基本统计
| LEI | 529900EX0PJO7T5RU995 |
| CIK | 86115 |
SEC Filings
All companies that sell securities in the United States must register with the Securities and Exchange Commission (SEC) and file reports on a regular basis.
These reports include company annual reports (10K, 10Q), news updates (8K), investor presentations (found in 8Ks), insider trades (form 4), ownership reports (13D, and 13G), and reports related to the specific securities sold, such as registration statements and prospectus. This page shows recent SEC filings related to Safeguard Scientifics, Inc.
SEC Filings (Chronological Order)
本页提供了美国证券交易委员会（SEC）备案的完整、按时间顺序排列的列表，不包括我们在其他地方提供的所有权备案。
| March 26, 2024 |
Exhibit 97 SAFEGUARD SCIENTIFICS, INC. COMPENSATION RECOVERY POLICY 1. Purpose. The purpose of this compensation recovery policy (the “Policy”) of Safeguard Scientifics, Inc. (the “Company”) is to enable the Company to recover reasonably promptly the amount of any Erroneously Awarded Compensation in the event that the Company is required to prepare an Accounting Restatement. This Policy is designe |
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| March 26, 2024 |
Code of Business Conduct and Ethics Exhibit 14.1 SAFEGUARD SCIENTIFICS, INC. CODE OF BUSINESS CONDUCT AND ETHICS I. Background - Administration The reputation and integrity of Safeguard Scientifics, Inc. (“Company” or “Safeguard”) is a valuable asset that is vital to our success. Each Company employee, including each of the Company’s officers, and each Company director is responsible for conducting the Company’s business in a manner |
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| March 26, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-K Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-K (Mark One) ☑ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2023 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number 1-5620 |
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| March 26, 2024 |
EXHIBIT 21.1 SUBSIDIARIES OF SAFEGUARD SCIENTIFICS, INC. Exclusive of immaterial subsidiaries and companies in which the Registrant holds a minority interest, as of March 26, 2024, the Registrant had the following subsidiaries: NAME PLACE OF INCORPORATION Bonfield VII, Ltd. British Virgin Islands Novitas Capital II Management, L.P. Pennsylvania Safeguard Capital Management, Inc. Delaware Safeguard |
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| February 20, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 15 CERTIFICATION AND NOTICE OF TERMINATION OF REGISTRATION UNDER SECTION 12(g) OF THE SECURITIES EXCHANGE ACT OF 1934 OR SUSPENSION OF DUTY TO FILE REPORTS UNDER SECTIONS 13 AND 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission File Number: 001-05620 SAFEGUARD SCIENTIFICS, INC. (Exact name of registrant as specified |
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| February 20, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13E-3 RULE 13e-3 TRANSACTION STATEMENT UNDER SECTION 13(e) OF THE SECURITIES EXCHANGE ACT OF 1934 (Amendment No. 4) Safeguard Scientifics, Inc. (Name of the Issuer and Name of Person Filing Statement) Common Stock, $0.10 par value per share (Title of Class of Securities) 786449306 (CUSIP Number of Class of Securities) |
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| February 14, 2024 |
SFE / Safeguard Scientifics, Inc. / SATTERFIELD THOMAS A JR - SC 13G/A Passive Investment SC 13G/A 1 d768860dsc13ga.htm SC 13G/A SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G (Rule 13d-102) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULES 13d-1(b), (c), AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2 (Amendment No. 5)* Safeguard Scientifics, Inc. (Name of Issuer) Common Stock (Title of Class of Securities) 786449207 (CUSIP Number) De |
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| February 14, 2024 |
DE:SFU / Safeguard Scientifics, Inc. / Halis Family Foundation Passive Investment SC 13G/A 1 formsc13ga.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G (Amendment No. 1)* Under the Securities Exchange Act of 1934 Safeguard Scientifics, Inc. (Name of Issuer) Common Stock, par value $0.10 per share (Title of Class of Securities) 786449306 (CUSIP Number) December 31, 2023 (Date of Event Which Requires Filing of this Statement) Check the app |
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| February 12, 2024 |
SFE / Safeguard Scientifics, Inc. / FIRST MANHATTAN CO Passive Investment SC 13G/A 1 firstmanhattan-sfe123123a14.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 SCHEDULE 13G/A Under the Securities Exchange Act of 1934 (Amendment No. 14)* Safeguard Scientifics, Inc. (Name of Issuer) Common Stock, par value $0.10 (Title of Class of Securities) 786449207 (CUSIP Number) December 31, 2023 (Date of Event Which Requires Filing of this Statement) Check |
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| February 12, 2024 |
OTC Markets Group Welcomes Safeguard Scientifics, Inc. to OTCQX Exhibit 99.1 OTC Markets Group Welcomes Safeguard Scientifics, Inc. to OTCQX NEW YORK – Feb. 12, 2024 – OTC Markets Group Inc. (OTCQX: OTCM), operator of regulated markets for trading 12,000 U.S. and international securities, today announced Safeguard Scientifics, Inc. (OTCQX: SFES), a provider of capital and relevant expertise to technology-driven businesses, has qualified to trade on the OTCQX® |
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| February 12, 2024 |
Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 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): February 12, 2024 Safeguard Scientifics, Inc. |
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| February 9, 2024 |
As filed with the Securities and Exchange Commission on February 9, 2024 As filed with the Securities and Exchange Commission on February 9, 2024 Registration Nos. |
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| February 9, 2024 |
As filed with the Securities and Exchange Commission on February 9, 2024 As filed with the Securities and Exchange Commission on February 9, 2024 Registration Nos. |
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| February 9, 2024 |
As filed with the Securities and Exchange Commission on February 9, 2024 As filed with the Securities and Exchange Commission on February 9, 2024 Registration Nos. |
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| February 9, 2024 |
As filed with the Securities and Exchange Commission on February 9, 2024 As filed with the Securities and Exchange Commission on February 9, 2024 Registration Nos. |
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| February 9, 2024 |
As filed with the Securities and Exchange Commission on February 9, 2024 As filed with the Securities and Exchange Commission on February 9, 2024 Registration No. |
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| February 2, 2024 |
UNITED STATES OMB APPROVAL SECURITIES AND EXCHANGE COMMISSION OMB Number: 3235-0080 Washington, D. |
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| February 2, 2024 |
Exhibit 99.1 Safeguard Scientifics Filed Form 25 to Voluntarily Delist its Common Stock from The Nasdaq Stock Market LLC Radnor, PA, February 2, 2024 - Safeguard Scientifics, Inc. (Nasdaq: SFE) (“Safeguard” or the “Company”) has announced today that it filed Form 25 with the Securities and Exchange Commission (the “SEC”) to voluntarily delist its shares of common stock from trading on The Nasdaq S |
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| February 2, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 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): February 2, 2024 Safeguard Scientifics, Inc. |
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| January 26, 2024 |
SFE / Safeguard Scientifics, Inc. / Yakira Capital Management, Inc. - 13G Passive Investment SC 13G/A 1 eps11108sfe.htm 13G UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G/A Under the Securities Exchange Act of 1934 (Amendment No. 3)* Safeguard Scientifics (Name of Issuer) Common Stock (Title of Class of Securities) 786449306 (CUSIP Number) NICHOLAS SABATINI, CFO & CCO; 1555 POST ROAD EAST, SUITE 202, WESTPORT, CT 06880; (203) 341-0702 (Name, Address a |
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| January 22, 2024 |
Articles of Amendment to Second Amended and Restated Articles of Incorporation, as amended Exhibit 3.1 ARTICLES OF AMENDMENT TO SECOND AMENDED AND RESTATED ARTICLES OF INCORPORATION, AS AMENDED In compliance with the requirements of the applicable provisions (relating to articles of amendment) of the Pennsylvania Business Corporation Law of 1988, as amended, the undersigned, desiring to amend its Second Amended and Restated Articles of Incorporation, as amended, hereby states that: 1. T |
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| January 22, 2024 |
SFE / Safeguard Scientifics, Inc. / Halis Family Foundation Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G (Amendment No. )* Under the Securities Exchange Act of 1934 Safeguard Scientifics, Inc. (Name of Issuer) Common Stock, par value $0.10 per share (Title of Class of Securities) 786449306 (CUSIP Number) December 6, 2023 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate th |
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| January 22, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 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): January 22, 2024 Safeguard Scientifics, Inc. |
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| January 22, 2024 |
Exhibit 99.1 Safeguard Scientifics Intends to File Form 25 to Voluntarily Delist its Common Stock from The Nasdaq Stock Market LLC Radnor, PA, January 22, 2024 - Safeguard Scientifics, Inc. (Nasdaq: SFE) (“Safeguard” or the “Company”) has announced today that it notified The Nasdaq Stock Market LLC (“Nasdaq”) that it intends to file Form 25 with the Securities and Exchange Commission (the “SEC”) o |
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| January 22, 2024 |
Articles of Amendment to Second Amended and Restated Articles of Incorporation, as amended Exhibit 3.2 ARTICLES OF AMENDMENT TO SECOND AMENDED AND RESTATED ARTICLES OF INCORPORATION, AS AMENDED In compliance with the requirements of the applicable provisions (relating to articles of amendment) of the Pennsylvania Business Corporation Law of 1988, as amended, the undersigned, desiring to amend its Second Amended and Restated Articles of Incorporation, as amended, hereby states that: 1. T |
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| January 5, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 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): January 1, 2024 Safeguard Scientifics, Inc. |
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| January 5, 2024 |
Exhibit 99.1 Safeguard Scientifics Announces Effective Date of Stock Splits to Effectuate the Going Dark Transaction and New Chief Executive Officer and Chief Financial Officer Radnor, PA, January 5, 2024 - Safeguard Scientifics, Inc. (Nasdaq:SFE) (“Safeguard” or the “Company”) today announced that, as authorized by its Board of Directors (the “Board”), the Company will file amendments to its arti |
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| January 2, 2024 |
SFE / Safeguard Scientifics, Inc. / Exploration Capital, LLC - SCHEDULE 13G Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. N/A)* Safeguard Scientifics, Inc. (Name of Issuer) Common Stock, par value $0.10 (Title of Class of Securities) 786449207 (CUSIP Number) December 19, 2023 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule |
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| December 18, 2023 |
