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EX-5.1 - Sunworks, Inc.ex5-1.htm






Washington, DC 20549





Pursuant to Section 13 or 15(d) of the

Securities Exchange Act of 1934


Date of report (Date of earliest event reported): November 25, 2020



(Exact Name of the Registrant as Specified in Charter)


Delaware   001-36868   01-0592299
(State or Other Jurisdiction
of Incorporation)
File Number)
  (IRS Employer
Identification No.)


1030 Winding Creek Road, Suite 100

Roseville, CA

(Address of Principal Executive Offices)   (Zip Code)


(916) 409-6900

Registrant’s telephone number, including area code


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:


Title of each class   Trading Symbol   Name of each exchange on which registered
Common Stock, par value $0.001   SUNW   NASDAQ Capital Market


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. [  ]







Item 8.01 Other Events


Sunworks, Inc. (the “Company”) is filing this Current Report on Form 8-K for the purpose of incorporating by reference into the Company’s Registration Statement on Form S-3 (File No. 333-231653) the items filed herewith as Exhibits 5.1 and 23.1.


Item 9.01 Financial Statements and Exhibits


(d) Exhibits.


Number   Description
5.1   Opinion of Stradling Yocca Carlson & Rauth, P.C.
23.1   Consent of Stradling Yocca Carlson & Rauth, P.C. (included in Exhibit 5.1 above).







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.


Date: November 25, 2020 By: /s/ Charles F. Cargile
    Charles F. Cargile
    Chairman of the Board