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): February 10, 2009
INTER-ATLANTIC FINANCIAL, INC.
(Exact Name of Registrant as Specified in Charter)
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Delaware
(State or Other Jurisdiction
of Incorporation)
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(Commission
File Number)
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20-8237170
(IRS Employer
Identification No.) |
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| 400 Madison Avenue, New York, New York
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10017 |
| (Address of Principal Executive Offices)
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(Zip Code) |
Registrant’s Telephone Number, Including Area Code: 212-581-2000
N/A
(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):
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Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425) |
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Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12) |
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Pre-commencement communications pursuant to Rule 14d-2(b) under
the Exchange Act (17 CFR 240.14d-2(b)) |
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Pre-commencement communications pursuant to Rule 13e-4(c) under
the Exchange Act (17 CFR 240.13e 4(c)) |
TABLE OF CONTENTS
Item 3.01. Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer
of Listing
On February 10, 2009, Inter-Atlantic Financial, Inc. (“Company”) received notice from the NYSE
Alternext US, LLC (“Exchange”) indicating that it was not in compliance with Section 704 of the
NYSE Alternext US Company Guide (the “Company Guide”) because the Company did not hold an annual
meeting of its stockholders during the year ended December 31, 2008. The Company is in receipt of
this letter although the Company’s counsel, at the Company’s direction, previously contacted the
Exchange and was informed verbally that due to the timing of the Company’s initial public offering
the Company would not be required to have an annual meeting until 2009.
The notification from the Exchange indicates that the Company has until March 10, 2009 to
submit a plan advising the Exchange of action it has taken, or will take, that would bring the
Company into compliance with all continued listing standards by August 11, 2009. Upon receipt of
the Company’s plan, which the Company anticipates filing with the Exchange prior to the March 10,
2009 deadline, the Exchange will evaluate the plan and make a determination as to whether the
Company has made a reasonable demonstration in the plan of an ability to regain compliance with the
continued listing standards, in which case the plan will be accepted. If accepted, the Company will
be able to continue its listing, during which time the Company will be subject to continued
periodic review by the Exchange’s staff. If the Company’s plan is not accepted, the Exchange could
initiate delisting procedures against the Company.
Item 9.01. Financial Statement and Exhibits.
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Description |
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99.1
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Press release dated February 17, 2009. |