Exhibit 10.1 December 15, 2023 Eric C. Salzman CEO Safeguard Scientifics, Inc. 150 N. Radnor Chester Road Suite F-200 Radnor, PA 19087 Re: Engagement of Rock Creek Advisors, LLC On behalf of Rock Creek Advisors, LLC (“Rock Creek”), I am writing to thank you for the opportunity to serve Safeguard Scientifics, Inc. (“Company”, “Client”, or “you”) in the matter described below. This letter agreement |
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| December 18, 2023 |
Exhibit 10.3 December 15, 2023 Dear Eric: This letter agreement will confirm that effective January 1, 2024 you shall be a temporary at-will employee of Safeguard Scientifics, Inc. (“Safeguard”) on the terms and subject to the conditions set forth in this letter agreement. Your title shall be Senior Advisor. Except for such position as a temporary at-will employee of Safeguard and as otherwise set |
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| December 18, 2023 |
Safeguard Scientifics Announces Stock Split Ratios to Effectuate the Going Dark Transaction Exhibit 99.1 Safeguard Scientifics Announces Stock Split Ratios to Effectuate the Going Dark Transaction Radnor, PA, December 18, 2023 - Safeguard Scientifics, Inc. (Nasdaq:SFE) (“Safeguard” or the “Company”) today announced that, after the Company’s shareholders adopted amendments to the articles of incorporation at the Special Meeting of Shareholders held on December 15, 2023 (the “Special Meeti |
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| December 18, 2023 |
Exhibit 10.4 SAFEGUARD SCIENTIFICS, INC. 150 N. Radnor Chester Rd. STE F-200 Radnor, PA 19087 This letter (hereinafter the “Agreement”) is made and entered into as of December 15, 2023, by and between Safeguard Scientifics, Inc. (“Safeguard”) and Mark Herndon (“Employee”). 1. Background and Consideration. (a) As used in this Agreement, any reference to Safeguard shall include its predecessors and |
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| December 18, 2023 |
Exhibit 10.5 December 15, 2023 Dear Mark: This letter agreement will confirm that effective January 1, 2024 you shall be a temporary at-will employee of Safeguard Scientifics, Inc. (“Safeguard”) on the terms and subject to the conditions set forth in this letter agreement. Your title shall be Executive Advisor. Except for such position as a temporary at-will employee of Safeguard and as otherwise |
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| December 18, 2023 |
Exhibit 10.2 SAFEGUARD SCIENTIFICS, INC. 150 N. Radnor Chester Rd. STE F-200 Radnor, PA 19087 This letter (hereinafter the “Agreement”) is made and entered into as of December 15, 2023, by and between Safeguard Scientifics, Inc. (“Safeguard”) and Eric Salzman (“Employee”). 1. Background and Consideration. (a) As used in this Agreement, any reference to Safeguard shall include its predecessors and |
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| December 18, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 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): December 15, 2023 Safeguard Scientifics, Inc. |
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| December 8, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 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): December 7, 2023 Safeguard Scientifics, Inc. |
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| December 8, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant x Filed by a Party other than the Registrant ¨ Check the appropriate box: ¨ Preliminary Proxy Statement ¨ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ¨ Defin |
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| December 8, 2023 |
Safeguard Scientifics’ Board of Directors Declares Contingent Cash Dividend of $0.35 Per Share Exhibit 99.1 Safeguard Scientifics’ Board of Directors Declares Contingent Cash Dividend of $0.35 Per Share Radnor, PA, December 8, 2023 - Safeguard Scientifics, Inc. (Nasdaq:SFE) (“Safeguard” or the “Company”) today announced that on December 7, 2023, its Board of Directors (the “Board”) declared a special cash dividend of $0.35 per share, payable on December 28, 2023 to shareholders of record as |
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| December 8, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13E-3 RULE 13e-3 TRANSACTION STATEMENT UNDER SECTION 13(e) OF THE SECURITIES EXCHANGE ACT OF 1934 (Amendment No. 3) Safeguard Scientifics, Inc. (Name of the Issuer and Name of Person Filing Statement) Common Stock, $0.10 par value per share (Title of Class of Securities) 786449207 (CUSIP Number of Class of Securities) |
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| November 2, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13E-3 RULE 13e-3 TRANSACTION STATEMENT UNDER SECTION 13(e) OF THE SECURITIES EXCHANGE ACT OF 1934 (Amendment No. 2) Safeguard Scientifics, Inc. (Name of the Issuer and Name of Person Filing Statement) Common Stock, $0.10 par value per share (Title of Class of Securities) 786449207 (CUSIP Number of Class of Securities) |
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| November 2, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant x Filed by a Party other than the Registrant ¨ Check the appropriate box: ¨ Preliminary Proxy Statement ¨ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ¨ Defin |
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| November 2, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant x Filed by a Party other than the Registrant ¨ Check the appropriate box: ¨ Preliminary Proxy Statement ¨ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) x Defin |
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| November 2, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 10-Q (Mark One) ☑ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Quarterly Period Ended September 30, 2023 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Transition Period From to Commission File Number 1-5620 Safeguard Scientifics, Inc. |
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| November 2, 2023 |
Exhibit 99.1 SAFEGUARD SCIENTIFICS ANNOUNCES THIRD QUARTER 2023 FINANCIAL RESULTS Conference call and webcast on November 2, 2023 at 5 p.m. ET Radnor, PA, November 2, 2023 — Safeguard Scientifics, Inc. (NASDAQ:SFE) (“Safeguard” or the “Company”) today announced financial results for the three and nine months ended September 30, 2023. THIRD QUARTER 2023 HIGHLIGHTS ● Financial Results o Cash, cash e |
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| November 2, 2023 |
Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 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): November 2, 2023 Safeguard Scientifics, Inc. |
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| October 20, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13E-3 RULE 13e-3 TRANSACTION STATEMENT UNDER SECTION 13(e) OF THE SECURITIES EXCHANGE ACT OF 1934 (Amendment No. 1) Safeguard Scientifics, Inc. (Name of the Issuer and Name of Person Filing Statement) Common Stock, $0.10 par value per share (Title of Class of Securities) 786449207 (CUSIP Number of Class of Securities) |
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| October 20, 2023 |
October 20, 2023 VIA EDGAR Division of Corporation Finance Office of Mergers and Acquisitions U. |
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| October 20, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. 1) Filed by the Registrant x Filed by a Party other than the Registrant ¨ Check the appropriate box: ⌧ Preliminary Proxy Statement ¨ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ¨ Defi |
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| October 5, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13E-3 RULE 13e-3 TRANSACTION STATEMENT UNDER SECTION 13(e) OF THE SECURITIES EXCHANGE ACT OF 1934 (Amendment No. ) Safeguard Scientifics, Inc. (Name of the Issuer and Name of Person Filing Statement) Common Stock, $0.10 par value per share (Title of Class of Securities) 786449207 (CUSIP Number of Class of Securities) |
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| October 5, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 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): September 30, 2023 Safeguard Scientifics, Inc. |
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| October 5, 2023 |
Exhibit 107 Calculation of Filing Fee Tables Schedule 13E-3 (Form Type) Safeguard Scientifics, Inc. |
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| October 5, 2023 |
Exhibit 99.1 Safeguard Scientifics’ Board of Directors Approves Plan to Voluntarily Terminate Registration of Its Common Stock with the SEC and Voluntarily Delist from Nasdaq Radnor, PA, October 5, 2023 - Safeguard Scientifics, Inc. (Nasdaq:SFE) (“Safeguard” or the “Company”) today announced that its Board of Directors (the “Board”) has approved a plan to cease the registration of the Company’s co |
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| October 5, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant x Filed by a Party other than the Registrant ¨ Check the appropriate box: ⌧ Preliminary Proxy Statement ¨ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ¨ Defin |
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| October 5, 2023 |
Press Release, dated October 5, 2023. Exhibit 99.1 Safeguard Scientifics’ Board of Directors Approves Plan to Voluntarily Terminate Registration of Its Common Stock with the SEC and Voluntarily Delist from Nasdaq Radnor, PA, October 5, 2023 - Safeguard Scientifics, Inc. (Nasdaq:SFE) (“Safeguard” or the “Company”) today announced that its Board of Directors (the “Board”) has approved a plan to cease the registration of the Company’s co |
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| October 5, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 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): September 30, 2023 Safeguard Scientifics, Inc. |
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| August 11, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 10-Q (Mark One) ☑ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Quarterly Period Ended June 30, 2023 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Transition Period From to Commission File Number 1-5620 Safeguard Scientifics, Inc. |
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| August 10, 2023 |
Exhibit 99.1 SAFEGUARD SCIENTIFICS ANNOUNCES SECOND QUARTER 2023 FINANCIAL RESULTS Conference call and webcast on August 10, 2023 at 5 p.m. ET Radnor, PA, August 10, 2023 — Safeguard Scientifics, Inc. (NASDAQ:SFE) (“Safeguard” or the “Company”) today announced financial results for the three and six months ended June 30, 2023. SECOND QUARTER 2023 HIGHLIGHTS ● Financial Results o Cash, cash equival |
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| August 10, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 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 10, 2023 Safeguard Scientifics, Inc. |
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| May 25, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 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): May 24, 2023 Safeguard Scientifics, Inc. |
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| May 5, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 10-Q (Mark One) ☑ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Quarterly Period Ended March 31, 2023 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Transition Period From to Commission File Number 1-5620 Safeguard Scientifics, Inc. |
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| May 4, 2023 |
Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 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): May 4, 2023 Safeguard Scientifics, Inc. |
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| May 4, 2023 |
