SUNW SEC फाइलिंग - Sunworks, Inc.- वार्षिक रिपोर्ट, प्रॉक्सी स्टेटमेंट, प्रॉस्पेक्टस

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CIK	1172631

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 Sunworks, Inc.

SEC Filings (Chronological Order)

यह पृष्ठ SEC फाइलिंग की एक पूरी, कालानुक्रमिक सूची प्रदान करता है, ओनरशिप फाइलिंग को छोड़कर, जो हम अन्यत्र प्रदान करते हैं।

February 14, 2024	8-K	Bankruptcy or Receivership, Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing 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 6, 2024 SUNWORKS, INC.
February 13, 2024	SC 13G/A	SUNWW / Sunworks, 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: Sunworks Inc Title of Class of Securities: Common Stock CUSIP Number: 86803X204 Date of Event Which Requires Filing of this Statement: December 29, 2023 Check the appropriate box to designate the rule pursuant to which this Schedule is filed: ☒ Rule 1
February 6, 2024	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): February 5, 2024 SUNWORKS, INC. (Ex 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 5, 2024 SUNWORKS, INC.
January 8, 2024	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): January 5, 2024 SUNWORKS, INC. (Exa 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 5, 2024 SUNWORKS, INC.
December 12, 2023	8-K	Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers 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 6, 2023 SUNWORKS, INC.
November 13, 2023	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): November 10, 2023 SUNWORKS, INC. (E 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 10, 2023 SUNWORKS, INC.
November 13, 2023	10-Q	UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2023 OR ☐ TRANSITION REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number 001-36868 SUNWORKS, INC. (Ex
November 13, 2023	EX-99.1	SUNWORKS ANNOUNCES THIRD QUARTER 2023 RESULTS Exhibit 99.1 SUNWORKS ANNOUNCES THIRD QUARTER 2023 RESULTS PROVO, UT., November 10, 2023 - Sunworks, Inc. (Nasdaq: SUNW), a leading provider of solar power, battery storage, and electric vehicle charging solutions for residential, agriculture, commercial, industrial, and public works markets, today announced financial results for the three months ended September 30, 2023. THIRD QUARTER 2023 RESULT
November 13, 2023	EX-3.1	Amended and Restated Certificate of Incorporation (as updated through September 26, 2023). Exhibit 3.1 (As Updated Through September 26, 2023) AMENDED AND RESTATED CERTIFICATE OF INCORPORATION OF SUNWORKS, INC. Sunworks, Inc. (the “Corporation”), organized and existing under and by virtue of the General Corporation Law of the State of Delaware, does hereby certify: FIRST: The name of this corporation is SUNWORKS, INC. SECOND: The address of this Corporation’s registered office in the St
October 18, 2023	EX-99.1	SUNWORKS ANNOUNCES CEO TRANSITION Exhibit 99.1 SUNWORKS ANNOUNCES CEO TRANSITION PROVO, UT / ACCESSWIRE / October 18, 2023 / Sunworks, Inc. (NASDAQ:SUNW), a high-performance solar and battery storage solutions provider across residential, agricultural, commercial, industrial and public works markets, today announced Gaylon Morris has decided to step down as Chief Executive Officer and Director and that its Board of Directors has e
October 18, 2023	EX-10.1	Employment Agreement, dated October 16, 2023 between Sunworks, Inc. and Mark Trout. Exhibit 10.1 EMPLOYMENT AGREEMENT This EMPLOYMENT AGREEMENT (“Agreement”) is made effective as of the 16th day of October 2023, by and between Sunworks, Inc., a Delaware corporation (the “Company”), and Mark Trout, an individual (“Executive”), and is made with respect to the following facts: R E C I T A L S A. The Company and Executive wish to ensure that the Company will receive the benefit of Ex
October 18, 2023	8-K	Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Financial Statements and Exhibits 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 16, 2023 SUNWORKS, INC.
October 3, 2023	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): October 2, 2023 SUNWORKS, INC. (Exa 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 2, 2023 SUNWORKS, INC.
September 26, 2023	8-K	Submission of Matters to a Vote of Security Holders 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 22, 2023 SUNWORKS, INC.
August 28, 2023	424B5	$17,600,000 Common Stock Filed Pursuant to Rule 424(b)(5) Registration No. 333-252475 PROSPECTUS SUPPLEMENT (To Prospectus dated February 3, 2021) $17,600,000 Common Stock We have entered into an At Market Issuance Sales Agreement the (the “Sales Agreement”) with B. Riley Securities, Inc. (“B. Riley”) and Northland Securities, Inc. (“Northland”, and together with B. Riley, the “Sales Agents”) relating to the issuance and
August 28, 2023	EX-1.1	At Market Issuance Sales Agreement SUNWORKS, INC. Common Stock (par value $0.001 per share) At Market Issuance Sales Agreement August 28, 2023 B. Riley Securities, Inc. 299 Park Avenue, 21st Floor New York, NY 10171 Northland Securities, Inc. 150 South Fifth Street, Suite 3300 Minneapolis, Minnesota 55402 Ladies and Gentlemen: Sunworks, Inc., a Delaware corporation (the “Company”), confirms its agreement (this “Agreement”) with B.
August 28, 2023	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): August 28, 2023 SUNWORKS, INC. (Exa 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 28, 2023 SUNWORKS, INC.
