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Washington, D.C. 20549







Pursuant to Section 13 or 15(d)

of the Securities Exchange Act of 1934


Date of Report (Date of earliest event reported): October 20, 2020




(Exact name of registrant as specified in its charter)  



Michigan   001-38290   38-3163775

(State or other jurisdiction

of incorporation)



File No.)


(IRS Employer

Identification No.)


One Towne Square, Suite 1900

Southfield, Michigan 48076

(Address of principal executive offices) (Zip Code)


Registrant’s telephone number, including area code: (248) 355-2400 



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 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
Name of each exchange on which
Common Stock SBT 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 x


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. x







Item 8.01. Other Events


On October 20, 2020, Sterling Bancorp, Inc. (the “Company”) received notice from The Nasdaq Stock Market LLC (“Nasdaq”) that its filing delinquency has been cured and that the Company is in compliance with all applicable listing standards.  The Company has regained such compliance by filing the following periodic reports with the Securities and Exchange Commission:  (i) Annual Report on Form 10-K for the year ended December 31, 2019, on October 6, 2020; (ii) Quarterly Report on Form 10-Q for the period ended March 31, 2020, on October 13, 2020; and (iii) Quarterly Report on Form 10-Q for the period ended June 30, 2020, on October 19, 2020.  As a result, the Nasdaq notice also stated that the previously-scheduled hearing before a Nasdaq Hearings Panel has been canceled, and that the Company’s stock will continue to be listed and traded on Nasdaq. 







Pursuant to the requirements of the Securities Exchange Act of 1934, as amended, the Registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.



  Sterling Bancorp, Inc.

/s/ Steve Huber

      Steve Huber
      Chief Financial Officer


Date: October 21, 2020