Exhibit 99.1 SAFEGUARD SCIENTIFICS ANNOUNCES FIRST QUARTER 2023 FINANCIAL RESULTS Conference call and webcast on May 4, 2023 at 5 p.m. ET Radnor, PA, May 4, 2023 — Safeguard Scientifics, Inc. (NASDAQ:SFE) (“Safeguard” or the “Company”) today announced financial results for the three months ended March 31, 2023. FIRST QUARTER 2023 HIGHLIGHTS ● Financial Results o Cash, cash equivalents and restrict |
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| April 6, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant x Filed by a Party other than the Registrant ¨ Check the appropriate box: ¨ Preliminary Proxy Statement ¨ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) x Defin |
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| April 6, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant x Filed by a Party other than the Registrant ¨ Check the appropriate box: ¨ Preliminary Proxy Statement ¨ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ¨ Defin |
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| March 13, 2023 |
Exhibit 99.1 SAFEGUARD PROVIDES SUMMARY IMPACT ASSESSMENT FOLLOWING FDIC’S ACTIONS RELATING TO SILICON VALLEY BANK’S RECEIVERSHIP Radnor, PA, March 13, 2023 — Safeguard Scientifics, Inc. (NASDAQ: SFE) (“Safeguard” or the “Company”) is providing the following summary assessment of the initial impact of Silicon Valley Bank’s closing on Friday March 10, 2023 by the California Department of Financial |
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| March 13, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 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): March 13, 2023 Safeguard Scientifics, Inc. |
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| March 10, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-K Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-K (Mark One) ☑ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2022 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number 1-5620 |
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| March 10, 2023 |
Code of Business Conduct and Ethics Exhibit 14.1 SAFEGUARD SCIENTIFICS, INC. CODE OF BUSINESS CONDUCT AND ETHICS I. Background - Administration The reputation and integrity of Safeguard Scientifics, Inc. (“Company” or “Safeguard”) is a valuable asset that is vital to our success. Each Company employee, including each of the Company’s officers, and each Company director is responsible for conducting the Company’s business in a manner |
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| March 10, 2023 |
EXHIBIT 21.1 SUBSIDIARIES OF SAFEGUARD SCIENTIFICS, INC. Exclusive of immaterial subsidiaries and companies in which the Registrant holds a minority interest, as of March 10, 2023, the Registrant had the following subsidiaries: NAME PLACE OF INCORPORATION Bonfield VII, Ltd. British Virgin Islands Novitas Capital II Management, L.P. Pennsylvania Safeguard Capital Management, Inc. Delaware Safeguard |
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| March 9, 2023 |
Exhibit 99.1 SAFEGUARD SCIENTIFICS ANNOUNCES FOURTH QUARTER AND YEAR END 2022 FINANCIAL RESULTS Conference call and webcast on March 9, 2023 at 5 p.m. ET Radnor, PA, March 9, 2023 — Safeguard Scientifics, Inc. (NASDAQ: SFE) (“Safeguard” or the “Company”) today announced financial results for the three months and year ended December 31, 2022. 2022 HIGHLIGHTS ● Exits & Deployments o During the fourt |
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| March 9, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 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): March 9, 2023 Safeguard Scientifics, Inc. |
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| February 14, 2023 |
SFE / Safeguard Scientifics, Inc / FIRST MANHATTAN CO Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 SCHEDULE 13G/A Under the Securities Exchange Act of 1934 (Amendment No. |
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| February 13, 2023 |
SC 13G 1 p23-0307sc13g.htm SAFEGUARD SCIENTIFICS INC SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* Safeguard Scientifics, Inc. (Name of Issuer) Common Stock, par value $0.10 (Title of Class of Securities) 786449207 (CUSIP Number) December 31, 2022 (Date of Event Which Requires Filing of This Statement) Check the a |
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| February 13, 2023 |
SFE / Safeguard Scientifics, Inc / NORTH RUN CAPITAL, LP - SC 13G/A Passive Investment SC 13G/A 1 d467769dsc13ga.htm SC 13G/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 SCHEDULE 13G (Rule 13d-102) (Amendment No. 1) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULES 13d-1(b), (c) AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2 UNDER THE SECURITIES EXCHANGE ACT OF 1934 Safeguard Scientifics, Inc. (Name of Issuer) Common Stock, $0.10 |
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| February 10, 2023 |
SFE / Safeguard Scientifics, Inc / SATTERFIELD THOMAS A JR - SC 13G/A Passive Investment SC 13G/A 1 d426374dsc13ga.htm SC 13G/A SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G (Rule 13d-102) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULES 13d-1(b), (c), AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2 (Amendment No. 4)* Safeguard Scientifics, Inc. (Name of Issuer) Common Stock (Title of Class of Securities) 786449207 (CUSIP Number) De |
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| January 31, 2023 |
SFE / Safeguard Scientifics, Inc / Yakira Capital Management, Inc. - 13GA Passive Investment SC 13G/A 1 sfe13GA.htm 13GA UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G/A Under the Securities Exchange Act of 1934 (Amendment No. 2)* Safeguard Scientifics (SFE) (Name of Issuer) Common Stock (Title of Class of Securities) 786449207 (CUSIP Number) NICHOLAS SABATINI, CFO & CCO; 1555 POST ROAD EAST, SUITE 202, WESTPORT, CT 06880; (203) 341-0702 (Name, Addres |
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| January 10, 2023 |
Press Release of Safeguard Scientifics, Inc. dated January 10, 2023 Exhibit 10.1 SAFEGUARD SCIENTIFICS ANNOUNCES COMPLETION OF SHARE REPURCHASE PROGRAM Radnor, PA, January 10, 2023 — Safeguard Scientifics, Inc. (NASDAQ:SFE) (“Safeguard” or the “Company”) today announced the completion of the $3 million share repurchase program announced in March 2022. As a result of this plan, the Company repurchased an aggregate of 736,577 shares for an average price of $4.09 per |
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| January 10, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 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): January 10, 2023 Safeguard Scientifics, Inc. |
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| January 4, 2023 |
Exhibit 10.1 January 1, 2023 Via email Eric Salzman Dear Eric: This letter agreement, effective as of January 1, 2023, amends and restates the employment offer letter entered into between you and Safeguard Scientifics, Inc. (?Safeguard? or the ?Company?), dated December 21, 2021 (the ?Prior Agreement?), in order to reflect negotiated and mutually acceptable provisions pertaining to your continued |
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| January 4, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 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): January 1, 2023 Safeguard Scientifics, Inc. |
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| November 4, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 10-Q (Mark One) ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Quarterly Period Ended September 30, 2022 or ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Transition Period From to Commission File Number 1-5620 Safeguard Scientifics, Inc. |
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| November 3, 2022 |
Conference call and webcast on November 3, 2022 at 5 p.m. ET Exhibit 99.1 SAFEGUARD SCIENTIFICS ANNOUNCES THIRD QUARTER 2022 FINANCIAL RESULTS Conference call and webcast on November 3, 2022 at 5 p.m. ET Radnor, PA, November 3, 2022 ? Safeguard Scientifics, Inc. (NASDAQ: SFE) (?Safeguard? or the ?Company?) today announced financial results for the three and nine months ended September 30, 2022. THIRD QUARTER 2022 HIGHLIGHTS ? Exits & Deployments o Safeguard |
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| November 3, 2022 |
Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 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): November 3, 2022 Safeguard Scientifics, Inc. |
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| October 25, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 25 NOTIFICATION OF REMOVAL FROM LISTING AND/OR REGISTRATION UNDER SECTION 12(b) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission File Number 001-05620 SAFEGUARD SCIENTIFICS, INC. New York Stock Exchange (Exact name of Issuer as specified in its charter, and name of Exchange where security is listed and/or registered) 150 |
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| October 25, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-A FOR REGISTRATION OF CERTAIN CLASSES OF SECURITIES PURSUANT TO SECTION 12(b) OR (g) OF THE SECURITIES EXCHANGE ACT OF 1934 SAFEGUARD SCIENTIFICS, INC. (Exact name of registrant as specified in its charter) Pennsylvania 23-1609753 (State or other jurisdiction of incorporation or organization) (I.R.S. Employer Identifica |
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| October 14, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 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 14, 2022 Safeguard Scientifics, Inc. |
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| October 14, 2022 |
SAFEGUARD SCIENTIFICS ANNOUNCES TRANSFER TO NASDAQ SFE ticker symbol remains the same Exhibit 99.1 SAFEGUARD SCIENTIFICS ANNOUNCES TRANSFER TO NASDAQ SFE ticker symbol remains the same Radnor, PA, October 14, 2022 ? Safeguard Scientifics, Inc. (NYSE: SFE) today announced that it will transfer its common stock exchange listing from the New York Stock Exchange to the NASDAQ Capital Market (?NASDAQ?). Safeguard expects to commence trading as a NASDAQ-listed company upon market open on |
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| September 29, 2022 |
SAFEGUARD SCIENTIFICS ANNOUNCES LUMESIS EXIT Exhibit 99.1 SAFEGUARD SCIENTIFICS ANNOUNCES LUMESIS EXIT Radnor, PA, September 29, 2022 ? Safeguard Scientifics, Inc. (NYSE:SFE) (?Safeguard?) today announced the acquisition of Lumesis by SOLVE Advisors, Inc., a market data platform for fixed income securities. Safeguard received $5.3 million of initial cash proceeds. Additional cash proceeds may be received from the final determinations of net |
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| September 29, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 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): September 29, 2022 Safeguard Scientifics, Inc. |
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| August 12, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 10-Q (Mark One) ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Quarterly Period Ended June 30, 2022 or ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Transition Period From to Commission File Number 1-5620 Safeguard Scientifics, Inc. |
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| August 11, 2022 |
Exhibit 99.1 SAFEGUARD SCIENTIFICS ANNOUNCES SECOND QUARTER 2022 FINANCIAL RESULTS Conference call and webcast on August 11, 2022 at 5 p.m. ET Radnor, PA, August 11, 2022 ? Safeguard Scientifics, Inc. (NYSE:SFE) (?Safeguard? or the ?Company?) today announced financial results for the three and six months ended June 30, 2022. SECOND QUARTER 2022 HIGHLIGHTS ? Safeguard Company Performance o Moxe rai |
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| August 11, 2022 |
Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 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 11, 2022 Safeguard Scientifics, Inc. |
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| May 27, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 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): May 25, 2022 Safeguard Scientifics, Inc. |
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| May 9, 2022 |
SFE / Safeguard Scientifics, Inc / SATTERFIELD THOMAS A JR - SC 13G/A NO. 3 Passive Investment SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G (Rule 13d-102) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULES 13d-1(b), (c), AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2 (Amendment No. 3)* Safeguard Scientifics, Inc. (Name of Issuer) Common Stock (Title of Class of Securities) 786449207 (CUSIP Number) May 6, 2022 (Date of Event Which Requires |
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| May 6, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 10-Q (Mark One) ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Quarterly Period Ended March 31, 2022 or ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Transition Period From to Commission File Number 1-5620 Safeguard Scientifics, Inc. |
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| May 5, 2022 |
Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 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): May 5, 2022 Safeguard Scientifics, Inc. |
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| May 5, 2022 |
Exhibit 99.1 SAFEGUARD SCIENTIFICS ANNOUNCES FIRST QUARTER 2022 FINANCIAL RESULTS Conference call and webcast on May 5, 2022 at 5 p.m. ET Radnor, PA, May 5, 2022 — Safeguard Scientifics, Inc. (NYSE:SFE) (“Safeguard” or the “Company”) today announced financial results for the three months ended March 31, 2022. FIRST QUARTER 2022 HIGHLIGHTS ● Capital Return o Safeguard repurchased 147,795 shares on |
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| April 5, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant x Filed by a Party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) x Defin |
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| April 5, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant x Filed by a Party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ? Defin |
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| March 21, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 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): March 21, 2022 Safeguard Scientifics, Inc. |
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| March 21, 2022 |
SAFEGUARD SCIENTIFICS ANNOUNCES SHARE REPURCHASE PROGRAM Exhibit 99.1 SAFEGUARD SCIENTIFICS ANNOUNCES SHARE REPURCHASE PROGRAM Radnor, PA, March 21, 2022 ? Safeguard Scientifics, Inc. (NYSE:SFE) (?Safeguard? or the ?Company?) today announced a new $3 million share repurchase program, in accordance with the requirements of Rule 10b5-1 and Rule 10b-18 of the Securities Exchange Act of 1934, as amended. These repurchases, which will use existing funds, wil |
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| March 11, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-K Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-K (Mark One) ? ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2021 or ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number 1-5620 |
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| March 11, 2022 |
Exhibit 10.7 SAFEGUARD SCIENTIFICS, INC. COMPENSATION SUMMARY - NON-EMPLOYEE DIRECTORS Each of our non-employee directors is compensated for his or her service as a director through payments as shown in the table below: Annual Board Retainers (for a full year of Board service): Chairman of the Board $110,000 Other Directors $50,000 Additional Annual Chairperson Retainers (for a full year of commit |
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| March 11, 2022 |
EXHIBIT 21.1 SUBSIDIARIES OF SAFEGUARD SCIENTIFICS, INC. Exclusive of immaterial subsidiaries and companies in which the Registrant holds a minority interest, as of March 11, 2022, the Registrant had the following subsidiaries: NAME PLACE OF INCORPORATION Bonfield VII, Ltd. British Virgin Islands Novitas Capital II Management, L.P. Pennsylvania Safeguard Capital Management, Inc. Delaware Safeguard |
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| March 11, 2022 |
Code of Business Conduct and Ethics Exhibit 14.1 SAFEGUARD SCIENTIFICS, INC. CODE OF BUSINESS CONDUCT AND ETHICS I. Background - Administration The reputation and integrity of Safeguard Scientifics, Inc. (?Company? or ?Safeguard?) is a valuable asset that is vital to our success. Each Company employee, including each of the Company?s officers, and each Company director is responsible for conducting the Company?s business in a manner |
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| March 9, 2022 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 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): March 9, 2022 Safeguard Scientifics, Inc. |
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| March 9, 2022 |
Exhibit 99.1 SAFEGUARD SCIENTIFICS ANNOUNCES FULL YEAR AND FOURTH QUARTER 2021 FINANCIAL RESULTS Cash proceeds of $60.8 million from exits during 2021 Repurchases of 4.5 million common shares during 2021 Initiates evaluation of strategic options Conference call and webcast on March 9, 2022 at 5 p.m. ET Radnor, PA, March 9, 2022 ? Safeguard Scientifics, Inc. (NYSE:SFE) (?Safeguard? or the ?Company? |
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| February 15, 2022 |
SFE / Safeguard Scientifics, Inc / FIRST MANHATTAN CO Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 SCHEDULE 13G/A Under the Securities Exchange Act of 1934 (Amendment No. |
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| February 14, 2022 |
SFE / Safeguard Scientifics, Inc / SATTERFIELD THOMAS A JR - SC 13G/A Passive Investment SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G (Rule 13d-102) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULES 13d-1(b), (c), AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2 (Amendment No. 2)* Safeguard Scientifics, Inc. (Name of Issuer) Common Stock (Title of Class of Securities) 786449207 (CUSIP Number) December 31, 2021 (Date of Event Which Re |
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| February 14, 2022 |
SFE / Safeguard Scientifics, Inc / NORTH RUN CAPITAL, LP Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 SCHEDULE 13G (Rule 13d-102) (Amendment No. |
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| February 9, 2022 |
SFE / Safeguard Scientifics, Inc / Yakira Capital Management, Inc. Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G/A Under the Securities Exchange Act of 1934 (Amendment No. 1)* Safeguard Scientifics (SFE) (Name of Issuer) COMMON STOCK (Title of Class of Securities) 786449207 (CUSIP Number) BRUCE KALLINS, PRINCIPAL; 1555 POST ROAD EAST, Suite 202, WESTPORT, CT 06880; (203) 341-0606 (Name, Address and Telephone Number of Person |
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| December 21, 2021 |
Employment Agreement, dated December 21, 2021, by and between the Company and Eric Salzman. Exhibit 10.1 December 21, 2021 Via email Eric Salzman Dear Eric: This letter agreement, effective as of January 1, 2022, amends and restates the employment offer letter entered into between you and Safeguard Scientifics, Inc. (?Safeguard? or the ?Company?), dated October 1, 2020 (the ?October 2020 Prior Agreement?), in order to reflect negotiated and mutually acceptable provisions pertaining to yo |
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| December 21, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 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): December 21, 2021 Safeguard Scientifics, Inc. |
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| November 4, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 10-Q (Mark One) ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Quarterly Period Ended September 30, 2021 or ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Transition Period From to Commission File Number 1-5620 Safeguard Scientifics, Inc. |
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| November 4, 2021 |
Exhibit 99.1 SAFEGUARD SCIENTIFICS ANNOUNCES THIRD QUARTER 2021 FINANCIAL RESULTS Successful Completion of $39mm Self-tender Offer Conference call and webcast on November 4, 2021 at 5 p.m. ET Radnor, PA, November 4, 2021 ? Safeguard Scientifics, Inc. (NYSE:SFE) (?Safeguard? or the ?Company?) today announced financial results for the three and nine months ended September 30, 2021. HIGHLIGHTS ? Capi |
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| November 4, 2021 |
Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 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): November 4, 2021 Safeguard Scientifics, Inc. |
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| October 7, 2021 |
Press release announcing final results of the tender offer, dated October 7, 2021.** Exhibit (a)(5)(C) Safeguard Announces final results of Modified Dutch Auction Tender Offer Radnor, PA, October 7, 2021 ? Safeguard Scientifics, Inc. |
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| October 7, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE TO (Amendment No. 2) Tender Offer Statement under Section 14(d)(1) or 13(e)(1) of the Securities Exchange Act of 1934 Safeguard Scientifics, Inc. (Name of Subject Company (Issuer) and Filing Person (Offeror)) Common Stock, $.10 par value (Title of Class of Securities) 786449207 (CUSIP Number of Class of Securities) Er |
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| October 4, 2021 |
Press release announcing preliminary results of the Tender Offer, dated October 4, 2021.* Exhibit (a)(5)(B) Safeguard Announces Preliminary results of Modified Dutch Auction Tender Offer Radnor, PA, October 4, 2021 ? Safeguard Scientifics, Inc. |
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| October 4, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE TO (Amendment No. 1) Tender Offer Statement under Section 14(d)(1) or 13(e)(1) of the Securities Exchange Act of 1934 Safeguard Scientifics, Inc. (Name of Subject Company (Issuer) and Filing Person (Offeror)) Common Stock, $.10 par value (Title of Class of Securities) 786449207 (CUSIP Number of Class of Securities) Er |
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| September 29, 2021 |
As filed with the Securities and Exchange Commission on September 29, 2021 As filed with the Securities and Exchange Commission on September 29, 2021 Registration No. |
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| September 29, 2021 |
As filed with the Securities and Exchange Commission on September 29, 2021 As filed with the Securities and Exchange Commission on September 29, 2021 Registration No. |
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| September 29, 2021 |
As filed with the Securities and Exchange Commission on September 29, 2021 As filed with the Securities and Exchange Commission on September 29, 2021 Registration No. |
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| September 2, 2021 |
Exhibit 99.1 Safeguard Scientifics Announces completion of acquisition OF ITS OWNERSHIP INTERESTS IN flashtalking and commencment of tender offer to purchase up to $35 million of its common stock Radnor, PA, September 2, 2021 ? Safeguard Scientifics, Inc. (NYSE:SFE) (?Safeguard,? ?SFE? or the ?Company?) today announced that the previously announced acquisition of its ownership interest in Flashtal |
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| September 2, 2021 |
