Velo3D Confirms NYSE Listing for Common Stock & Warrants

TL;DR

**Velo3D confirmed its common stock and warrants are listed on the NYSE.**

AI Summary

Velo3D, Inc. filed an 8-K on January 31, 2024, to update the securities registered under Section 12(b) of the Exchange Act. The filing confirms that their Common Stock (VLD) and Warrants (VLD WS), which allow purchase of common stock at an exercise price of $11.50 per share, are both registered on the New York Stock Exchange. This matters to investors as it clarifies the tradable securities and their listing venue, ensuring transparency regarding the company's publicly traded instruments.

Why It Matters

This filing provides clarity on Velo3D's publicly traded securities, confirming their listing on the New York Stock Exchange, which is crucial for investors to understand what they are buying and where it trades.

Risk Assessment

Risk Level: low — This filing is purely administrative, confirming existing listings, and does not introduce new financial risks or operational changes.

Analyst Insight

A smart investor would note this filing as a routine administrative update, confirming the listing status of Velo3D's securities on the NYSE, and would not expect it to directly impact the stock price or investment thesis.

Key Numbers

• $0.00001 — par value per share (the par value of Velo3D's common stock)
• $11.50 — warrant exercise price (the price to purchase one share of common stock via warrants)

Key Players & Entities

• Velo3D, Inc. (company) — the registrant filing the 8-K
• New York Stock Exchange (company) — the exchange where Velo3D's securities are registered
• $11.50 (dollar_amount) — the exercise price per share for Velo3D's warrants

FAQ

Key Financial Figures

• $0.00001 — ich registered Common stock, par value $0.00001 per share VLD New York Stock Exchange
• $11.50 — mon stock, each at an exercise price of $11.50 per share VLD WS New York Stock Exchang
• $40,000,000 — ted the Company to offer and sell up to $40,000,000 of Shares, and as of the date of this C
• $24,636,166.03 — e Sales Agreement for gross proceeds of $24,636,166.03. The Company has filed an amendment to
• $75,000,000 — time pursuant to the Sales Agreement to $75,000,000 from and including the date hereof. T

Filing Documents

• vld-20240131.htm (8-K) — 35KB
• exhibit51opinionatmamendme.htm (EX-5.1) — 18KB
• image_0a.jpg (GRAPHIC) — 8KB
• 0001825079-24-000003.txt ( ) — 250KB
• vld-20240131.xsd (EX-101.SCH) — 2KB
• vld-20240131_def.xml (EX-101.DEF) — 18KB
• vld-20240131_lab.xml (EX-101.LAB) — 35KB
• vld-20240131_pre.xml (EX-101.PRE) — 19KB
• vld-20240131_htm.xml (XML) — 4KB

01 Other Events

Item 8.01 Other Events As previously reported, on February 6, 2023, Velo3D, Inc. (the "Company") entered into a Sales Agreement (the "Sales Agreement") with Needham & Company, LLC ("Needham"), as agent, pursuant to which the Company may offer and sell, from time to time through Needham, shares of its common stock, par value $0.00001 per share (the "Shares"). The offer and sale of the Shares is being made pursuant to a shelf registration statement on Form S-3 and the related prospectus (File No. 333-268346) filed by the Company with the Securities and Exchange Commission (the "SEC") on November 14, 2022 and declared effective by the SEC on November 21, 2022, as supplemented by a prospectus supplement dated February 6, 2023 (the "prospectus supplement") and filed with the SEC pursuant to Rule 424(b) under the Securities Act of 1933, as amended. The prospectus supplement originally permitted the Company to offer and sell up to $40,000,000 of Shares, and as of the date of this Current Report on Form 8-K, the Company has sold Shares pursuant to the Sales Agreement for gross proceeds of $24,636,166.03. The Company has filed an amendment to the prospectus supplement (the "amendment") increasing the aggregate dollar amount of Shares available to be sold from time to time pursuant to the Sales Agreement to $75,000,000 from and including the date hereof. This Current Report on Form 8-K includes an opinion related to the $75,000,000 of Shares that may be sold pursuant to the prospectus supplement, as amended by the amendment.

01. Financial Statement and Exhibits

Item 9.01. Financial Statement and Exhibits. (d) Exhibits. Exhibit Number Description 1.1 Sales Agreement, dated February 6, 2023, by and between Velo3D, Inc. and Needham & Company, LLC (incorporated by reference to Exhibit 1.1 to Velo3D, Inc.'s Current Report on Form 8-K filed on February 6, 2023). 5.1 Opinion of Fenwick & West LLP. 23.1 Consent of Fenwick & West LLP (included in Exhibit 5.1). 104 Cover Page Interactive Data File (embedded within the Inline XBRL document).

SIGNATURES

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. Velo3D, Inc. Date: January 31, 2024 By: /s/ Bernard Chung Name: Bernard Chung Title: Acting Chief Financial Officer

View Full Filing

View this 8-K filing on SEC EDGAR