8-K

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 2, 2019

COLLECTORS UNIVERSE, INC.

(Exact name of registrant as specified in its charter)

Delaware	1-34240	33-0846191
(State or other jurisdiction of incorporation)	(Commission File Number)	(IRS Employer Identification No.)

1610 East Saint Andrew Place, Santa Ana, California	92705
(Address of principal executive offices)	(Zip Code)

Registrant’s telephone number, including area code: (949) 567-1234

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:

☐ 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))

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 7.01 Regulation FD Disclosure

On July 2, 2019, Collectors Universe, Inc. issued a press release announcing that it had been added to the Russell 2000® Index, effective at the opening of the market on July 1, 2019 as a result of the annual reconstitution by Russell Investments of its comprehensive set of U.S. and global equity indexes. A copy of that press release is attached as Exhibit 99.1 to, and by this reference is incorporated into, this Current Report.

In accordance with General Instruction B. 2 of Form 8-K, the information in this Current Report, including Exhibit 99.1 hereto, is being furnished and shall not be deemed “filed” for purposes of Section 18 of the Securities Exchange Act of 1934, as amended, or otherwise subject to the liabilities of that Section, nor shall such information be deemed incorporated by reference in any filing under the Securities Act of 1933, as amended.

Item 9.01 Financial Statements and Exhibits.

(d)     Exhibits.

Exhibit No.	Description
99.1	Press release, issued July 2, 2019, announcing that the Company had been added to the Russell 2000® Index, effective July 1, 2019.

2

SIGNATURES

Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this Current Report to be signed on its behalf by the undersigned hereunto duly authorized.

		COLLECTORS UNIVERSE, INC.
Dated: July 3, 2019	By:	/s/ JOSEPH J. WALLACE
		Joseph J. Wallace, Senior Vice President and Chief Financial Officer

S-1

EXHIBIT INDEX

Exhibit No.	Description
99.1	Press release, issued July 2, 2019, announcing that the Company had been added to the Russell 2000® Index, effective July 1, 2019.

E-1

EX-99.1

Exhibit 99.1

COLLECTORS UNIVERSE ADDED TO RUSSELL 2000 INDEX

NEWPORT BEACH, CA — July 2, 2019 — Collectors Universe, Inc. (NASDAQ: CLCT), a leading provider of value-added authentication and grading services to dealers and collectors of high-value collectibles, today announced that the Company was added to the Russell 2000^® Index, when Russell Investments reconstituted its comprehensive set of U.S. and global equity indexes, effective July 1, 2019. Membership in the Russell 2000^® Index, which remains in place for one year, is based on membership in the broad-market Russell 3000^® Index. The stock was also automatically added to the appropriate growth and value indexes.

“Inclusion in the Russell 2000 is recognition of our progress and the growth of our business over the last 12 months,” stated Joseph Orlando, President and Chief Executive Officer of the Company. “We look forward to the additional visibility and exposure that the Company will have within the investment community that comes along with being part of the Russell 2000 Index.”

Russell US Indexes are widely used by investment managers and institutional investors for passive funds and investment products and as benchmarks for active investment strategies. Approximately $9 trillion in assets are benchmarked against Russell US Indexes. Russell US Indexes are part of FTSE Russell’s suite of index offerings.

About Collectors Universe

Collectors Universe, Inc. is a leading provider of value-added services to the collectibles markets. The Company authenticates and grades collectible coins, trading cards, event tickets, autographs and memorabilia (“collectibles”). The Company also compiles and publishes authoritative information about United States and world coins, collectible trading cards and sports memorabilia (“collectibles”) and operates its CCE dealer-to-dealer Internet bid-ask market for certified coins and its Expos trade show and conventions business. This information is accessible to collectors and dealers at the Company's website, http://www.collectorsuniverse.com and is also published in print.

Cautionary Statements Regarding Forward Looking Information

This press release contains “forward-looking statements" as defined in the Private Securities Litigation Reform Act of 1995. These forward-looking statements include information that is subject to change and to risks, uncertainties and various assumptions which may, due to future events outside of our control, subsequently prove to have been incorrect. The forward-looking information presented in this press release is not an assurance of future events and actual events in the future may differ materially from those described in or suggested by the forward-looking information contained in this press release.

Forward-looking statements generally (but not always) contain terms such as "believe," "expect," "anticipate," "intend," "plan," "estimate," "project," or future or conditional verbs such as "will," "would," "should," "could," or "may." The forward-looking statements in this press release speak only as of the date of this press release, and we disclaim any obligation to update or revise any of the forward-looking statements as a result of new information, future events or otherwise, except as may be required by law or NASDAQ rules.

Contact: Joseph Orlando President and Chief Executive Officer 949-567-1170 Email: jorlando@collectors.com    Joseph Wallace Senior Vice President and Chief Financial Officer 949-567-1245 Email: jwallace@collectors.com