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): July 22, 2016 (July 21, 2016)

 

Towerstream Corporation


(Exact Name of Registrant as Specified in Charter)

 

Delaware

  

001-33449

  

20-8259086

(State or other

jurisdiction
of incorporation)

  

(Commission File Number)

  

(IRS Employer
Identification No.)

 

88 Silva Lane

Middletown, RI

  

02842

(Address of principal executive offices)

  

(Zip Code)

 

Registrant’s telephone number, including area code: (401) 848-5848

 

 

(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:

 

[ ] 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 DFR 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))

 

 



 

 
 

 

 

 Item 8.01 Other Events.

 

In connection with our recent financings we were required to file a Registration Statement registering certain securities on or prior to September 15, 2016. On July 21, 2016 the Registration Statement (File No. 333-212437) was declared effective by the SEC.

 

This Registration Statement registered a total of 1,599,643 shares of Common Stock as follows: (a) 120,000 shares underlying warrants issued in October 2014 exercisable at $25.20 per share; (b) 60,000 shares underlying warrants issued in October 2014 exercisable at $0.20 per share; (c) 750,000 shares underlying warrants issued in June 2016 exercisable at $3.80 per share; (d) 223,214 shares underlying warrants issued in July 2016 exercisable at $3.00 per share; and (e) 446,429 shares underlying the shares of Series B Convertible Preferred Stock issued in July 2016.

  

 
 

 

 

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.

 

 

TOWERSTREAM CORPORATION

 

 

 

 

 

 

 

 

 

Dated: July 22, 2016 

By:

/s/ Philip Urso

 

 

 

Philip Urso

 

 

 

Interim Chief Executive Officer