EX-99.A.1.D 5 tm2126661d3exa1d.htm EXHIBIT (A)(1)(D) Exhibit (a)(1)(d) Offer to Purchase for Cash by Safeguard Scientifics, Inc. of Up to $35,000,000 in Value of Shares of its Common Stock At a Purchase Price Not Less Than $7.90 Nor Greater Than $9.00 Per Share THE TENDER OFFER, PRORATION PERIOD AND WITHDRAWAL RIGHTS WILL EXPIRE AT 5:00 P.M., EASTERN TIME, ON OCTOBER 1, 2021 (THE “EXPIRATION DATE” |
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| September 2, 2021 |
Notice of Guaranteed Delivery.* Exhibit (a)(1)(c) NOTICE OF GUARANTEED DELIVERY (Not to be used for Signature Guarantee) for Tender of Shares of Common Stock of SAFEGUARD SCIENTIFICS, INC. |
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| September 2, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE TO Tender Offer Statement under Section 14(d)(1) or 13(e)(1) of the Securities Exchange Act of 1934 Safeguard Scientifics, Inc. (Name of Subject Company (Issuer) and Filing Person (Offeror)) Common Stock, $.10 par value (Title of Class of Securities) 786449207 (CUSIP Number of Class of Securities) Eric C. Salzman Chie |
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| September 2, 2021 |
Exhibit (a)(1)(e) Offer to Purchase for Cash by Safeguard Scientifics, Inc. of Up to $35,000,000 in Value of Shares of its Common Stock At a Purchase Price Not Less Than $7.90 Nor Greater Than $9.00 Per Share THE TENDER OFFER, PRORATION PERIOD AND WITHDRAWAL RIGHTS WILL EXPIRE AT 5:00 P.M., EASTERN TIME, ON OCTOBER 1, 2021 (THE ?EXPIRATION DATE?), UNLESS THE TENDER OFFER IS EXTENDED. September 2, |
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| September 2, 2021 |
Offer to Purchase, dated September 2, 2021.* Exhibit (a)(1)(a) OFFER TO PURCHASE FOR CASH by SAFEGUARD SCIENTIFICS, INC. UP TO $35,000,000 IN VALUE OF SHARES OF ITS COMMON STOCK AT A PURCHASE PRICE NOT LESS THAN $7.90 NOR GREATER THAN $9.00 PER SHARE THE TENDER OFFER, PRORATION PERIOD AND WITHDRAWAL RIGHTS WILL EXPIRE AT 5:00 P.M., EASTERN TIME, ON OCTOBER 1, 2021, UNLESS THE TENDER OFFER IS EXTENDED. Safeguard Scientifics, Inc., a Pennsylva |
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| September 2, 2021 |
Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 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): September 2, 2021 Safeguard Scientifics, Inc. |
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| September 2, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 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): September 2, 2021 Safeguard Scientifics, Inc. |
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| September 2, 2021 |
Exhibit (a)(1)(b) Letter of Transmittal To Tender Shares of Common Stock Pursuant to the Offer to Purchase, dated September 2, 2021 by Safeguard Scientifics, Inc. |
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| September 2, 2021 |
Press release of Safeguard Scientifics, Inc. dated September 2, 2021 Exhibit 99.1 Safeguard Scientifics Announces completion of acquisition OF ITS OWNERSHIP INTERESTS IN flashtalking and commencment of tender offer to purchase up to $35 million of its common stock Radnor, PA, September 2, 2021 ? Safeguard Scientifics, Inc. (NYSE:SFE) (?Safeguard,? ?SFE? or the ?Company?) today announced that the previously announced acquisition of its ownership interest in Flashtal |
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| August 13, 2021 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 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 12, 2021 Safeguard Scientifics, Inc. |
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| August 13, 2021 |
Exhibit 99.1 Transcript of second quarter earnings call on August 12, 2021 Operator: Good afternoon and thank you for attending the Safeguard Scientifics? Second Quarter 2021 Financial Results Conference Call. [Operator Instructions.] I would now like to pass the conference over to your host Matt Barnard, with Safeguard Scientifics. Thank you. You may proceed. Matt Barnard: Good afternoon and than |
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| August 12, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 10-Q (Mark One) ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Quarterly Period Ended June 30, 2021 or ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Transition Period From to Commission File Number 1-5620 Safeguard Scientifics, Inc. |
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| August 12, 2021 |
Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 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 12, 2021 Safeguard Scientifics, Inc. |
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| August 12, 2021 |
Exhibit 99.1 SAFEGUARD SCIENTIFICS ANNOUNCES SECOND QUARTER 2021 FINANCIAL RESULTS Conference call and webcast on August 12, 2021 at 5 p.m. ET Radnor, PA, August 12, 2021 ? Safeguard Scientifics, Inc. (NYSE:SFE) (?Safeguard? or the ?Company?) today announced financial results for the three and six months ended June 30, 2021. HIGHLIGHTS ? Exits & Deployments o As part of the sale of Velano Vascular |
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| July 13, 2021 |
SAFEGUARD SCIENTIFICS ANNOUNCES PENDING ACQUISITION OF FLASHTALKING BY MEDIAOCEAN Exhibit 99.1 SAFEGUARD SCIENTIFICS ANNOUNCES PENDING ACQUISITION OF FLASHTALKING BY MEDIAOCEAN Radnor, PA, July 13, 2021 ? Safeguard Scientifics, Inc. (NYSE:SFE) (?Safeguard? or the ?Company?) today announced that Flashtalking signed a definitive agreement to be acquired by Mediaocean. The combined entity will leverage Flashtalking?s best-in-class solutions for primary ad serving, creative persona |
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| July 13, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 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): July 13, 2021 Safeguard Scientifics, Inc. |
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| May 21, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 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): May 19, 2021 Safeguard Scientifics, Inc. |
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| May 7, 2021 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 10-Q (Mark One) ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Quarterly Period Ended March 31, 2021 or ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Transition Period From to Commission File Number 1-5620 Safeguard Scientifics, Inc. |
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| May 6, 2021 |
Exhibit 99.1 SAFEGUARD SCIENTIFICS ANNOUNCES FIRST QUARTER 2021 FINANCIAL RESULTS Board Authorizes $6 Million Share Repurchase Program Conference call and webcast on May 6, 2021 at 5 p.m. ET Radnor, PA, May 6, 2021 ? Safeguard Scientifics, Inc. (NYSE:SFE) (?Safeguard? or the ?Company?) today announced financial results for the three months ended March 31, 2021. HIGHLIGHTS ? Safeguard?s Board of Di |
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| May 6, 2021 |
Regulation FD Disclosure, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 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): May 6, 2021 Safeguard Scientifics, Inc. |
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| April 13, 2021 |
SAFEGUARD SCIENTIFICS ANNOUNCES ZIPNOSIS EXIT Exhibit 99.1 SAFEGUARD SCIENTIFICS ANNOUNCES ZIPNOSIS EXIT Radnor, PA, April 12, 2021 — Safeguard Scientifics, Inc. (NYSE:SFE) (“Safeguard” or the “Company”) today announced the exit of our ownership interest in Zipnosis. Safeguard received $3.3 million of initial cash proceeds and a preferred equity interest in Bright Health Group, a national integrated healthcare company (“Bright Health”). The m |
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| April 13, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 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): April 12, 2021 Safeguard Scientifics, Inc. |
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| April 5, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant x Filed by a Party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) x Defin |
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| April 5, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant x Filed by a Party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ? Defin |
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| March 18, 2021 |
Letter from KPMG LLP to the Securities and Exchange Commission dated March 17, 2021. Exhibit 16.1 March 17, 2021 Securities and Exchange Commission Washington, D.C. 20549 Ladies and Gentlemen: We were previously principal accountants for Safeguard Scientifics, Inc. and subsidiaries (?the Company?), under the date of March 5, 2021, we reported on the consolidated financial statements of the Company as of and for the years ended December 31, 2020 and 2019. We declined to stand for r |
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| March 18, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 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): March 12, 2021 Safeguard Scientifics, Inc. |
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| March 5, 2021 |
Exhibit 10.7 SAFEGUARD SCIENTIFICS, INC. COMPENSATION SUMMARY - NON-EMPLOYEE DIRECTORS Each of our non-employee directors is compensated for his or her service as a director through payments as shown in the table below: Annual Board Retainers (for a full year of Board service): Chairman of the Board $110,000 Other Directors $50,000 Additional Annual Chairperson Retainers (for a full year of commit |
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| March 5, 2021 |
EXHIBIT 21.1 SUBSIDIARIES OF SAFEGUARD SCIENTIFICS, INC. Exclusive of immaterial subsidiaries and companies in which the Registrant holds a minority interest, as of February 26, 2021, the Registrant had the following subsidiaries: NAME PLACE OF INCORPORATION Bonfield VII, Ltd. British Virgin Islands Novitas Capital II Management, L.P. Pennsylvania Safeguard Capital Management, Inc. Delaware Safegu |
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| March 5, 2021 |
SAFEGUARD SCIENTIFICS, INC. CODE OF BUSINESS CONDUCT AND ETHICS Exhibit 14.1 SAFEGUARD SCIENTIFICS, INC. CODE OF BUSINESS CONDUCT AND ETHICS I. Background - Administration The reputation and integrity of Safeguard Scientifics, Inc. (?Company? or ?Safeguard?) is a valuable asset that is vital to our success. Each Company employee, including each of the Company?s officers, and each Company director is responsible for conducting the Company?s business in a manner |
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| March 5, 2021 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-K (Mark One) ? ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2020 or ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number 1-5620 |
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| March 4, 2021 |
Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 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): March 3, 2021 Safeguard Scientifics, Inc. |
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| March 4, 2021 |
Exhibit 99.1 SAFEGUARD SCIENTIFICS ANNOUNCES FOURTH QUARTER AND FULL YEAR 2020 FINANCIAL RESULTS Conference call and webcast on March 4, 2021 at 9 a.m. ET Radnor, PA, March 3, 2021 — Safeguard Scientifics, Inc. (NYSE:SFE) (“Safeguard” or the “Company”) today announced financial results for the three months and year ended December 31, 2020. HIGHLIGHTS ● Exits & Deployments o Aggregate 2020 annual s |
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| February 16, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 SCHEDULE 13G/A Under the Securities Exchange Act of 1934 (Amendment No. |
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| February 11, 2021 |