August 28, 2023	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. ) 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.
August 16, 2023	PRE 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. ) 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.
August 14, 2023	10-Q	UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2023 OR ☐ TRANSITION REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number 001-36868 SUNWORKS, INC. (Exact n
August 14, 2023	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): August 14, 2023 SUNWORKS, INC. (Exa 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 14, 2023 SUNWORKS, INC.
August 14, 2023	EX-99.1	SUNWORKS ANNOUNCES SECOND QUARTER 2023 RESULTS Exhibit 99.1 SUNWORKS ANNOUNCES SECOND QUARTER 2023 RESULTS PROVO, UT., August 14, 2023 - Sunworks, Inc. (Nasdaq: SUNW), a leading provider of solar power and battery storage solutions for residential, agriculture, commercial, industrial, and public works markets, today announced financial results for the three months ended June 30, 2023. SECOND QUARTER 2023 RESULTS (As compared to the Second Quar
August 11, 2023	424B5	3,300,000 Shares of Common Stock Filed Pursuant to Rule 424(b)(5) Registration No. 333-265336 PROSPECTUS SUPPLEMENT (To Prospectus dated August 5, 2022) 3,300,000 Shares of Common Stock Pursuant to this prospectus supplement and the accompanying base prospectus, we are offering 3,300,000 shares of our common stock, par value $0.001 per share, at an offering price of $1.00 per share. We have entered into a placement agency agreeme
August 11, 2023	EX-10.1	Securities Purchase Agreement, dated August 9, 2023 Exhibit 10.1 SECURITIES PURCHASE AGREEMENT This Securities Purchase Agreement (this “Agreement”) is dated as of August 9, 2023, between Sunworks, Inc., a Delaware corporation (the “Company”), and each purchaser identified on the signature pages hereto (each, including its successors and assigns, a “Purchaser” and collectively the “Purchasers”). WHEREAS, subject to the terms and conditions set fort
August 11, 2023	EX-99.1	Press Release, dated August 9, 2023 Exhibit 99.1
August 11, 2023	EX-1.1	Placement Agency Agreement, dated August 9, 2023 Exhibit 1.1 PLACEMENT AGENCY AGREEMENT August 9, 2023 Roth Capital Partners, LLC 888 San Clemente Drive, Suite 400 Newport Beach, CA 92660 Ladies and Gentlemen: Introduction. Subject to the terms and conditions herein (this “Agreement”), Sunworks, Inc., a Delaware corporation (the “Company”), hereby agrees to sell up to an aggregate of $3,300,000 of registered shares (the “Shares”) of the Company’
August 11, 2023	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): August 9, 2023 SUNWORKS, INC. (Exac 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 9, 2023 SUNWORKS, INC.
August 8, 2023	EX-99.1	SUNWORKS PROVIDES PRELIMINARY SECOND QUARTER 2023 BUSINESS UPDATE Exhibit 99.1 SUNWORKS PROVIDES PRELIMINARY SECOND QUARTER 2023 BUSINESS UPDATE PROVO, UT. August 2, 2023 - Sunworks, Inc. (Nasdaq: SUNW), a leading provider of solar power and battery storage solutions for residential, agriculture, commercial, industrial, and public works markets, today announced select preliminary operational and financial data for the three months ended June 30, 2023. PRELIMINAR
August 8, 2023	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): August 2, 2023 SUNWORKS, INC. (Exac 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 2, 2023 SUNWORKS, INC.
June 12, 2023	EX-10.1	Securities Purchase Agreement, dated June 8, 2023 Exhibit 10.1 SECURITIES PURCHASE AGREEMENT This Securities Purchase Agreement (this “Agreement”) is dated as of June 8, 2023, between Sunworks, Inc., a Delaware corporation (the “Company”), and each purchaser identified on the signature pages hereto (each, including its successors and assigns, a “Purchaser” and collectively the “Purchasers”). WHEREAS, subject to the terms and conditions set forth
June 12, 2023	EX-1.1	Placement Agency Agreement, dated June 8, 2023 Exhibit 1.1 PLACEMENT AGENCY AGREEMENT June 8, 2023 Roth Capital Partners, LLC 888 San Clemente Drive, Suite 400 Newport Beach, CA 92660 Ladies and Gentlemen: Introduction. Subject to the terms and conditions herein (this “Agreement”), Sunworks, Inc., a Delaware corporation (the “Company”), hereby agrees to sell up to an aggregate of $4,617,000 of registered shares (the “Shares”) of the Company’s
June 12, 2023	EX-99.1	SUNWORKS ANNOUNCES $4.6 MILLION REGISTERED DIRECT OFFERING OF COMMON STOCK Exhibit 99.1 SUNWORKS ANNOUNCES $4.6 MILLION REGISTERED DIRECT OFFERING OF COMMON STOCK PROVO, UT / ACCESSWIRE/ June 8, 2023 / Sunworks, Inc. (Nasdaq: SUNW, “Sunworks” or the “Company”), a leading provider of solar power and battery storage solutions for residential, agriculture, commercial, industrial, and public works markets, today announced that it has entered into a definitive agreement with
June 12, 2023	424B5	4,050,000 Shares of Common Stock Filed Pursuant to Rule 424(b)(5) Registration No. 333-265336 PROSPECTUS SUPPLEMENT (To Prospectus dated August 5, 2022) 4,050,000 Shares of Common Stock Pursuant to this prospectus supplement and the accompanying base prospectus, we are offering 4,050,000 shares of our common stock, par value $0.001 per share, at an offering price of $1.14 per share. We have entered into a placement agency agreeme
June 12, 2023	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): June 8, 2023 SUNWORKS, INC. (Exact 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): June 8, 2023 SUNWORKS, INC.
