# EDGAR Filing Document

**Accession Number:** 0000879682
**File Stem:** 0001437749-23-001184
**Filing Date:** 2023-1
**Character Count:** 5644
**Document Hash:** b4b1df1c1cc3c86e65a081b79ebade17
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001437749-23-001184.hdr.sgml**: 20230118

**ACCESSION NUMBER**: 0001437749-23-001184

**CONFORMED SUBMISSION TYPE**: 8-K

**PUBLIC DOCUMENT COUNT**: 13

**CONFORMED PERIOD OF REPORT**: 20230117

**ITEM INFORMATION**: Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing

**FILED AS OF DATE**: 20230118

**DATE AS OF CHANGE**: 20230118

**FILER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** VIVEVE MEDICAL, INC.
- **CENTRAL INDEX KEY:** 0000879682
- **STANDARD INDUSTRIAL CLASSIFICATION:** ELECTROMEDICAL & ELECTROTHERAPEUTIC APPARATUS [3845]
- **IRS NUMBER:** 043153858
- **STATE OF INCORPORATION:** DE
- **FISCAL YEAR END:** 1231

**FILING VALUES:**
- **FORM TYPE:** 8-K
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 001-11388
- **FILM NUMBER:** 23532886

**BUSINESS ADDRESS:**
- **STREET 1:** 345 INVERNESS DRIVE SOUTH
- **STREET 2:** BUILDING B, SUITE 250
- **CITY:** ENGLEWOOD
- **STATE:** CO
- **ZIP:** 80112
- **BUSINESS PHONE:** 4085301900

**MAIL ADDRESS:**
- **STREET 1:** 345 INVERNESS DRIVE SOUTH
- **STREET 2:** BUILDING B, SUITE 250
- **CITY:** ENGLEWOOD
- **STATE:** CO
- **ZIP:** 80112

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** PLC SYSTEMS INC
- **DATE OF NAME CHANGE:** 19930328

vive20230117_8k.htm

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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): **January 17, 2023**

## VIVEVE MEDICAL, INC.
(Exact name of registrant as specified in its charter)

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| | | |
|:---|:---|:---|
| Delaware | 1-11388 | 04-3153858 |
| (State or other jurisdiction of<br> incorporation) | (Commission File Number) | (I.R.S. Employer<br> Identification No.) |

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| | |
|:---|:---|
| 345 Inverness Drive South, Building B, Suite 250<br> Englewood, Colorado | 80112 |
| (Address of principal executive offices) | (Zip Code) |

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Registrant's telephone number, including area code: (720) 696-8100

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 | VIVE | Nasdaq Capital Market |

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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))

Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 or Rule 12b-2 of the Securities Exchange Act of 1934.

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. ☐

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| | |
|:---|:---|
| **Item 3.01.** | **Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing.** |

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As previously reported, on November 29, 2022, Viveve Medical, Inc. (the "Company") received notice from the Listing Qualifications Staff of The Nasdaq Stock Market LLC ("Nasdaq") indicating that, based upon the Company's non-compliance with the minimum bid price and stockholders' equity requirements for continued listing on The Nasdaq Capital Market, as set forth in Nasdaq Listing Rules 5550(a)(2) (the "Bid Price Rule") and 5550(b)(1) (the "Equity Rule"), respectively, the Company's securities were subject to delisting unless the Company timely requested a hearing before the Nasdaq Hearings Panel (the "Panel"). On December 5, 2022, the Company requested a hearing before the Panel, which temporarily stayed the suspension of trading and delisting of the Company's common stock. The hearing was scheduled for January 19, 2023.

Further as reported on January 17, 2022, as a result of the Company's business prospects following the results of the Company's PURSUIT clinical trial, the Company is unable to present a plan to regain compliance with the Bid Price Rule and the Equity Rule to the Panel at the hearing.

On January 17, 2023, the Company withdrew its request for the hearing before the Panel. As a result, Nasdaq issued a notice to the Company that its shares will be suspended from trading at the open of business on January 19, 2023, and Nasdaq will file a Form 25 Notification of Delisting with the Securities and Exchange Commission on or about January 25, 2023. Following the effectiveness of the Form 25, the Company intends to file a Form 15 with the Securities and Exchange Commission to suspend its reporting obligations under the Securities Exchange Act of 1934, as amended.

**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.

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| | | |
|:---|:---|:---|
| Date: January 18, 2023  | Viveve Medical, Inc. | Viveve Medical, Inc. |
|  | By:  | /s/ Scott Durbin |
|  |  | Scott Durbin  |
|  |  | Chief Executive Officer |

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