SC 13G/A SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G (Rule 13d-102) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULES 13d-1(b), (c), AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2 (Amendment No. 1)* Safeguard Scientifics, Inc. (Name of Issuer) Common Stock (Title of Class of Securities) 786449207 (CUSIP Number) December 31, 2020 (Date of Event |
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| February 10, 2021 |
SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Schedule 13G Under the Securities Exchange Act of 1934 (Amendment No.: 2)* Name of issuer: Safeguard Scientifics Inc Title of Class of Securities: Common Stock CUSIP Number: 786449207 Date of Event Which Requires Filing of this Statement: December 31, 2020 Check the appropriate box to designate the rule pursuant to which this Schedule is fi |
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| February 8, 2021 |
SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Schedule 13G Under the Securities Exchange Act of 1934 (Amendment No.: 1)* Name of issuer: Safeguard Scientifics Inc Title of Class of Securities: Common Stock CUSIP Number: 786449207 Date of Event Which Requires Filing of this Statement: December 31, 2020 Check the appropriate box to designate the rule pursuant to which this Schedule is fi |
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| January 14, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* Safeguard Scientifics (SFE) (Name of Issuer) COMMON STOCK (Title of Class of Securities) 786449207 (CUSIP Number) BRUCE KALLINS, PRINCIPAL; 991 POST ROAD EAST, 2ND FLOOR WESTPORT, CT 06880; (203) 341-0606 (Name, Address and Telephone Number of Person Auth |
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| December 21, 2020 |
SAFEGUARD SCIENTIFICS ANNOUCES APPOINTMENT OF ERIC C. SALZMAN AS CEO Exhibit 99.1 SAFEGUARD SCIENTIFICS ANNOUCES APPOINTMENT OF ERIC C. SALZMAN AS CEO Radnor, PA, December 21, 2020 — Safeguard Scientifics, Inc. (NYSE:SFE) announced today that Eric C. Salzman has been appointed Chief Executive Officer, effective December 21, 2020. Since April 1, 2020, Mr. Salzman has served as the Company’s Chief Restructuring Officer. As CEO, Mr. Salzman will continue to focus on t |
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| December 21, 2020 |
Regulation FD Disclosure - FORM 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 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): December 21, 2020 Safeguard Scientifics, Inc. |
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| December 15, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D (Rule 13d-101) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO § 240.13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO § 240.13d-2(a) (Amendment No. 5)1 Safeguard Scientifics, Inc. (Name of Issuer) Common Stock, Par Value $0.10 Per Share (Title of Class of Securities) 786449207 (CUSIP Number) JOSEPH M. |
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| December 15, 2020 |
TERMINATION OF JOINT FILING AGREEMENT Exhibit 99.1 TERMINATION OF JOINT FILING AGREEMENT Each of the undersigned is a party to that certain Joint Filing Agreement, dated March 26, 2019 (the “Joint Filing Agreement”). Each of the undersigned hereby agrees that the Joint Filing Agreement is terminated effective immediately in connection with the expiration of that certain limited partnership agreement of Sierra Investments, LP. IN WITNE |
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| November 9, 2020 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 10-Q (Mark One) ☑ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Quarterly Period Ended September 30, 2020 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Transition Period From to Commission File Number 1-5620 Safeguard Scientifics, Inc. |
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| November 5, 2020 |
Exhibit 99.1 Safeguard Scientifics Announces third Quarter 2020 Financial Results Conference call and webcast on November 5, 2020 at 9 a.m. ET Radnor, PA, November 4, 2020 — Safeguard Scientifics, Inc. (NYSE:SFE) (“Safeguard” or the “Company”) today announced financial results for the three months and nine months ended September 30, 2020. Highlights ● Exits & Deployments o Portfolio company Sonobi |
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| November 5, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 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): November 4, 2020 Safeguard Scientifics, Inc. |
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| October 1, 2020 |
Exhibit 10.1 October 1, 2020 Via email Eric Salzman Dear Eric: This letter agreement amends and restates the employment offer letter entered into between you and Safeguard Scientifics, Inc. (“Safeguard” or the “Company”), dated March 30, 2020 (the “Prior Agreement”) in order to reflect negotiated and mutually acceptable new provisions pertaining to your continued employment with Safeguard. Safegua |
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| October 1, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 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 1, 2020 Safeguard Scientifics, Inc. |
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| September 18, 2020 |
SFE / Safeguard Scientifics, Inc. / SATTERFIELD THOMAS A JR - SC 13G Passive Investment SC 13G SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G (Rule 13d-102) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULES 13d-1(b), (c), AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2 (Amendment No. )* Safeguard Scientifics, Inc. (Name of Issuer) Common Stock (Title of Class of Securities) 786449207 (CUSIP Number) September 16, 2020 (Date of Event W |
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| August 27, 2020 |
Safeguard Scientifics, Inc. Investor Presentation. Exhibit 99.1 |
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| August 27, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 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 27, 2020 Safeguard Scientifics, Inc. |
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| August 12, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 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 11, 2020 Safeguard Scientifics, Inc. |
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| August 12, 2020 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 10-Q (Mark One) ☑ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Quarterly Period Ended June 30, 2020 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Transition Period From to Commission File Number 1-5620 Safeguard Scientifics, Inc. |
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| August 12, 2020 |
Exhibit 10.6 Certain portions of this exhibit have been omitted pursuant to Item 601(b)(10) of Regulation S-K. Such portions are indicated below by AN [**] Amended and Restated Safeguard Scientifics, Inc. Transaction Bonus Plan Section 1. Purpose and History In connection with the Board’s strategic plan as approved by the Board in its meeting on January 16, 2018 (the “Strategic Plan”), the Safegua |
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| August 11, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 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 11, 2020 Safeguard Scientifics, Inc. |
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| August 11, 2020 |
Exhibit 99.1 Safeguard Scientifics Announces second Quarter 2020 Financial Results Safeguard’s companies respond to COVID-19 by managing costs, securing capital and positioning their businesses to best operate in a post-pandemic economic environment Conference call and webcast today at 9 a.m. ET Radnor, PA, August 11, 2020 — Safeguard Scientifics, Inc. (NYSE:SFE) (“Safeguard” or the “Company”) tod |
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| May 21, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 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): May 20, 2020 Safeguard Scientifics, Inc. |
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| April 30, 2020 |
Exhibit 99.1 Safeguard Scientifics Announces FIRST Quarter 2020 Financial Results Conference call and webcast today at 9:00 a.m. ET Radnor, PA, April 30, 2020 — Safeguard Scientifics, Inc. (NYSE:SFE) (“Safeguard” or the “Company”) today announced financial results for the three months ended March 31, 2020. Highlights ● Safeguard announced certain organizational changes to drive shareholder returns |
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| April 30, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 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): April 30, 2020 Safeguard Scientifics, Inc. |
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| April 30, 2020 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 10-Q (Mark One) ☑ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Quarterly Period Ended March 31, 2020 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Transition Period From to Commission File Number 1-5620 Safeguard Scientifics, Inc. |
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| April 21, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 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): April 20, 2020 Safeguard Scientifics, Inc. |
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| April 21, 2020 |
Exhibit 10.1 GENERAL RELEASE AND AGREEMENT This GENERAL RELEASE AND AGREEMENT (hereinafter the “Agreement”) is made and entered into as of this 20th day of April, 2020, by and between Safeguard Scientifics, Inc. (“Safeguard”) and Brian J. Sisko (“Employee”). 1. Background and Consideration. (a) The parties hereto acknowledge that this Agreement is being entered into pursuant to the terms of the em |
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| April 6, 2020 |
SFE / Safeguard Scientifics, Inc. DEFA14A - - DEFA14A DEFA14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) |
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| April 6, 2020 |
Employment Agreement, dated March 30, 2020, by and between the Company and Eric Salzman. Exhibit 10.1 SAFEGUARD March 30, 2020 Via email Eric Salzman Dear Eric: Safeguard Scientifics, Inc. ("Safeguard" or the "Company") is pleased to offer you a position as Chief Restructuring Officer at Safeguard on the terms and subject to the conditions set forth in this letter. It would be intended that you would join the Company as the Chief Restructuring Officer, reporting to the Executive Chair |
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| April 6, 2020 |
Safeguard Scientifics Announces ORGANIZATIONAL CHANGES TO DRIVE SHAREHOLDER RETURNS Exhibit 99.1 Safeguard Scientifics Announces ORGANIZATIONAL CHANGES TO DRIVE SHAREHOLDER RETURNS • Brian Sisko to step down as CEO • Dr. Robert J. Rosenthal assumes role of Executive Chairman of the Board • Industry veteran, Eric C. Salzman, appointed Chief Restructuring Officer • Provides business update in light of COVID 19 Radnor, PA, April 6, 2020 — Safeguard Scientifics, Inc. (NYSE:SFE) ("Saf |
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| April 6, 2020 |
SFE / Safeguard Scientifics, Inc. DEF 14A - - DEF 14A DEF 14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. |
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| April 6, 2020 |
SFE / Safeguard Scientifics, Inc. DEFA14A - - DEFA14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐ Defin |
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| April 6, 2020 |
Employment Agreement, dated April 1, 2020, by and between the Company and Robert J. Rosenthal. Exhibit 10.2 Safeguard Scientifics, Inc. One Radnor Corp. Ctr. 100 Matsonford Road, Suite 110 Radnor, PA 19087 April 1, 2020 Robert Rosenthal xxxxxxxxxxxxxx xxxxxxxxxxxxxx Dear Bob: This letter agreement (“Agreement”) reflects your transition to Executive Chairman and Principal Executive Officer of Safeguard Scientifics, Inc. (“Safeguard”), effective on April 1, 2020 (Effective Date”). 1. Terms of |