May 23, 2023	EX-10.1	Factoring Agreement, dated May 4, 2023, between the Company and Produce Pay Inc. Exhibit 10.1
May 23, 2023	10-Q	Form 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT UNDER SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2023. Or ☐ TRANSITION REPORT UNDER SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number 001-36868 SUNWORKS, INC. (Name
May 15, 2023	NT 10-Q	Read Instruction (on back page) Before Preparing Form. Please Print or Type. Nothing in this form shall be construed to imply that the Commission has verified any information contained herein. OMB APPROVAL UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 OMB Number: 3235-0058 Expires: April 30, 2025 Estimated average burden hours per response. 2.50 FORM 12b-25 SEC FILE NUMBER 001-36868 CUSIP NUMBER NOTIFICATION OF LATE FILING 86803X204 (Check one): ☐ Form 10-K ☐ Form 20-F ☐ Form 11-K ☒ Form 10-Q ☐ Form 10-D ☐ Form N-CEN ☐ Form N-CSR For Period Ended: March 31, 202
May 10, 2023	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): May 4, 2023 SUNWORKS, INC. (Exact N 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 SUNWORKS, INC.
May 1, 2023	10-K/A	Form 10-K/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K/A (Amendment No. 1) (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 No. 001-3686
April 19, 2023	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): April 19, 2023 SUNWORKS, INC. (Exac 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 19, 2023 SUNWORKS, INC.
March 10, 2023	10-K	Form 10-K 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 No. 001-36868 SUNWORKS, INC. (Ex
March 10, 2023	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): March 10, 2023 SUNWORKS, INC. (Exac 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 10, 2023 SUNWORKS, INC.
March 10, 2023	EX-99.1	SUNWORKS REPORTS FOURTH QUARTER AND FULL-YEAR 2022 RESULTS Exhibit 99.1 SUNWORKS REPORTS FOURTH QUARTER AND FULL-YEAR 2022 RESULTS PROVO, UT., March 10, 2023 - Sunworks, Inc. (NASDAQ: SUNW), a leading provider of solar power and battery storage solutions for residential, agriculture, commercial, industrial, and public works markets, today announced financial results for the three and twelve-months ended December 31, 2022. FOURTH QUARTER 2022 RESULTS (As c
February 9, 2023	SC 13G	SUNWW / Sunworks, Inc. / VANGUARD GROUP INC - SCHEDULE 13G Passive Investment SC 13G 1 tv01989-sunworksinc.htm SCHEDULE 13G SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Schedule 13G Under the Securities Exchange Act of 1934 Name of issuer: Sunworks Inc. Title of Class of Securities: Common Stock CUSIP Number: 86803X204 Date of Event Which Requires Filing of this Statement: December 30, 2022 Check the appropriate box to designate the rule pursuant to which this
January 30, 2023	EX-10.1	Second Amendment to January 11, 2021 Employment Agreement between Sunworks, Inc. and Gaylon Morris Exhibit 10.1 AMENDMENT TO EMPLOYMENT AGREEMENT This Second Amendment to Employment Agreement (this “Amendment”), dated as of January 27, 2023 and effective as of January 1, 2023 (the “Amendment Effective Date”), is entered into by and between Gaylon Morris, an individual (the “Executive”), and Sunworks, Inc., a Delaware corporation (the “Company”). RECITALS A. Executive and the Company are parties
January 30, 2023	EX-10.2	Amendment to October 5, 2021 Employment Agreement between Sunworks, Inc. and Jason Bonfigt Exhibit 10.2 AMENDMENT TO EMPLOYMENT AGREEMENT This Amendment to Employment Agreement (this “Amendment”), dated as of January 27, 2023 and effective as of January 1, 2023 (the “Amendment Effective Date”), is entered into by and between Jason Bonfigt, an individual (the “Executive”), and Sunworks, Inc., a Delaware corporation (the “Company”). RECITALS A. Executive and the Company are parties to an
January 30, 2023	8-K	Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Financial Statements and Exhibits 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 27, 2023 SUNWORKS, INC.
November 8, 2022	EX-99.1	SUNWORKS REPORTS THIRD QUARTER 2022 RESULTS Exhibit 99.1 SUNWORKS REPORTS THIRD QUARTER 2022 RESULTS PROVO, UT., November 8, 2022 - Sunworks, Inc. (NASDAQ: SUNW), a leading provider of solar power and battery storage solutions for residential, agriculture, commercial, industrial, and public works markets, today announced financial results for the third quarter of 2022. THIRD QUARTER 2022 RESULTS (As compared to the Third Quarter 2021) ? Tot
November 8, 2022	10-Q	UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT UNDER SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2022. Or ☐ TRANSITION REPORT UNDER SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number 001-36868 SUNWORKS, INC. (N
November 8, 2022	8-K	Results of Operations and Financial Condition, Financial Statements and Exhibits 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 8, 2022 SUNWORKS, INC.
