Form 6-K GENETIC TECHNOLOGIES For: Nov 06
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FORM�6-K
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U.S. SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
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REPORT OF FOREIGN PRIVATE ISSUER
PURSUANT TO RULE 13a-16 OR 15d-16 UNDER THE
SECURITIES EXCHANGE ACT OF 1934
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dated November�6, 2014
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Commission File Number 0-51504
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GENETIC TECHNOLOGIES LIMITED
(Exact Name as Specified in its Charter)
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N/A
(Translation of Registrant�s Name)
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60-66 Hanover Street
Fitzroy
Victoria 3065 Australia
(Address of principal executive offices)
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Indicate by check mark whether the registrant files or will file annual reports under cover of Form�20-F or Form�40-F.
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Form�20-F��x������� Form�40-F��o
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Indicate by check mark if the registrant is submitting the Form�6-K in paper as permitted by Regulation S-T Rule�101(b)(1):�o
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Indicate by check mark if the registrant is submitting the Form�6-K in paper as permitted by Regulation S-T Rule�101(b)(7):�o
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Indicate by check mark whether by furnishing the information contained in this Form, the registrant is also thereby furnishing the information to the Commission pursuant to Rule�12g3-2(b)�under the Securities Exchange Act of 1934.
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Yes�o��������������������� No�x
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If �Yes� is marked, indicate below the file number assigned to the registrant in connection with Rule�12g3-2(b):� Not applicable.
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SIGNATURES
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Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused the Report to be signed on its behalf by the undersigned, thereunto duly authorized.
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Date:� November�6, 2014
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GENETIC TECHNOLOGIES LIMITED | ||
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By: |
/s/ Bronwyn Christie | |
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Name: |
Bronwyn Christie |
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Title: |
Company Secretary |
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EXHIBIT�INDEX
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Exhibit |
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Description�of�Exhibit |
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99.1 |
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ASX Announcement, November�6, 2014 |
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Exhibit 99.1
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ASX ANNOUNCEMENT
6 November�2014
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Nasdaq notice
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Melbourne, Australia; 6 November�2014: Molecular diagnostics (�MDx�) company Genetic Technologies Limited (ASX: GTG; NASDAQ: GENE, �Company�) today announced that it received a letter dated 5 November�2014, from the Nasdaq Stock Market notifying the Company that, companies listed on the Nasdaq Capital Market are required to maintain a minimum of USD 2.5 million in stockholder� equity for continued listing. Since the Company�s Form�20-F for the fiscal year ended June�30, 2014 reported stockholders� equity of approximately USD 1.7 million, the Company does not meet the alternatives of market value of listed securities or net income from continuing operations, the Company no longer complies with the Nasdaq Marketplace Listing Rules�(the �Rules�).
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The letter stated that in accordance with the Rule�the Company has 45 calendar days, or until 22 December�2014, to submit a plan to regain compliance. If the plan is accepted, Nasdaq can grant the Company an extension of up to 180 calendar days from November�5, 2014 to evidence compliance. This deficiency notice does not immediately affect the Company�s Nasdaq listing.
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The relevant Listing Rules�are:-
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������������������ 5550(b)(1)�� equity standard
������������������ 5810(c)(c)�� deficiency requiring a plan of compliance for staff review
������������������ 5810(b)�� public disclosure
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These Rules�only apply to the Company�s shares trading on The Nasdaq Capital Market and not the Company�s shares trading on the Australian Securities Exchange, the Company�s home exchange.
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FOR FURTHER INFORMATION PLEASE CONTACT
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Ms Alison Mew |
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Candice Knoll (USA) |
Chief Executive Officer |
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Blueprint Life Science Group |
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Genetic Technologies Limited |
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+1 (415) 375 3340, Ext. 105 |
Phone: +61 3 8412 7000 |
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About Genetic Technologies Limited
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Genetic Technologies was an early pioneer in recognizing important new applications for �non-coding� DNA (Deoxyribonucleic Acid).� The Company has since been granted patents in 24 countries around the world, securing intellectual property rights for particular uses of non-coding DNA in genetic analysis and gene mapping across all genes in all species.� Its business strategy is the global commercialization of its
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Genetic Technologies Limited � Website: www.gtglabs.com � Email: [email protected] ABN 17 009 212 328
Registered Office � 60-66 Hanover Street Fitzroy Victoria 3065 Australia � Postal Address P.O.�Box 115 Fitzroy Victoria 3065 Australia
Phone +61 3 8412 7000 � Fax +61 3 8412 7040
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patents through an active out-licensing program and the global expansion of its oncology and cancer management diagnostics portfolio.� Genetic Technologies is an ASX and NASDAQ listed company with operations in the USA and Australia. For more information, please visit www.gtglabs.com.
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Safe Harbor Statement
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Any statements in this press release that relate to the Company�s expectations are forward-looking statements, within the meaning of the Private Securities Litigation Reform Act.� The Private Securities Litigation Reform Act of 1995 (PSLRA) implemented several significant substantive changes affecting certain cases brought under the federal securities laws, including changes related to pleading, discovery, liability, class representation and awards fees.� Since this information may involve risks and uncertainties and are subject to change at any time, the Company�s actual results may differ materially from expected results.� Additional risks associated with Genetic Technologies� business can be found in its periodic filings with the SEC.
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