8-K
SYNTEC OPTICS HOLDINGS, INC. (OPTX)
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): October2, 2025 (October 2, 2025)
SYNTEC
OPTICS HOLDINGS, INC.
(Exact name of registrant as specified in its charter)
| Delaware | 001-41034 | 87-0816957 |
|---|---|---|
| (State<br> or other jurisdiction<br><br> <br>of<br> incorporation) | (Commission<br><br> <br>File<br> Number) | (IRS<br> Employer<br><br> <br>Identification<br> No.) |
515
Lee Rd.
Rochester,
NY 14606
(Address of principal executive offices, including zip code)
Registrant’s
telephone number, including area code:
(585)
768-2513
Not
Applicable (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<br> communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425) |
|---|---|
| ☐ | Soliciting<br> material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12) |
| ☐ | Pre-commencement<br> communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b)) |
| ☐ | Pre-commencement<br> 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(s) | Name of Each Exchange on Which Registered: |
|---|---|---|
| Common stock, par value $0.0001 per share | OPTX | The Nasdaq****Capital Market |
| Redeemable warrants, exercisable for common stock at an exercise price of $11.50 per share, subject to adjustment | OPTXW | The 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. ☐
Item3.01 Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing.
As previously disclosed by Syntec Optics Holdings, Inc. (the “Company”), Form 10-K for the fiscal year ended December 31, 2024, and the Quarterly 10-Q for the quarters ended March 31, 2025 and June 30, 2025 have been delayed in their release and a NASDAQ exception will be allowed for a maximum of 180 days, or until October 13, 2025. The Company’s auditors have substantially completed their procedures for these periods. The subject matter review by the auditors has been completed, and the engagement quality review is nearing completion. We anticipate a simultaneous release of all three reports.
Item9.01 Financial Statement and Exhibits.
(d)Exhibits
| Exhibit | |
|---|---|
| Number | Description |
| 99.1 | Press<br> release dated October 2, 2025 |
| 104 | Cover<br> Page Interactive Data File (embedded within the Inline XBRL document) |
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.
| SYNTEC OPTICS HOLDINGS, INC. | ||
|---|---|---|
| By: | /s/ Al Kapoor | |
| Date:<br> October 2, 2025 | Name: | Al<br> Kapoor |
| Title: | Chief<br> Executive Officer |
Exhibit99.1
SyntecOptics Announces Target Date to File SEC Reports and Regain Nasdaq Compliance
News Provided By
Syntec Optics Holdings, Inc.
October 2, 2025, 23:00 GMT
ROCHESTER, NY, UNITED STATES, October 2, 2025 / — Syntec Optics Holdings, Inc. (“Syntec Optics” or the “Company”), a leading provider of optics technology to scientific and technical equipment OEMs, has an update on the filings. As previously disclosed, Form 10-K for the fiscal year ended December 31, 2024, and the Quarterly 10-Q for the quarters ended March 31, 2025, and June 30, 2025, have been delayed in their release, and a NASDAQ exception will be allowed for a maximum of 180 days, or until October 13, 2025. The Company’s auditors have substantially completed their procedures for these periods. The subject matter review by the auditors has been completed, and the engagement quality review is nearing completion. We anticipate a simultaneous release of all three reports.
About Syntec Optics
Syntec Optics Holdings, Inc. (Nasdaq: OPTX), headquartered in Rochester, NY, is one of the largest custom and diverse end-market optics and photonics manufacturers in the United States. Operating for over two decades, Syntec Optics runs a state-of-the-art facility with extensive core capabilities of various optics manufacturing processes, both horizontally and vertically integrated, to provide a competitive advantage for mission-critical OEMs. As more products become light-enabled, Syntec Optics continues to add more product lines, including recent Low Earth Orbit (LEO) satellite optics for communication, lightweight night vision goggle optics for defense, biomedical optics for defense, and data center optics for Artificial Intelligence. To learn more, visit www.syntecoptics.com.
For further information, please contact:
Investor Relations
Syntec Optics Holdings, Inc.
InvestorRelations@syntecoptics.com