September 30, 2022	CORRESP	* * * * * September 30, 2022 Via EDGAR Submission U.S. Securities and Exchange Commission Division of Corporation Finance 100 F Street, N.E. Washington, D.C. 20549 Attention: Mr. Karl Hiller Branch Chief Division of Corporation Finance Office of Energy & Transportation Mark Wojciechowski Staff Accountant Re: Sunworks, Inc. Form 10-K for the Fiscal Year ended December 31, 2021 Filed March 11, 2022 File No. 0
September 20, 2022	EX-14.1	Redline Showing Amendments to Code of Ethics Exhibit 14.1 Redline Showing Amendments to Code of Ethics SUNWORKS, INC. CODE OF CONDUCT Adopted May 2018 Revised September 19, 2022 The business of Sunworks, Inc. (the ?Company?) shall be conducted with honesty and integrity and in accordance with the highest ethical and legal standards. This Code of Conduct (the ?Code?) has been adopted by the Company pursuant to Item 406 of Regulation S-K of th
September 20, 2022	8-K	Amendment to Registrant's Code of Ethics, or Waiver of a Provision of the Code of Ethics, Financial Statements and Exhibits 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 19, 2022 SUNWORKS, INC.
August 9, 2022	EX-99.1	SUNWORKS REPORTS SECOND QUARTER 2022 RESULTS Exhibit 99.1 SUNWORKS REPORTS SECOND QUARTER 2022 RESULTS PROVO, UT., August 9, 2022 - Sunworks, Inc. (NASDAQ: SUNW), a leading provider of solar power and battery storage solutions for residential, agriculture, commercial, industrial, and public works markets, today announced financial results for the second quarter of 2022. SECOND QUARTER 2022 RESULTS (As compared to the Second Quarter 2021) ? T
August 9, 2022	8-K	Results of Operations and Financial Condition, Financial Statements and Exhibits 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 9, 2022 SUNWORKS, INC.
August 9, 2022	10-Q	UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q (Mark One) ? QUARTERLY REPORT UNDER SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2022. Or ? TRANSITION REPORT UNDER SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number 001-36868 SUNWORKS, INC. (Name o
August 3, 2022	S-3/A	As filed with the Securities and Exchange Commission on August 3, 2022 As filed with the Securities and Exchange Commission on August 3, 2022 Registration No.
August 3, 2022	CORRESP	Sunworks, Inc. 1555 Freedom Boulevard Provo, UT 84604 August 3, 2022 CORRESP 1 filename1.htm Sunworks, Inc. 1555 Freedom Boulevard Provo, UT 84604 August 3, 2022 SUBMITTED VIA EDGAR Securities and Exchange Commission Division of Corporation Finance 100 F Street, N.E. Washington, D.C. 20549 Attention: Mr. Gregory Herbers Re: Sunworks, Inc. Acceleration Request Registration Statement on Form S-3 File No. 333-265336 Requested Date: August 5, 2022 Requested Time: 5:00
June 21, 2022	8-K	Submission of Matters to a Vote of Security Holders 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): June 15, 2022 SUNWORKS, INC.
June 9, 2022	8-K	Entry into a Material Definitive Agreement, Termination of a Material Definitive Agreement, Financial Statements and Exhibits 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): June 8, 2022 SUNWORKS, INC.
June 9, 2022	424B5	$26,800,000 Common Stock Filed Pursuant to Rule 424(b)(5) Registration No. 333-252475 PROSPECTUS SUPPLEMENT (To Prospectus dated February 3, 2021) $26,800,000 Common Stock We have entered into a sales agreement with Roth Capital Partners, LLC (Roth Capital Partners) and Northland Securities, Inc., the sales agents, relating to the issuance and sale of our common stock offered by this prospectus. In accordance with the ter
June 9, 2022	EX-1.1	Sales Agreement Exhibit 1.1 SUNWORKS, INC. Common Stock (par value $0.001 per share) Sales Agreement June 8, 2022 Roth Capital Partners, LLC 888 San Clemente Drive, Suite 400 Newport Beach, CA 92660 Northland Securities, Inc. 150 South Fifth Street, Suite 3300 Minneapolis, Minnesota 55402 Ladies and Gentlemen: Sunworks, Inc., a Delaware corporation (the ?Company?), confirms its agreement (this ?Agreement?) with R
June 1, 2022	S-3	Power of Attorney (included on the signature page of this registration statement) As filed with the Securities and Exchange Commission on May 31, 2022 Registration No.
June 1, 2022	EX-FILING FEES	Filing Fees. Exhibit 107 Calculation of Filing Fee Tables Form S-3 (Form Type) Sunworks, Inc. (Exact Name of Registrant as Specified in its Charter) Table 1: Newly Registered and Carry Forward Securities Security Type Security Class Title Fee Calculation or Carry Forward Rule Amount Registered (1) Proposed Maximum Offering Price Per Unit (1)(2) Maximum Aggregate Offering Price (1)(2) Fee Rate Amount of Registr
May 31, 2022	8-K	Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers 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 27, 2022 SUNWORKS, INC.
