET 1:** 2925 RICHMOND AVENUE
- **STREET 2:** SUITE 1200
- **CITY:** HOUSTON
- **STATE:** TX
- **ZIP:** 77098
- **BUSINESS PHONE:** (800) 873-5141

**MAIL ADDRESS:**
- **STREET 1:** 2925 RICHMOND AVENUE
- **STREET 2:** SUITE 1200
- **CITY:** HOUSTON
- **STATE:** TX
- **ZIP:** 77098

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** Guardion Health Sciences, LLC
- **DATE OF NAME CHANGE:** 20150513

?xml version="1.0" encoding="utf-8"?

**UNITED STATES**

**SECURITIES AND EXCHANGE COMMISSION**

**Washington, D.C. 20549**

**FORM 8-K**

**CURRENT REPORT**

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

Date of Report (Date of earliest event reported): **January 24, 2023**

**GUARDION HEALTH SCIENCES, INC.**

(Exact name of registrant as specified in its charter)

---

| | | |
|:---|:---|:---|
| **Delaware** | **001-38861** | **47-4428421** |
| (State or other jurisdiction<br> of incorporation) | (Commission<br> File Number) | (I.R.S. Employer<br> Identification No.) |

---

**2925 Richmond Avenue, Suite 1200**

**Houston, Texas 77098**

(Address of principal executive offices, including zip code)

Registrant's telephone number, including area code: **(800) 873-5141**

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(s) | Name of each exchange on which registered |
| Common Stock, par value $0.001 per share | GHSI | The Nasdaq Stock Market LLC |

---

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 8.01 Other Events.**

On January 24, 2023, Guardion Health Sciences, Inc. (the "Company") received a letter from The Nasdaq Stock Market LLC ("Nasdaq") stating that because the Company's common stock had a closing bid price at or above $1.00 per share for a minimum of 10 consecutive trading days, the Company had regained compliance with the minimum bid price requirement of $1.00 per share for continued listing on The Nasdaq Capital Market, as set forth in Nasdaq Listing Rule 5550(a)(2).

On January 24, 2023, the Company issued a press release announcing that it had regained compliance with the minimum bid price requirement of $1.00 per share for continued listing on The Nasdaq Capital Market. A copy of the press release is attached as Exhibit 99.1 to this Current Report on Form 8-K and is incorporated herein by reference.

**Item 9.01 Financial Statements and Exhibits**

(d) Exhibits.

---

| | |
|:---|:---|
| **Exhibit No.** | **Exhibit** |
| 99.1 | [Press release dated January 24, 2023](ex99-1.htm) |
| 104 | Cover Page Interactive Data File (embedded within the XBRL document) |

---

**SIGNATURES**

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.

---

| | | |
|:---|:---|:---|
|  | **GUARDION HEALTH SCIENCES, INC.** | **GUARDION HEALTH SCIENCES, INC.** |
| Date: January 24, 2023 |  |  |
|  | By: | */s/ Bret Scholtes* |
|  | Name: | Bret Scholtes |
|  | Title: | Chief Executive Officer |

---

## Exhibit 99.1

**Exhibit 99.1**

![](ex99-1_001.jpg)

**GUARDION HEALTH SCIENCES, INC. REGAINS COMPLIANCE WITH NASDAQ CONTINUED LISTING REQUIREMENTS**

HOUSTON, TX. January 24, 2023 (GLOBE NEWSWIRE) — Guardion Health Sciences, Inc ("Guardion" or the "Company") (NASDAQ: GHSI) announced today that it has received confirmation from The Nasdaq Stock Market LLC ("Nasdaq") that it has regained compliance with the minimum bid price requirement of $1.00 per share under Nasdaq Listing Rule 5550(a)(2) and currently meets all other applicable criteria for continued listing.

On January 25, 2022, Nasdaq notified Guardion that its common stock failed to maintain a minimum bid price of $1.00 over the previous 30 consecutive trading days as required by the Listing Rules of Nasdaq. Subsequently, by letter dated January 24, 2023, Nasdaq has determined that for the last 10 consecutive trading days, from January 9, 2023 through January 23, 2023, the closing bid price of Guardion's common stock has been $1.00 per share or greater, and the Company has therefore regained compliance with Listing Rule 5550(a)(2), and this matter is now closed.

**About Guardion Health Sciences, Inc.**

Guardion Health Sciences, Inc. (Nasdaq: GHSI), is a clinical nutrition company that offers a portfolio of science-based, clinically supported products designed to support the health needs of consumers, healthcare professionals and providers and their patients. The Company's combination of expertise and scientifically supported products is the foundation of Guardion's growing position within the clinical nutrition marketplace. Information and risk factors with respect to Guardion and its business may be obtained in the Company's filings with the SEC at <u>www.sec.gov</u>.

**Forward-Looking Statement Disclaimer**

With the exception of the historical information contained in this news release, the matters described herein may contain "forward-looking statements" within the meaning of Section 27A of the Securities Act of 1933, as amended, and Section 21E of the Securities Exchange Act of 1934, as amended. These forward-looking statements contain information about our expectations, beliefs, plans or intentions regarding our product development and commercialization efforts, research and development efforts, business, financial condition, results of operations, strategies or prospects, and other similar matters. Statements preceded by, followed by or that otherwise include the words "believes," "expects," "anticipates," "intends," "projects," "estimates," "plans," "hopes" and similar expressions or future or conditional verbs such as "will," "should," "would," "may" and "could" are generally forward-looking in nature and not historical facts, although not all forward-looking statements include the foregoing.

These statements are based on management's current expectations and assumptions about future events, which are inherently subject to uncertainties, risks and changes in circumstances that are difficult to predict, and involve unknown risks and uncertainties that may individually or materially impact the matters discussed herein for a variety of reasons that are outside the control of the Company, including, but not limited to, the Company's ability to raise sufficient financing to implement its business plan, the impact of the Company's exploration of strategic alternatives, the integration of new management team members, the implementation of new financial, management, accounting and business software systems, the integration of possible acquisition targets, the impact of the Covid-19 pandemic, supply chain disruptions, inflation and a potential recession on the Company's business, operations and the economy in general, the Company's ability to successfully develop and commercialize its proprietary products and technologies, and the Company's ability to maintain compliance with Nasdaq's listing requirements.

Readers are cautioned not to place undue reliance on these forward-looking statements, as actual results could differ materially from those described in the forward-looking statements contained herein. Readers are urged to read the risk factors set forth in the Company's filings with the SEC, which are available at the SEC's website (www.sec.gov). The Company disclaims any intention or obligation to update or revise any forward-looking statements, whether as a result of new information, future events or otherwise.

**Investor Relations Contact:**

CORE IR

Scott Arnold

516-222-2560

<u>scotta@coreir.com</u>

**Media Relations Contact:**

Jules Abraham

Director of Public Relations

CORE IR

917-885-7378

julesa@coreir.com