Current Report Filing (8-k)
June 28 2023 - 4:08PM
Edgar (US Regulatory)
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UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, DC 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): June 16, 2023
Unico American Corporation |
(Exact Name of Registrant as Specified in its Charter) |
Nevada
(State or Other Jurisdiction of Incorporation)
000-03978 | | 95-2583928 |
(Commission File Number) | | (IRS Employer Identification No.) |
| | |
5230 Las Virgenes Road | | |
Calabasas, California | | 91302 |
(Address of Principal Executive Offices) | | (Zip Code) |
(818) 591-9800
(Registrant’s Telephone Number, Including Area Code)
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 (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))
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, No Par Value | | UNAMQ | | N/A* |
*On June 15, 2023, our Common Stock began trading on the OTC Pink Limited Information marketplace maintained by the OTC Markets Group, Inc. under the symbol “UNAMQ.”
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 4.01 Changes in Registrant’s Certifying Accountant
Dismissal of Independent Registered Public Accounting Firm
On June 9, 2023, the Audit Committee of the Board of Directors of Unico American Corporation (the “Company”) approved the dismissal of Marcum LLP (“Marcum”) as the Company’s independent registered public accounting firm, which dismissal became effective June 16, 2023.
Marcum’s auditors’ report on the Company’s consolidated financial statements of the Company as of and for the year ended December 31, 2021, did not contain an adverse opinion or disclaimer of opinion, nor was it qualified or modified as to uncertainty, audit scope, or accounting principles, except that the auditors’ report contained an explanatory paragraph regarding the Company’s ability to continue as a going concern.
In addition, since Marcum’s engagement on June 16, 2021, there were no disagreements with Marcum on any matter of accounting principles or practices, financial statement disclosure, or auditing scope or procedure, which disagreements, if not resolved to the satisfaction of Marcum, would have caused Marcum to make reference to the subject matter of the disagreement in connection with its reports on the Company’s financial statements for such periods.
Since Marcum’s engagement on June 16, 2021, and the subsequent interim periods through June 16, 2023, there were no events otherwise reportable under Item 304(a)(1)(v) of Regulation S-K other than the following:
| 1) | Material weaknesses in the Company’s internal control over financial reporting that was disclosed in the Company’s Form 10-K for the year ended December 31, 2021. |
The Company provided Marcum with a copy of this Current Report on Form 8-K prior to its filing with the Securities and Exchange Commission (the “SEC”), and requested Marcum furnish the Company with a letter addressed to the SEC stating whether it agrees with the statements made by the Company above, and if not, stating the respects in which it does not agree. A copy of Marcum’s letter, dated June 28, 2023.
Item 9.01 Financial Statements and Exhibits
(d) Exhibits
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.
| | UNICO AMERICAN CORPORATION (Registrant) | |
| | | | |
| Date: June 28, 2023 | By | /s/ Steven Shea | |
| Name: | Steven Shea | |
| | Title: | President, Chief Executive Officer and Chief Financial Officer | |
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