May 16, 2022	EX-99.1	SUNWORKS REPORTS FIRST QUARTER 2022 RESULTS Exhibit 99.1 SUNWORKS REPORTS FIRST QUARTER 2022 RESULTS PROVO, UT., May 16, 2022 - Sunworks, Inc. (NASDAQ: SUNW), a leading provider of solar power and battery storage solutions for residential, agriculture, commercial, industrial, and public works markets, today announced financial results for the first quarter of 2022. Financial results for the first quarter of 2022 include the operating result
May 16, 2022	10-Q	UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT UNDER SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2022. Or ☐ TRANSITION REPORT UNDER SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number 001-36868 SUNWORKS, INC. (Name
May 16, 2022	8-K	Results of Operations and Financial Condition, Financial Statements and Exhibits 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 16, 2022 SUNWORKS, INC.
April 29, 2022	DEF 14A	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 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)) ? Definitive Proxy Statement ? Definitive Additional Materials ? Soliciting Material Under Rule 14a-12 SUNWORKS, INC.
April 11, 2022	SC 13G/A	SUNWW / Sunworks, Inc. / Invesco Ltd. - SEC 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. 2 )* Sunworks Inc (Name of Issuer) Common Stock (Title of Class of Securities) 86803X204 (CUSIP Number) March 31, 2022 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Schedule is
March 11, 2022	EX-10.3	Form of Stock Option Agreement under the Sunworks, Inc. 2016 Equity Incentive Plan. Exhibit 10.3 SUNWORKS, INC. 2016 EQUITY INCENTIVE PLAN [NONQUALIFIED/INCENTIVE] STOCK OPTION AGREEMENT This [NONQUALIFIED/INCENTIVE] STOCK OPTION AGREEMENT (the ?Option Agreement?), dated as of and effective as of (the ?Grant Date?), is by and between Sunworks, Inc., a Delaware corporation (the ?Company?), and (the ?Optionee?), a key employee of the Company or of a subsidiary of the Company (a ?Re
March 11, 2022	EX-99.1	Sunworks Announces Fourth Quarter and Full-Year 2021 Financial Results Exhibit 99.1 Sunworks Announces Fourth Quarter and Full-Year 2021 Financial Results Backlog reaches $58 million as Company Overcomes Seasonal Weather and Supply Chain Disruptions; Company Enters 2022 With Experienced Team and Strong Demand PROVO, UT. March 11, 2022 - Sunworks, Inc. (Nasdaq: SUNW), a provider of solar power and battery storage solutions for residential, agriculture, commercial, ind
March 11, 2022	8-K	Results of Operations and Financial Condition, Financial Statements and Exhibits 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 11, 2022 SUNWORKS, INC.
March 11, 2022	10-K	UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K 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 No. 001-36868 SUNWORKS, INC. (Ex
March 11, 2022	EX-3.2	Bylaws of Sunworks, Inc. (as updated through June 2, 2021) (incorporated by reference to Exhibit 3.2 to the annual report on Form 10-K filed with the Securities and Exchange Commission on March 11, 2022). Exhibit 3.2 BYLAWS OF SUNWORKS, INC. (As Updated Through June 2, 2021) TABLE OF CONTENTS Page 1. NAME; EXECUTIVE OFFICES 1 1.1 Name of Corporation 1 1.2 Principal Office 1 1.3 Additional or New Offices 1 2. DEFINITIONS 1 2.1 Certificate of Incorporation 1 2.2 Common Stock 1 2.3 GCL 1 2.4 Shares Entitled to Vote 1 2.5 Voting Power 1 3. MEETINGS OF THE SHAREHOLDERS 2 3.1 Place of Meeting 2 3.2 Annua
March 11, 2022	EX-10.8	Amendment to the January 11, 2021 Employment Agreement between Sunworks, Inc. and Gaylon Morris. Exhibit 10.8 AMENDMENT TO EMPLOYMENT AGREEMENT This Amendment to Employment Agreement (this ?Amendment?), dated as of December 20, 2021 (the ?Amendment Effective Date?), is entered into by and between Gaylon Morris, an individual (the ?Executive?), and Sunworks, Inc., a Delaware corporation (the ?Company?). RECITALS A. Executive and the Company are parties to an Employment Agreement dated January
March 11, 2022	EX-10.2	Form of Restricted Share Unit Agreement under the Sunworks, Inc. 2016 Equity Incentive Plan. Exhibit 10.2 SUNWORKS, INC. RESTRICTED SHARE UNIT AGREEMENT This Restricted Share Unit Agreement (the ?Agreement?) is made and entered into as of the Grant Date, by and between Sunworks, Inc., a Delaware corporation (the ?Company?), and the person named below (the ?Grantee?), pursuant to the terms and conditions of the Sunworks, Inc. 2016 Equity Incentive Plan (the ?Plan?). Unless otherwise define
January 10, 2022	SC 13G/A	SUNWW / Sunworks, Inc. / Invesco Ltd. - SEC SCHEDULE 13G Passive Investment SC 13G/A 1 SEC13GFiling.htm SEC SCHEDULE 13G UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1 )* Sunworks Inc (Name of Issuer) Common Stock (Title of Class of Securities) 86803X204 (CUSIP Number) December 31, 2021 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to design
December 27, 2021	8-K	Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers 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 20, 2021 SUNWORKS, INC.