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| April 6, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 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): March 30, 2020 Safeguard Scientifics, Inc. |
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| February 28, 2020 |
Code of Business Conduct and Ethics EXHIBIT 14.1 SAFEGUARD SCIENTIFICS, INC. CODE OF BUSINESS CONDUCT AND ETHICS I. Background - Administration The reputation and integrity of Safeguard Scientifics, Inc. (“Company”) is a valuable asset that is vital to our success. Each Company employee, including each of the Company’s officers, and each Company director is responsible for conducting the Company’s business in a manner that demonstra |
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| February 28, 2020 |
Compensation Summary — Non-employee Directors SAFEGUARD SCIENTIFICS, INC. COMPENSATION SUMMARY - NON-EMPLOYEE DIRECTORS Through September 30, 2019, each of our non-employee directors was compensated for his or her service as a director through cash payments as shown in the table below: Annual Board Retainers (for a full year of Board service): Chairman of the Board $100,000 Other Directors $50,000 Additional Annual Chairperson Retainers (for |
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| February 28, 2020 |
EXHIBIT 21.1 SUBSIDIARIES OF SAFEGUARD SCIENTIFICS, INC. Exclusive of immaterial subsidiaries and companies in which the Registrant holds a minority interest, as of February 28, 2020, the Registrant had the following subsidiaries: NAME PLACE OF INCORPORATION Bonfield VII, Ltd. British Virgin Islands Novitas Capital II Management, L.P. Pennsylvania Safeguard Capital Management, Inc. Delaware Safegu |
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| February 28, 2020 |
SFE / Safeguard Scientifics, Inc. 10-K - Annual Report - 10-K Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-K (Mark One) þ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2019 or ¨ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number 1-5620 |
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| February 27, 2020 |
Exhibit 99.1 Safeguard Scientifics Announces fourth Quarter and full-year 2019 Financial Results Conference call and webcast today at 9:00 a.m. ET Radnor, PA, February 27, 2020 — Safeguard Scientifics, Inc. (NYSE:SFE) (“Safeguard” or the “Company”) today announced financial results for the three months and 12 months ended December 31, 2019. Highlights · Safeguard has returned over $187 million to |
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| February 27, 2020 |
Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 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): February 27, 2020 Safeguard Scientifics, Inc. |
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| February 12, 2020 |
SFE / Safeguard Scientifics, Inc. / DIMENSIONAL FUND ADVISORS LP - SCHEDULE 13G/A Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 11)* SAFEGUARD SCIENTIFICS INC (Name of Issuer) Common Stock (Title of Class of Securities) 786449207 (CUSIP Number) December 31, 2019 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which t |
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| February 12, 2020 |
SFE / Safeguard Scientifics, Inc. / VANGUARD GROUP INC - SCHEDULE 13G/A Passive Investment SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Schedule 13G Under the Securities Exchange Act of 1934 (Amendment No.: 1)* Name of issuer: Safeguard Scientifics Inc Title of Class of Securities: Common Stock CUSIP Number: 786449207 Date of Event Which Requires Filing of this Statement: December 31, 2019 Check the appropriate box to designate the rule pursuant to which this Schedule is fi |
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| February 12, 2020 |
SFE / Safeguard Scientifics, Inc. / Vanguard Index Funds - SCHEDULE 13G Passive Investment SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Schedule 13G Under the Securities Exchange Act of 1934 Name of issuer: Safeguard Scientifics Inc Title of Class of Securities: Common Stock CUSIP Number: 786449207 Date of Event Which Requires Filing of this Statement: December 31, 2019 Check the appropriate box to designate the rule pursuant to which this Schedule is filed: ☒ Rule 13d-1(b) |
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| February 4, 2020 |
SFE / Safeguard Scientifics, Inc. / FIRST MANHATTAN CO - NONE Passive Investment Schedule 13G UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 10)* SAFEGUARD SCIENTIFIC INC (Name of Issuer) COMMON (Title of Class of Securities) 786449207 (CUSIP Number) Calendar Year 2019 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to |
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| November 12, 2019 |
SFE / Safeguard Scientifics, Inc. S-8 POS - - S-8 POS As filed with the Securities and Exchange Commission on November 12, 2019 Registration No. |
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| November 12, 2019 |
SFE / Safeguard Scientifics, Inc. S-8 POS - - S-8 POS As filed with the Securities and Exchange Commission on November 12, 2019 Registration No. |
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| November 7, 2019 |
SFE / Safeguard Scientifics, Inc. 10-Q - Quarterly Report - 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 10-Q (Mark One) þ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Quarterly Period Ended September 30, 2019 or ¨ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Transition Period From to Commission File Number 1-5620 Safeguard Scientifics, Inc. |
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| November 7, 2019 |
Exhibit 99.1 Safeguard Scientifics Announces THIRD Quarter 2019 Financial Results AND DECLARES CASH DIVIDEND OF $1.00 PER SHARE Board size to be reduced from six to four Conference call and webcast today at 9:00 a.m. ET Radnor, PA, November 7, 2019 — Safeguard Scientifics, Inc. (NYSE:SFE) (“Safeguard” or the “Company”) today announced financial results. For the three months ended September 30, 201 |
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| November 7, 2019 |
Financial Statements and Exhibits, Results of Operations and Financial Condition, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 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): November 7, 2019 Safeguard Scientifics, Inc. |
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| August 9, 2019 |
SFE / Safeguard Scientifics, Inc. 10-Q - Quarterly Report - 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 10-Q (Mark One) þ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Quarterly Period Ended June 30, 2019 or ¨ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Transition Period From to Commission File Number 1-5620 Safeguard Scientifics, Inc. |
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| August 8, 2019 |
Exhibit 99.1 Safeguard Scientifics Announces SECOND Quarter 2019 Financial Results Company is now debt free. Confirms intention to utilize excess capital to return value to shareholders. Conference call and webcast today at 9:00 a.m. ET Radnor, PA, August 8, 2019 — Safeguard Scientifics, Inc. (NYSE:SFE) (“Safeguard” or the “Company”) today announced financial results. For the three months ended Ju |
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| August 8, 2019 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 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 8, 2019 Safeguard Scientifics, Inc. |
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| May 29, 2019 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K/A Amendment No. |
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| May 23, 2019 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 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): May 22, 2019 Safeguard Scientifics, Inc. |
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| May 17, 2019 |
Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 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): May 17, 2019 Safeguard Scientifics, Inc. |
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| May 17, 2019 |
Exhibit 99.1 Safeguard Scientifics’ PARTNER COMPANY TRANSACTIS ACQUIRED BY mastercard Safeguard realizes approximately $57 million in cash proceeds, representing an approximate 3.9X cash-on-cash return and approximate 39% IRR Radnor, PA, May 17, 2019 — Safeguard Scientifics, Inc. (NYSE:SFE) (“Safeguard” or the “Company”) today announced that its partner company, Transactis, has been acquired by Ma |
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| May 3, 2019 |
SFE / Safeguard Scientifics, Inc. 10-Q Quarterly Report 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 10-Q (Mark One) þ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Quarterly Period Ended March 31, 2019 or ¨ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Transition Period From to Commission File Number 1-5620 Safeguard Scientifics, Inc. |
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| April 12, 2019 |
SFE / Safeguard Scientifics, Inc. DEFA14A DEFA14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) |
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| April 12, 2019 |
SFE / Safeguard Scientifics, Inc. DEF 14A DEF 14A Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. |
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| March 27, 2019 |
Exhibit 10.1 Execution Version COOPERATION AGREEMENT This AGREEMENT, dated as of March 26, 2019 (this “Agreement”), is made and entered into by and among Safeguard Scientifics, Inc., a Pennsylvania corporation (the “Company”), and each of the persons set forth on the signature page hereto (each, an “Investor” and collectively, the “Investors” or, with their respective affiliates and associates, th |
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| March 27, 2019 |
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): March 27, 2019 (March 26, 2019) SAFEGUARD SCIENTIFICS, INC. (Exact Name of Registrant as Specified in Its Charter) Pennsylvania (State or Other Jurisdiction of Incorporation) 1-5620 2 |
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| March 27, 2019 |
Safeguard Scientifics APPOINTS NEW independent DIRECTOR Exhibit 99.1 PRESS RELEASE Safeguard Scientifics APPOINTS NEW independent DIRECTOR Radnor, PA, March 26, 2019 — Safeguard Scientifics, Inc. (NYSE:SFE) (Safeguard or the Company) today announced that it has appointed a new independent director, Joseph M. Manko, Jr., to the Safeguard Board of Directors effective immediately and will support his re-election at the 2019 Annual Meeting of Shareholders |
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| March 27, 2019 |
SFE / Safeguard Scientifics, Inc. 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): March 27, 2019 (March 26, 2019) SAFEGUARD SCIENTIFICS, INC. (Exact Name of Registrant as Specified in Its Charter) Pennsylvania (State or Other Jurisdiction of Incorporation) 1-5620 2 |
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| March 27, 2019 |
Safeguard Scientifics, Inc. Press Release issued on March 27, 2019. Exhibit 99.1 PRESS RELEASE Safeguard Scientifics APPOINTS NEW independent DIRECTOR Radnor, PA, March 26, 2019 — Safeguard Scientifics, Inc. (NYSE:SFE) (Safeguard or the Company) today announced that it has appointed a new independent director, Joseph M. Manko, Jr., to the Safeguard Board of Directors effective immediately and will support his re-election at the 2019 Annual Meeting of Shareholders |
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| March 27, 2019 |
