UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
FORM
CURRENT
REPORT
Pursuant to Section 13 or 15(d)
of the Securities Exchange Act of 1934
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Item 8.01 – Other Events
On September 15, 2025, GlassBridge Enterprises, Inc. (the “Company”) received an Order Instituting Administrative Proceedings and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934 (the “Order”), dated September 11, 2025, by the Securities and Exchange Commission (the “SEC”), naming the Company as a respondent, a copy of which is attached hereto as Exhibit 99.1. In the Order, the SEC stated that the Company is delinquent in its periodic filings with the SEC, failed to meet its obligations to file timely reports and failed to comply with Section 13(a) of the Securities Exchange Act of 1934 (the “Exchange Act”) and Rules 13a-1 and 13a-13 thereunder. As stated in the Order, the SEC has deemed it necessary and appropriate for public administrative proceedings to be instituted to determine, among other things, whether it is necessary and appropriate to suspend for a period not exceeding twelve months, or revoke the registration of each class of securities of the Company registered pursuant to Section 12 of the Exchange Act. The Order states that (i) a public hearing before the SEC shall be convened at a time and place to be fixed by further order of the SEC, (ii) the Company will have ten (10) days after the date of service of the Order to provide the SEC with an answer to the Order; and (iii) the Division of Enforcement of the SEC and the Company shall conduct a prehearing conference within fourteen (14) days of service of the answer.
Item 9.01 – Financial Statements and Exhibits.
(d) Exhibits
| 99.1 | Order Instituting Administrative Proceedings and Notice and Notice of Hearing Pursuant to Section 12(j) of the Securities Exchange Act of 1934 |
| 104 | Cover Page Interactive Data File (embedded within the Inline XBRL document) |
SIGNATURE
Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.
| GlassBridge Enterprises, Inc. | ||
| Date: September 17, 2025 | By: | /s/ Daniel Strauss |
| Daniel Strauss | ||
| Chief Executive Officer | ||