December 7, 2021	EX-99.1	Sunworks Names Patrick C. McCullough to Board of Directors Seasoned Executive brings more than 20 years of experience with Fortune 500 companies, as a senior officer and Board member, with specific expertise in retail energy and renewables to Sunwork Exhibit 99.1 Sunworks Names Patrick C. McCullough to Board of Directors Seasoned Executive brings more than 20 years of experience with Fortune 500 companies, as a senior officer and Board member, with specific expertise in retail energy and renewables to Sunworks Board PROVO, UT. December 3, 2021 - Sunworks, Inc. (Nasdaq: SUNW), a provider of solar power and battery storage solutions for resident
December 7, 2021	8-K	Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Financial Statements and Exhibits 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 1, 2021 SUNWORKS, INC.
November 12, 2021	10-Q	UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q (Mark One) ? QUARTERLY REPORT UNDER SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2021. Or ? TRANSITION REPORT UNDER SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number 001-36868 SUNWORKS, INC. (N
October 21, 2021	8-K	Entry into a Material Definitive Agreement, Results of Operations and Financial Condition, Other Events, Financial Statements and Exhibits 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 21, 2021 SUNWORKS, INC.
October 21, 2021	EX-99.1	Sunworks Announces Preliminary Third Quarter Financial Results Company ends September with a backlog of $51 million; Builds inventory levels to satisfy backlog and proactively address supply chain issues Exhibit 99.1 Sunworks Announces Preliminary Third Quarter Financial Results Company ends September with a backlog of $51 million; Builds inventory levels to satisfy backlog and proactively address supply chain issues PROVO, UT October 21, 2021 - Sunworks, Inc. (Nasdaq: SUNW), a provider of solar power and battery storage solutions for agriculture, commercial, industrial, public works, and resident
October 21, 2021	424B5	Common Stock Filed Pursuant to Rule 424(b)(5) Registration No. 333-252475 PROSPECTUS SUPPLEMENT (To Prospectus dated February 3, 2021) $25,000,000 Common Stock We have entered into a sales agreement with Roth Capital Partners, LLC, or Roth Capital Partners, the ?sales agent,? relating to the issuance and sale of our common stock offered by this prospectus. In accordance with the terms of the sales agreement, w
October 7, 2021	EX-99.1	Sunworks Significantly Bolsters Senior Leadership Team with Jason Bonfigt as CFO and Wayne Tomlinson as CIO Adds Accomplished Public Company CFO with Clean Tech Expertise; New CIO is a Proven Technology Leader with Track-Record Using Technology to Im Exhibit 99.1 Sunworks Significantly Bolsters Senior Leadership Team with Jason Bonfigt as CFO and Wayne Tomlinson as CIO Adds Accomplished Public Company CFO with Clean Tech Expertise; New CIO is a Proven Technology Leader with Track-Record Using Technology to Improve Efficiency PROVO, UTAH. October 7, 2021 - Sunworks, Inc. (Nasdaq: SUNW), a provider of solar power and battery storage solutions fo
October 7, 2021	8-K	Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Financial Statements and Exhibits 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 4, 2021 SUNWORKS, INC.
October 7, 2021	EX-10.1	Employment Agreement, dated October 5, 2021 between Sunworks, Inc. and Jason Bonfigt (incorporated by reference to the current report on Form 8-K filed with the Securities and Exchange Commission on October 7, 2021). Exhibit 10.1 EMPLOYMENT AGREEMENT This EMPLOYMENT AGREEMENT (?Agreement?) is made effective as of the 5th day of October 2021, by and between Sunworks, Inc., a Delaware corporation (the ?Company?), and Jason Bonfigt, an individual (?Executive?), and is made with respect to the following facts: R E C I T A L S A. The Company and Executive wish to ensure that the Company will receive the benefit of
August 13, 2021	10-Q	UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q (Mark One) ? QUARTERLY REPORT UNDER SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2021. Or ? TRANSITION REPORT UNDER SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number 001-36868 SUNWORKS, INC. (Name o
July 13, 2021	S-8	As Filed With the Securities and Exchange Commission on July 13, 2021 As Filed With the Securities and Exchange Commission on July 13, 2021 Registration No.
June 22, 2021	8-K	Submission of Matters to a Vote of Security Holders 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): June 16, 2021 SUNWORKS, INC.
June 7, 2021	8-K/A	Financial Statements and Exhibits, Completion of Acquisition or Disposition of Assets UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K/A CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): June 4, 2021 (April 8, 2021) SUNWORKS, INC.
June 7, 2021	EX-99.2	Solcius, LLC Exhibit 99.2 UNAUDITED PRO FORMA CONDENSED COMBINED FINANCIAL INFORMATION (Dollar amounts presented in thousands, except share and per share data) The following unaudited pro forma condensed combined financial information is presented to illustrate the estimated effect of the acquisition by Sunworks Inc. a Delaware corporation (the ?Company?) of Solcius, LLC., a California LLC (?Solcius?). On Apri
June 7, 2021	EX-99.1	SOLCIUS, LLC FINANCIAL STATEMENTS Years Ended December 31, 2020 and 2019 (Restated) Exhibit 99.1 SOLCIUS, LLC FINANCIAL STATEMENTS Years Ended December 31, 2020 and 2019 (Restated) TABLE OF CONTENTS Page INDEPENDENT AUDITOR?S REPORT 2 FINANCIAL STATEMENTS: Balance Sheets 3 Statements of Income and Changes in Member?s Equity 4 Statements of Cash Flows 5 Notes to the Financial Statements 6 INDEPENDENT AUDITOR?S REPORT To the Member of Solcius, LLC We have audited the accompanying f
June 3, 2021	DEFA14A	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 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)) [ ] Definitive Proxy Statement [X] Definitive Additional Materials [ ] Soliciting Material Under Rule 14a-12 SUNWORKS, INC.
