# EDGAR Filing Document

**Accession Number:** 0000811240
**File Stem:** 0001193125-23-006843
**Filing Date:** 2023-1
**Character Count:** 6631
**Document Hash:** a0380f311f288258e4e529d085d11d14
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001193125-23-006843.hdr.sgml**: 20230112

**ACCESSION NUMBER**: 0001193125-23-006843

**CONFORMED SUBMISSION TYPE**: 8-K

**PUBLIC DOCUMENT COUNT**: 12

**CONFORMED PERIOD OF REPORT**: 20230111

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

**FILED AS OF DATE**: 20230112

**DATE AS OF CHANGE**: 20230112

**FILER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** BIOLASE, INC
- **CENTRAL INDEX KEY:** 0000811240
- **STANDARD INDUSTRIAL CLASSIFICATION:** DENTAL EQUIPMENT & SUPPLIES [3843]
- **IRS NUMBER:** 870442441
- **STATE OF INCORPORATION:** DE
- **FISCAL YEAR END:** 1231

**FILING VALUES:**
- **FORM TYPE:** 8-K
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 001-36385
- **FILM NUMBER:** 23524868

**BUSINESS ADDRESS:**
- **STREET 1:** 27042 TOWNE CENTRE DRIVE
- **STREET 2:** SUITE 270
- **CITY:** FOOTHILL RANCH
- **STATE:** CA
- **ZIP:** 92610
- **BUSINESS PHONE:** 949-361-1200

**MAIL ADDRESS:**
- **STREET 1:** 27042 TOWNE CENTRE DRIVE
- **STREET 2:** SUITE 270
- **CITY:** FOOTHILL RANCH
- **STATE:** CA
- **ZIP:** 92610

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** BIOLASE TECHNOLOGY INC
- **DATE OF NAME CHANGE:** 19941117

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** LASER MEDICAL TECHNOLOGY INC
- **DATE OF NAME CHANGE:** 19941117

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** LASER ENDO TECHNIC CORP
- **DATE OF NAME CHANGE:** 19920708

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

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### UNITED STATES

### SECURITIES AND EXCHANGE COMMISSION

#### WASHINGTON, D.C. 20549

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### FORM 8-K

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#### 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 11, 2023

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## BIOLASE, INC.

#### (Exact name of Registrant as Specified in Its Charter)

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| | | |
|:---|:---|:---|
| **Delaware** | **001-36385** | **87-0442441** |
| **(State or Other Jurisdiction<br>of Incorporation)** | **(Commission<br>File Number)** | **(IRS Employer<br>Identification No.)** |

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| | |
|:---|:---|
| **27042 Towne Centre Drive,**<br> **Suite 270** |  |
| **Lake Forest, California** | **92610** |
| **(Address of Principal Executive Offices)** | **(Zip Code)** |

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#### Registrant's Telephone Number, Including Area Code: (949) 361-1200

#### Not Applicable

#### (Former Name or Former Address, if Changed Since Last Report)

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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))

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

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| | | |
|:---|:---|:---|
| **Title of each class** | **Trading<br>Symbol(s)** | **Name of each exchange<br>on which registered** |
| Common Stock, par value $0.001 per share | BIOL | The NASDAQ Stock Market LLC<br> (NASDAQ Capital Market) |

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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. ☐

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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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On January 11, 2023, BIOLASE, Inc. (the "Company") received a deficiency letter from the Listing Qualifications Department (the "Staff") of the Nasdaq Stock Market ("Nasdaq") notifying the Company that, for the last 30 consecutive business days, ending on January 10, 2023, the bid price for the Company's common stock had closed below the minimum $1.00 per share requirement for continued inclusion on the Nasdaq Capital Market pursuant to Nasdaq Listing Rule 5550(a)(2) (the "Bid Price Rule"). In accordance with Nasdaq rules, the Company has been provided an initial period of 180 calendar days, or until July 10, 2023 (the "Compliance Date"), to regain compliance with the Bid Price Rule. If, at any time before the Compliance Date, the bid price for the Company's common stock closes at $1.00 or more for a minimum of 10 consecutive business days, the Staff will provide written notification to the Company that it complies with the Bid Price Rule. If the Company does not regain compliance with the Bid Price Rule by the Compliance Date, the Company may be eligible for an additional 180 calendar day compliance period. To qualify, the Company would need to provide written notice of its intention to cure the deficiency during the additional compliance period, by effecting a reverse stock split, if necessary, provided that it meets the continued listing requirement for the market value of publicly held shares and all other initial listing standards, with the exception of the bid price requirement. If the Company does not regain compliance with the Bid Price Rule by the Compliance Date and is not eligible for an additional compliance period at that time, the Staff will provide written notification to the Company that its common stock may be delisted. At that time, the Company may appeal the Staff's delisting determination to a NASDAQ Listing Qualifications Panel. The Company intends to monitor the closing bid price of its common stock and may, if appropriate, consider available options to regain compliance with the Bid Price Rule.

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#### 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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| | | |
|:---|:---|:---|
|  | BIOLASE, INC. | BIOLASE, INC. |
| Date: January 12, 2023 | By | **&nbsp;&nbsp;&nbsp;&nbsp;*/s/ John R. Beaver*** |
|  |  | &nbsp;&nbsp;&nbsp;&nbsp;Name: John R. Beaver |
|  |  | &nbsp;&nbsp;&nbsp;&nbsp;Title: President and Chief Executive Officer |

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