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

June 25, 2018

Date of Report (Date of earliest event reported)

 GlobalSCAPE, Inc.

(Exact name of registrant as specified in its charter)

Delaware	001-33601	74-2785449
(State or other jurisdiction of incorporation)	(Commission File Number)	(IRS Employer Identification No.)

4500 Lockhill Selma Road, Suite 150

San Antonio, Texas 78249

(210) 308-8267

(Address of principal executive offices and 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 (see General Instruction A.2. below):

☐ 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 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 June 25, 2018, GlobalSCAPE, Inc. issued a press release announcing it had regained compliance with the NYSE American LLC (the “Exchange”) continued listing standards.

Such information, including the Exhibit attached hereto, shall not be deemed “filed” for purposes of Section 18 of the Securities Exchange Act of 1934, nor shall it be deemed incorporated by reference in any filing under the Securities Act of 1933, except as shall be expressly set forth by specific reference in such filing.

Item 9.01                      Financial Statements and Exhibits

(d) Exhibit

99.1  Press release dated June 25, 2018.

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.

GLOBALSCAPE, INC.
By:	/s/ Matthew Goulet
	Matthew Goulet President and Chief Executive Officer
	Dated: June 25, 2018

EXHIBIT INDEX

Document Description

99.1 Press release dated June 25, 2018, announcing that GlobalSCAPE, Inc. regained compliance with the NYSE American LLC (the “Exchange”) continued listing standards.

EX-99.1

Exhibit 99.1

GlobalSCAPE Regains Compliance with NYSE American Continued Listing Standards

SAN ANTONIO – June 25, 2018 – GlobalSCAPE, Inc. (NYSE American: GSB), a worldwide leader in the secure movement and integration of data, announced today that it has regained compliance with the NYSE American LLC (the “Exchange”) continued listing standards.

As previously reported by the Company in a Current Report on Form 8-K on August 28, 2017, GlobalSCAPE received notice on August 22, 2017 that the Company was not in compliance with the continued listing standards of the NYSE American Company Guide (the “Company Guide”).

In a letter dated June 15, 2018, NYSE Regulation notified GlobalSCAPE that the Company had resolved its listing deficiency with respect to Sections 134 and 1101 of the Company Guide since it filed with the Securities and Exchange Commission on June 14, 2018 its complete Form 10-Qs for the periods ended March 31, 2017, June 30, 2017, September 30, 2017, March 31, 2018, and Form 10-K for the period ended December 31, 2017, as well as its previously withdrawn Form 10-K for the period ended December 31, 2016. As a result, the Company has successfully regained compliance with the Exchange’s continued listing standards. Accordingly, the late filer (“.LF”) indicator will no longer be disseminated with the Company’s ticker symbol, and the Company will be removed from the list of NYSE American non-compliant issuers on the Exchange’s website.

About GlobalSCAPE

GlobalSCAPE, Inc. (NYSE MKT: GSB) is a pioneer in securing and automating the movement and integration of data seamlessly in, around and outside your business, between people and places, in and out of the cloud.  GlobalSCAPE provides technology that automates your work and secures your data, while giving visibility to those who need it.GlobalSCAPE makes business flow brilliantly.For more information, visit http://www.globalscape.comor follow the blog and Twitterupdates.

Safe Harbor Statement

This press release contains forward-looking statements within the meaning of Section 27A of the Securities Act of 1933 and Section 21E of the Securities Exchange Act of 1934. The words “would,” “exceed,” “should,” “anticipates,” “believe,” “expect,” and variations of such words and similar expressions identify forward-looking statements, but their absence does not mean that a statement is not a forward-looking statement. These forward-looking statements are based upon the Company’s current expectations and are subject to a number of risks, uncertainties and assumptions. The Company undertakes no obligation to update any forward-looking statements, whether as a result of new information, future events or otherwise. Among the important factors that could cause actual results to differ significantly from those expressed or implied by such forward-looking statements are risks that are detailed in the Company’s Annual Report on Form 10-K for the year ended December 31, 2017  filed with the SEC on June 14, 2018; the discovery of additional information relevant to the internal investigation; the conclusions of the Company’s Audit Committee (and the timing of the conclusions) concerning matters relating to the internal investigation; the possibility that additional errors relevant to the recently completed restatement may be identified; pending litigation and other proceedings and the possibility of further legal proceedings adverse to GlobalSCAPE resulting from the restatement or related matters; and the costs associated with the restatement and the investigation. 

GlobalSCAPE Press Contact

Contact: Lisa KilpatrickPhone Number: (210) 308-8267 Email: PR@GlobalSCAPE.com

GlobalSCAPE Investor Relations Contact

Contact: Matt Glover or Najim Mostamand, CFA

Phone Number: (949) 574-3860

Email: IR@GlobalSCAPE.com