June 3, 2021	8-K	Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year, Financial Statements and Exhibits 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): June 2, 2021 SUNWORKS, INC.
June 3, 2021	EX-3.1	Certificate of Amendment of Bylaws Exhibit 3.1 CERTIFICATE OF AMENDMENT OF THE BYLAWS OF SUNWORKS, INC. a Delaware corporation The undersigned hereby certifies that he is the duly elected, qualified and acting Chief Executive Officer of Sunworks, Inc., a Delaware corporation (the ?Corporation?), and that the Bylaws of the Corporation were amended by resolution of the Board of Directors of the Corporation, effective as of June 2, 20
May 21, 2021	8-K	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, 2021 SUNWORKS, INC.
May 14, 2021	10-Q	UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q (Mark One) [X] QUARTERLY REPORT UNDER SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2021. Or [ ] TRANSITION REPORT UNDER SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number 001-36868 SUNWORKS, INC. (N
May 14, 2021	EX-10.2	Restricted Stock Grant Agreement effective as of January 11, 2021 between Sunworks, Inc. and Gaylon Morris. Exhibit 10.2 SUNWORKS, INC. RESTRICTED STOCK GRANT AGREEMENT [***]: Certain confidential portions of this exhibit were omitted by means of marking such portions with asterisks because the identified confidential portions (i) are not material, and (ii) are the type that the registrant treats as private or confidential. This Restricted Stock Grant Agreement (the ?Agreement?) is made and entered into
May 6, 2021	DEF 14A	Amendment to Sunworks, Inc. 2016 Equity Incentive Plan (incorporated by reference to Schedule 14A filed with the Securities and Exchange Commission on May 6, 2021). UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 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] Definitive Proxy Statement [ ] Definitive Additional Materials [ ] Soliciting Material Under Rule 14a-12 SUNWORKS, INC.
April 29, 2021	8-K	Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers 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 26, 2021 SUNWORKS, INC.
April 19, 2021	EX-3.1	Certificate of Amendment of Bylaws Exhibit 3.1 CERTIFICATE OF AMENDMENT OF THE BYLAWS OF SUNWORKS, INC. a Delaware corporation The undersigned hereby certifies that he is the duly elected, qualified and acting Secretary of Sunworks, Inc., a Delaware corporation (the ?Corporation?), and that the Bylaws of the Corporation were amended by resolution of the Board of Directors of the Corporation, effective as of April 18, 2021, as follo
April 19, 2021	8-K	Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year, Other Events, Financial Statements and Exhibits 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 18, 2021 SUNWORKS, INC.
April 12, 2021	EX-99	JOINT FILING AGREEMENT JOINT FILING AGREEMENT In accordance with Rule 13d-1(k) (l) under the Securities Exchange Act of 1934, as amended, the undersigned hereby agree to the joint filing of the attached Schedule 13G, and any and all amendments thereto, and expressly authorize Invesco Ltd.
April 12, 2021	SC 13G	SCHEDULE 13G UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* Sunworks Inc (Name of Issuer) Common Stock (Title of Class of Securities) 86803X204 (CUSIP Number) March 31, 2021 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Schedule is fi
April 8, 2021	8-K	Regulation FD Disclosure, Entry into a Material Definitive Agreement, Financial Statements and Exhibits, Completion of Acquisition or Disposition of Assets 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 8, 2021 SUNWORKS, INC.
April 8, 2021	EX-2.1	Membership Interest Purchase Agreement, dated as of April 8, 2021, between Solcius Holdings, LLC and Sunworks United Inc. (incorporated by reference to the Current Report of Form 8-K filed with the Securities and Exchange Commission on April 8, 2021). Exhibit 2.1 MEMBERSHIP INTEREST PURCHASE AGREEMENT between SOLCIUS HOLDINGS, LLC and SUNWORKS UNITED INC. dated as of April 8, 2021 TABLE OF CONTENTS ARTICLE I DEFINITIONS 5 ARTICLE II PURCHASE AND SALE 18 Section 2.01 Purchase and Sale. 18 Section 2.02 Purchase Price. 18 Section 2.03 Closing Deliverables. 19 Section 2.04 Purchase Price Adjustment. 20 Section 2.05 PPP Loan. 22 Section 2.06 Closing
April 8, 2021	EX-99.1	Sunworks and Solcius to Combine, Creating Leading Solar Installation Company with Broad National Presence Transaction Provides Scale and Operating Efficiencies Exhibit 99.1 Sunworks and Solcius to Combine, Creating Leading Solar Installation Company with Broad National Presence Transaction Provides Scale and Operating Efficiencies ROSEVILLE, CA and PROVO, UT ? April 8, 2021 ? Sunworks, Inc. (NASDAQ: SUNW) (?Sunworks?), a provider of solar power and storage solutions for agriculture, commercial, industrial, public works, and residential markets, and Solci
March 26, 2021	10-K	Annual Report - UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K (Mark One) [X] 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 No. 001-36868 SUNWORKS, INC.
