Washington, DC 20549





to Section 13 or 15(d) of the

Securities Exchange Act of 1934


Date of report (Date of earliest event reported): February 4, 2019



(Exact Name of Registrant as Specified in Its Charter)


New York





(State or Other Jurisdiction of

Incorporation or Organization)


(Commission File Number)


(IRS Employer Identification No.)


355 South Technology Drive

Central Islip, New York




(Address of Principal Executive Offices)


(Zip Code)


Registrant’s Telephone Number, Including Area Code: (631) 981-7081


(Former Name or Former Address, if Changed Since Last Report)


Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions (see General Instruction A.2. below):


Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)



Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)



Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))



Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))


Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (§230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (§240.12b-2 of this chapter).

Emerging growth company ☐


If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. ☐





Item 5.02

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers.


On February 4, 2019, Glen R. Charles, the Chief Financial Officer and Secretary of CVD Equipment Corporation (the “Company”), resigned from all positions with the Company, effective as of March 1, 2019.


On February 4, 2019, the Company appointed Thomas McNeill, age 56, as the Company’s Chief Financial Officer and Secretary, effective as of March 4, 2019 (the “Start Date”).


Mr. McNeill has been a Chief Financial Officer (“CFO”) since 1996 and has seventeen years’ of SEC reporting experience with two public companies, as well as a full range of financial and operational experience.  Since April 2015, he has been CFO at Century Direct, LLC, a printing and mailing company serving the direct mail marketing industry.  From November 2014 to April 2015, he was a consultant at Mailmen Inc. until its assets were purchased by Century Direct, LLC.  Mr. McNeill was CFO/COO at Nina Mclemore from July 2013 to June 2014, a woman’s retail apparel Company.  On the Public reporting side, he was CFO at DineWise, Inc. from April 2006 to April 2013, a direct to consumer prepared frozen foods company, and from October 1996 to April 2006, was CFO at Global Payment Technologies, Inc, a hi-tech manufacturing and engineering company.  Mr. McNeill is a Certified Public Accountant who began his career at KPMG, achieving the position of audit manager. Mr. McNeill holds a BBA in accounting from Hofstra University.  


In connection with his appointment, Mr. McNeill will receive an initial annual base salary of $218,000. In addition, on the Start Date, Mr. McNeill will be issued 10,000 restricted stock units, of which 2,500 units shall vest on the first anniversary of the Start Date, 2,500 units shall vest on the second anniversary of the Start Date, and 5,000 units shall vest on the third anniversary of the Start Date.


Item 8.01

Other Events.


On February 7, 2019, the Company issued a press release reporting the appointment of Mr. McNeill as CFO and Secretary. A copy of the press release is attached hereto as Exhibit 99.1 and incorporated by reference herein.


Item 9.01

Financial Statements and Exhibits


(d) Exhibits


Exhibit No.



Press release dated February 7, 2019.







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 thereunto duly authorized.


Date:  February 7, 2019










/s/ Leonard A. Rosenbaum



Leonard A. Rosenbaum



Chairman, President and Chief Executive Officer