Exhibit 10.1 Execution Version COOPERATION AGREEMENT This AGREEMENT, dated as of March 26, 2019 (this “Agreement”), is made and entered into by and among Safeguard Scientifics, Inc., a Pennsylvania corporation (the “Company”), and each of the persons set forth on the signature page hereto (each, an “Investor” and collectively, the “Investors” or, with their respective affiliates and associates, th |
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| March 27, 2019 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D (Rule 13d-101) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO § 240.13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO § 240.13d-2(a) (Amendment No. 4)1 Safeguard Scientifics, Inc. (Name of Issuer) Common Stock, Par Value $0.10 Per Share (Title of Class of Securities) 786449207 (CUSIP Number) JOSEPH M. |
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| March 27, 2019 |
Exhibit 99.2 JOINT FILING AGREEMENT In accordance with Rule 13d-1(k) promulgated under the Securities Exchange Act of 1934, as amended, the undersigned agree to the joint filing with the Securities and Exchange Commission on behalf of each of them of a Statement on Schedule 13D (including amendments thereto) with respect to shares of common stock of Safeguard Scientifics, Inc., a Pennsylvania corp |
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| March 27, 2019 |
Exhibit 99.1 COOPERATION AGREEMENT This AGREEMENT, dated as of March 26, 2019 (this “Agreement”), is made and entered into by and among Safeguard Scientifics, Inc., a Pennsylvania corporation (the “Company”), and each of the persons set forth on the signature page hereto (each, an “Investor” and collectively, the “Investors” or, with their respective affiliates and associates, the “Investor Group” |
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| March 20, 2019 |
Exhibit 10.1 SUBLEASE AGREEMENT THIS SUBLEASE AGREEMENT (this “Sublease”) is made and entered into as of the 15th day of March, 2019, by and between SAFEGUARD SCIENTIFICS, INC., a Pennsylvania corporation (“Sublandlord”), having an address of 170 Radnor Chester Road, Suite 200, Radnor, Pennsylvania 19087, and xxxxxxx (“Subtenant”), having an address of xxxxxx. Background: A. Sublandlord is the ten |
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| March 20, 2019 |
Entry into a Material Definitive Agreement UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 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): March 15, 2019 Safeguard Scientifics, Inc. |
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| March 1, 2019 |
Code of Business Conduct and Ethics EXHIBIT 14.1 SAFEGUARD SCIENTIFICS, INC. CODE OF BUSINESS CONDUCT AND ETHICS I. Background - Administration The reputation and integrity of Safeguard Scientifics, Inc. (“Company”) is a valuable asset that is vital to our success. Each Company employee, including each of the Company’s officers, and each Company director is responsible for conducting the Company’s business in a manner that demonstra |
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| March 1, 2019 |
EXHIBIT 21.1 SUBSIDIARIES OF SAFEGUARD SCIENTIFICS, INC. Exclusive of immaterial subsidiaries and companies in which the Registrant holds a minority interest, as of March 1, 2019, the Registrant had the following subsidiaries: NAME PLACE OF INCORPORATION Bonfield VII, Ltd. British Virgin Islands Novitas Capital Management, L.P. Delaware Novitas Capital II Management, L.P. Pennsylvania Safeguard Ca |
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| March 1, 2019 |
Compensation Summary — Non-employee Directors SAFEGUARD SCIENTIFICS, INC. COMPENSATION SUMMARY - NON-EMPLOYEE DIRECTORS Effective as of July 1, 2018, non-employee directors are compensated for their service as a director as shown in the table below: Annual Board Retainers (for a full year of Board service): Chairman of the Board $100,000 Other Directors $50,000 Additional Annual Chairperson Retainers (for a full year of committee service): Au |
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| March 1, 2019 |
SFE / Safeguard Scientifics, Inc. 10-K (Annual Report) Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-K (Mark One) þ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2018 or ¨ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number 1-5620 |
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| February 19, 2019 |
Exhibit 99.1 Note: Throughout this document, certain confidential material contained herein has been omitted and has been separately filed with the Commission. Each place where such an omission has been made is marked with an [**] Amended and Restated Safeguard Scientifics, Inc. Transaction Bonus Plan Section 1. Purpose and History In connection with the Board’s strategic plan as approved by the B |
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| February 19, 2019 |
Transaction Bonus Plan Form Award Letter Exhibit 99.2 Transaction Bonus Plan Form Award Letter [DATE] Mr./Ms. INSERT ADDRESS Re: Transaction Bonus Plan Dear : It is my pleasure to inform you that you are eligible to participate in the Safeguard Scientifics, Inc. Transaction Bonus Plan, as amended and restated (the “Plan”). The purpose of the Plan is to provide you with an incentive to enhance stockholder value in connection with the Boar |
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| February 19, 2019 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 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): February 18, 2019 Safeguard Scientifics, Inc. |
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| February 19, 2019 |
Exhibit 99.3 SAFEGUARD SCIENTIFICS HIRes EVERCORE AS ITS FINANCIAL ADVISOR IN FURTHERANCE OF ITS STRATEGIC PLAN The Company also announced its intentions regarding return of capital matters Radnor, PA, February 19, 2019 — Safeguard Scientifics, Inc. (NYSE:SFE) (Safeguard or the Company) today announced that it has hired Evercore as its financial advisor as it continues to pursue its previously ann |
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| February 12, 2019 |
SFE / Safeguard Scientifics, Inc. / VANGUARD GROUP INC Passive Investment safeguardscientificsinc.htm - Generated by SEC Publisher for SEC Filing SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Schedule 13G Under the Securities Exchange Act of 1934 (Amendment No.: 0 )* Name of issuer: Safeguard Scientifics Inc Title of Class of Securities: Common Stock CUSIP Number: 786449207 Date of Event Which Requires Filing of this Statement: December 31, 2018 Check the ap |
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| February 11, 2019 |
SFE / Safeguard Scientifics, Inc. / FIRST MANHATTAN CO - NONE Passive Investment Schedule 13G UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 09)* SAFEGUARD SCIENTIFIC INC (Name of Issuer) COMMON (Title of Class of Securities) 786449207 (CUSIP Number) Calendar Year 2018 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to |
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| February 8, 2019 |
SFE / Safeguard Scientifics, Inc. / DIMENSIONAL FUND ADVISORS LP - SCHEDULE 13G/A Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 10)* SAFEGUARD SCIENTIFICS INC (Name of Issuer) Common Stock (Title of Class of Securities) 786449207 (CUSIP Number) December 31, 2018 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which t |
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| January 4, 2019 |
Entry into a Material Definitive Agreement UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 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): January 3, 2019 Safeguard Scientifics, Inc. |
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| January 4, 2019 |
Exhibit 10.1 Amendment No. 1 to Stock Repurchase Agreement This Amendment No. 1 to Stock Repurchase Agreement (the “Amendment”) dated as of January 3, 2019, by and among MediaMath Holdings, Inc., a Delaware corporation (the “Company”), and Safeguard Delaware, Inc., a Delaware corporation (the “Seller”), amends and modifies that certain Stock Repurchase Agreement, dated as of July 2, 2018 (the “Agr |
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| December 7, 2018 |
Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 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): December 3, 2018 Safeguard Scientifics, Inc. |
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| December 7, 2018 |
Exhibit 99.1 Safeguard Scientifics PARNTER COMPANY PROPELLER HEALTH TO BE AcQUIRED FOR $225 MILLION BY RESMED Safeguard expects to realize $41.4 million in cash proceeds, representing an approximate 3x cash-on-cash return and 34% IRR Radnor, PA, December 3, 2018 — Safeguard Scientifics, Inc. (NYSE:SFE) (Safeguard or the Company) today announced that its partner company, Propeller Health, signed a |
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| October 25, 2018 |
Safeguard Scientifics Announces Third Quarter 2018 Financial Results Exhibit 99.1 Safeguard Scientifics Announces Third Quarter 2018 Financial Results Conference call and webcast today at 9:00 a.m. ET RADNOR, Pa., Oct. 25, 2018 /PRNewswire/ - Safeguard Scientifics, Inc. (NYSE: SFE) (Safeguard or the Company) today announced financial results for the three months and nine months ended September 30, 2018 and provided a business update regarding the achievement of dev |
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| October 25, 2018 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 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 25, 2018 Safeguard Scientifics, Inc. |
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| October 25, 2018 |
SFE / Safeguard Scientifics, Inc. 10-Q (Quarterly Report) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 10-Q (Mark One) þ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Quarterly Period Ended September 30, 2018 or ¨ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Transition Period From to Commission File Number 1-5620 Safeguard Scientifics, Inc. |
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| September 18, 2018 |
Safeguard Scientifics APPOINTS mark herndon AS chief financial officer Exhibit 99.2 Safeguard Scientifics APPOINTS mark herndon AS chief financial officer Radnor, PA, September 18, 2018 — Safeguard Scientifics, Inc. (NYSE:SFE) (“Safeguard” or the “Company”) today announced that, effective September 21, 2018, Mark A. Herndon, CPA will join the Company as Senior Vice President and Chief Financial Officer, succeeding David Kille, who recently resigned to pursue another |
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| September 18, 2018 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 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): September 17, 2018 Safeguard Scientifics, Inc. |
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| September 18, 2018 |
Exhibit 99.1 September 17, 2018 Via email Mark A. Herndon, CPA ([email protected]) Dear Mark: Safeguard Scientifics, Inc. is pleased to offer you a position as Senior Vice President and Chief Financial Officer at Safeguard on the terms and subject to the conditions set forth in this letter. It would be intended that you would join the Company as an employee as soon as practicable (the “Commenc |
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| August 31, 2018 |
Safeguard Scientifics Announces Pending Change In Chief Financial Officer Safeguard Scientifics Announces Pending Change In Chief Financial Officer RADNOR, Pa. |
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| August 31, 2018 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 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 27, 2018 Safeguard Scientifics, Inc. |
