# EDGAR Filing Document

**Accession Number:** 0001042187
**File Stem:** 0001493152-23-007658
**Filing Date:** 2023-3
**Character Count:** 7321
**Document Hash:** e03c4cb9c8b40440c085b7925d7641af
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001493152-23-007658.hdr.sgml**: 20230315

**ACCESSION NUMBER**: 0001493152-23-007658

**CONFORMED SUBMISSION TYPE**: 8-K

**PUBLIC DOCUMENT COUNT**: 12

**CONFORMED PERIOD OF REPORT**: 20230314

**ITEM INFORMATION**: Regulation FD Disclosure

**FILED AS OF DATE**: 20230315

**DATE AS OF CHANGE**: 20230314

**FILER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** Yunhong CTI Ltd.
- **CENTRAL INDEX KEY:** 0001042187
- **STANDARD INDUSTRIAL CLASSIFICATION:** FABRICATED RUBBER PRODUCTS, NEC [3060]
- **IRS NUMBER:** 362848943
- **STATE OF INCORPORATION:** IL
- **FISCAL YEAR END:** 1231

**FILING VALUES:**
- **FORM TYPE:** 8-K
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 000-23115
- **FILM NUMBER:** 23732655

**BUSINESS ADDRESS:**
- **STREET 1:** 22160 N PEPPER RD
- **CITY:** BARRINGTON
- **STATE:** IL
- **ZIP:** 60010
- **BUSINESS PHONE:** 8473821000

**MAIL ADDRESS:**
- **STREET 1:** 22160 N PEPPER RD
- **CITY:** BARRINGTON
- **STATE:** IL
- **ZIP:** 60010

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** CTI INDUSTRIES CORP
- **DATE OF NAME CHANGE:** 19970710

?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 15(d) of the Securities Exchange Act of 1934**

Date of Report (Date of earliest event reported): March 14, 2023

**YUNHONG CTI LTD.**

(Exact Name Of Registrant As Specified In Its Charter)

Illinois

(State or Other Jurisdiction of Incorporation)

<u>000-23115</u> <u>36-2848943</u> <br> (Commission File Number) (I.R.S. Employer Identification No.)

<u>22160 N. Pepper Road Lake Barrington, Illinois</u> <u>60010</u> <br> (Address of Principal Executive Offices) (Zip Code)

(847) 382-1000

(Registrant's Telephone Number, Including Area Code)

(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))

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

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| | | |
|:---|:---|:---|
| **Title of each class** | **Trading Symbol(s)** | **Name of each exchange on which registered** |
| Common Stock, no par value per share | CTIB | The Nasdaq Stock Market LLC<br> (The Nasdaq Capital Market) |

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Indicate by check mark whether the registrant is an emerging growth company as defined in 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 checkmark 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 7.01** **Regulation FD Disclosure.**

On or about March 14, 2023, Yunhong CTI Ltd. ("CTI", the "Company" or "we"), expects that its Chairman, Mr. Yubao Li, will make brief verbal disclosures at an investor conference to be held in Wuxue, China, which disclosures will communicate the Company's present intentions to (a) seek authorization from its shareholders for a substantial increase in the number of authorized shares of the Company's common stock, to help facilitate future offerings of common stock that could permit the Company to raise additional capital and better carry out its growth plans (the "Potential Authorized Shares Increase"), and (b) examine a potential change in the Company's name, in connection with a potential rebranding (the "Potential Rebranding"). The details of the Potential Authorized Shares Increase (such as the timing or amount of a potential increase in the number of authorized shares) and the Potential Rebranding (such as the timing or the potential new name or brand) have not been determined. There is no proposal currently before the Board of Directors or the Company's shareholders with respect to the Company's intentions described above. The foregoing disclosures will not include any other material information regarding the Company. Collectively, the foregoing disclosures are referred to below as the "Disclosures."

By filing this Current Report on Form 8-K and furnishing the information in this Item 7.01, the Company makes no admission as to the materiality of any information in the Disclosures that is required to be disclosed solely by reason of Regulation FD.

The information contained in the Disclosures includes forward-looking information relating to the Company's present intentions that should be considered in the context of the Company's SEC filings and other public announcements that the Company has made and may make, by press release or otherwise, from time to time. The Company undertakes no duty or obligation to publicly update or revise the information contained in the Disclosures, although it may do so from time to time as the Company's management believes is warranted. Any such updating may be made through the filing of other reports or documents with the SEC, through press releases or through other public disclosures.

Forward-Looking Statements

This Current Report on Form 8-K contains forward-looking statements. Statements made in this report that are not historical facts are "forward-looking" statements (within the meaning of Section 21E of the Securities Exchange Act of 1934) that involve risks and uncertainties and are subject to change at any time. These "forward-looking" statements may include, but are not limited to, statements containing words such as "may," "should," "could," "would," "expect," "plan," "goal," "anticipate," "believe," "estimate," "predict," "potential," "continue," or similar expressions. We have based these forward-looking statements on our current expectations and projections about future results. Although we believe that our opinions and expectations reflected in the forward-looking statements are reasonable, we cannot guarantee future results, levels of activity, performance or achievements, and our actual results may differ substantially from statements made herein. More information on factors that could affect our business and financial results are included in our public filings made with the Securities and Exchange Commission, including our Annual Report on Form 10-K and our Quarterly Reports on Form 10-Q.

**<u>SIGNATURE</u>**

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.

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| | | | |
|:---|:---|:---|:---|
| Dated: | March 14, 2023 | **YUNHONG CTI LTD.** | **YUNHONG CTI LTD.** |
|  |  | By: | */s/ Frank Cesario* |
|  |  | Name: | Frank Cesario |
|  |  | Title: | Chief Executive Officer |

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