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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): August 17, 2023

 

NORTHERN STAR INVESTMENT CORP. IV

(Exact Name of Registrant as Specified in Charter)

  

Delaware   001-40135   85-4156787
(State or Other Jurisdiction
of Incorporation)		   (Commission File Number)   (IRS Employer
Identification No.)

 

c/o Graubard Miller

The Chrysler Building

405 Lexington Avenue, 44th Floor

New York, NY 10174

(Address of Principal Executive Offices) (Zip Code)

 

(212) 818-8800

(Registrant’s Telephone Number, Including Area Code)

 

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 (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(s)   Name of each exchange
on which registered
Units, each consisting of one share of Class A Common Stock and one-sixth of one redeemable warrant   NSTD.U   The New York Stock Exchange
Class A Common Stock, par value $0.0001 per share   NSTD   The New York Stock Exchange
Redeemable warrants, exercisable for shares of Class A Common Stock at an exercise price of $11.50 per share   NSTD WS   OTC

 

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 3.01 Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing.  

 

As previously disclosed, on August 14, 2023, Emily White resigned from the board of directors (the “Board”) of Northern Star Investment Corp. IV (the “Company”). Prior to her resignation, Ms. White was an independent director and served on all committees of the Board, including the audit committee.

 

Prior to Ms. White’s resignation, the Board’s audit committee (the “Audit Committee”) was comprised of three independent directors, the minimum number required by Section 303A.07(a) of the NYSE Listed Company Manual. As a result of Ms. White’s resignation, the audit committee does not have at least three members as required by Section 303A.07(a).

 

As required by the NYSE Listed Company Manual, the Company submitted a written affirmation to the NYSE as a notice of non-compliance with Section 303A.07. On August 17, 2023, the Company received an official notice of non-compliance from the NYSE (the “NYSE Notice”). The NYSE Notice stated that the Company will need to correct the non-compliance as promptly as practicable.

 

It is the intention of the Board to appoint a new independent director, as soon as practicable, who is duly qualified for service on the audit committee and other committees of the Board.

 

1

 

 

SIGNATURE

 

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.

 

Dated: August 18, 2023 NORTHERN STAR INVESTMENT CORP. IV
     
  By: /s/ Jonathan Ledecky
    Jonathan Ledecky
    Chief Operating Officer

 

 

2

 

 

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Cover
Aug. 17, 2023
Document Type 8-K
Amendment Flag false
Document Period End Date Aug. 17, 2023
Entity File Number 001-40135
Entity Registrant Name NORTHERN STAR INVESTMENT CORP. IV
Entity Central Index Key 0001835814
Entity Tax Identification Number 85-4156787
Entity Incorporation, State or Country Code DE
Entity Address, Address Line One The Chrysler Building
Entity Address, Address Line Two 405 Lexington Avenue
Entity Address, Address Line Three 44th Floor
Entity Address, City or Town New York
Entity Address, State or Province NY
Entity Address, Postal Zip Code 10174
City Area Code 212
Local Phone Number 818-8800
Written Communications false
Soliciting Material false
Pre-commencement Tender Offer false
Pre-commencement Issuer Tender Offer false
Entity Emerging Growth Company true
Elected Not To Use the Extended Transition Period false
Units, each consisting of one share of Class A Common Stock and one-sixth of one redeemable warrant  
Title of 12(b) Security Units, each consisting of one share of Class A Common Stock and one-sixth of one redeemable warrant
Trading Symbol NSTD.U
Security Exchange Name NYSE
Class A Common Stock, par value $0.0001 per share  
Title of 12(b) Security Class A Common Stock, par value $0.0001 per share
Trading Symbol NSTD
Security Exchange Name NYSE
Redeemable warrants, exercisable for shares of Class A Common Stock at an exercise price of $11.50 per share  
Title of 12(b) Security Redeemable warrants, exercisable for shares of Class A Common Stock at an exercise price of $11.50 per share
Trading Symbol NSTD WS
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