Fathom Holdings Inc.

10/14/2021 | Press release | Distributed by Public on 10/14/2021 06:01

Material Event - Form 8-K

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) October 11, 2021

FATHOM HOLDINGS INC.

(Exact name of registrant as specified in its charter)

North Carolina

(State or other jurisdiction of incorporation)

001-39412 82-1518164
(Commission File Number) (IRS Employer Identification No.)

2000 Regency Parkway Drive, Suite 300, Cary, North Carolina27518

(Address of principal executive offices) (Zip Code)

Registrant's telephone number, including area code 888-455-6040

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 Class Trading Symbol(s) Name of each exchange on which registered
Common Stock, No Par Value FTHM NasdaqCapital 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 xIf 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 11, 2021, Joshua Harley, our Chief Executive Officer and Executive Chairman, terminated a previously disclosed pre-arranged stock trading plan designed to comply with Rule 10b5-1 under the Securities Exchange Act of 1934, as amended ("Rule 10b5-1").

On October 11, 2021, Marco Fregenal, our President and Chief Financial Officer, terminated a previously disclosed pre-arranged stock trading plan designed to comply with Rule 10b5-1.

Except as may be required by law, Fathom Holdings Inc. (the "Company") does not undertake to report on specific Rule 10b5-1 pre-arranged stock trading plans of Company officers, nor to report modifications or terminations of 10b5-1 plans of any other individual.

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.

FATHOM HOLDINGS INC.
Date: October 14, 2021 /s/ Marco Fregenal
Marco Fregenal
President and Chief Financial Officer