March 26, 2021	EX-3.1	Amended and Restated Certificate of Incorporation. (incorporated by reference to Exhibit 3.1 to the Registrant’s Annual Report on Form 10-K filed with the Securities and Exchange Commission on March 26, 2021). Exhibit 3.1 As Updated Amended and Restated Certificate of Incorporation AS UPDATED AMENDED AND RESTATED CERTIFICATE OF INCORPORATION OF SUNWORKS, INC. Sunworks, Inc. (the ?Corporation?), organized and existing under and by virtue of the General Corporation Law of the State of Delaware, does hereby certify: FIRST: The name of this corporation is SUNWORKS, INC. SECOND: The address of this Corporati
March 26, 2021	EX-21.1	LIST OF SUBSIDIARIES EXHIBIT 21.1 LIST OF SUBSIDIARIES NAME OF SUBSIDIARY STATE OF INCORPORATION Sunworks United, Inc. MD Energy, Inc. Plan B Enterprises, Inc., a California corporation d/b/a Universal Racking Solutions California California California
February 11, 2021	EX-1.1	Sales Agreement, dated February 10, 2021, between Sunworks, Inc. and Roth Capital Partners, LLC Exhibit 1.1 SUNWORKS, INC. Common Stock (par value $0.001 per share) Sales Agreement February 10, 2021 Roth Capital Partners, LLC 888 San Clemente Drive, Suite 400 Newport Beach, CA 92660 Ladies and Gentlemen: Sunworks, Inc., a Delaware corporation (the “Company”), confirms its agreement (this “Agreement”) with Roth Capital Partners, LLC (the “Agent”) as follows: 1. Issuance and Sale of Shares. Th
February 11, 2021	8-K	Results of Operations and Financial Condition, Entry into a Material Definitive Agreement, Financial Statements and Exhibits - 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 10, 2021 SUNWORKS, INC.
February 11, 2021	424B5	$50,000,000 Common Stock Filed Pursuant to Rule 424(b)(5) Registration No. 333-252475 PROSPECTUS SUPPLEMENT (To Prospectus dated February 3, 2021) $50,000,000 Common Stock We have entered into a Sales Agreement, or the sales agreement, with Roth Capital Partners, LLC, or Roth Capital Partners, the “sales agent,” relating to the issuance and sale of our common stock offered by this prospectus. In accordance with the terms
February 11, 2021	EX-99.1	Sunworks Announces Preliminary Fourth Quarter and Year End Financial Results Company enters 2021 with more than $39 million in cash and $42 million in backlog Exhibit 99.1 Sunworks Announces Preliminary Fourth Quarter and Year End Financial Results Company enters 2021 with more than $39 million in cash and $42 million in backlog ROSEVILLE, Calif. February 9, 2021 - Sunworks, Inc. (Nasdaq: SUNW), a provider of solar power and battery storage solutions for agriculture, commercial, industrial, public works, and residential markets, today announced prelimin
February 1, 2021	CORRESP	- Sunworks, Inc. 1030 Winding Creek Road, Suite 100 Roseville, California 95678 February 1, 2021 SUBMITTED VIA EDGAR Securities and Exchange Commission Division of Corporation Finance 100 F Street, N.E. Washington, D.C. 20549 Attention: Kevin Stertzel Re: Sunworks, Inc. Acceleration Request Registration Statement on Form S-3 Filed January 27, 2021 File No. 333-252475 Ladies and Gentlemen: In accorda
January 27, 2021	S-3	- As filed with the Securities and Exchange Commission on January 26, 2021 Registration No.
January 13, 2021	EX-99.1	Transformational Leader with Established History of Driving Growth to Lead Sunworks Exhibit 99.1 Transformational Leader with Established History of Driving Growth to Lead Sunworks ROSEVILLE, Calif., Jan. 11, 2021 (GLOBE NEWSWIRE) — Sunworks, Inc. (Nasdaq: SUNW), a provider of solar power solutions for agriculture, commercial and industrial (ACI), public works and residential markets, today announced that the company’s Board of Directors has appointed Gaylon Morris as its new Chi
January 13, 2021	EX-10.1	Employment Agreement effective as of January 11, 2021 between Sunworks, Inc. and Gaylon Morris (incorporated by reference to the current report on Form 8-K filed with the Securities and Exchange Commission on January 13, 2021). Exhibit 10.1 EMPLOYMENT AGREEMENT This EMPLOYMENT AGREEMENT (“Agreement”) is made effective as of the 11th day of January 2021, by and between Sunworks, Inc., a Delaware corporation (the “Company”), and Gaylon Morris, an individual (“Executive”), and is made with respect to the following facts: R E C I T A L S A. The Company and Executive wish to ensure that the Company will receive the benefit of
January 13, 2021	8-K	Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Financial Statements and Exhibits - 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 11, 2021 SUNWORKS, INC.
December 21, 2020	8-K	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 18, 2020 SUNWORKS, INC.
December 21, 2020	424B5	$14,600,000 Common Stock Filed Pursuant to Rule 424(b)(5) Registration No. 333-231653 PROSPECTUS SUPPLEMENT (To Prospectus dated May 31, 2019) $14,600,000 Common Stock We have entered into an At Market Issuance Sales Agreement, or the sales agreement, with B. Riley Securities, Inc., or B. Riley Securities, the “sales agent”, relating to the issuance and sale of our common stock offered by this prospectus. In accordance wi
December 8, 2020	EX-99.1	Sunworks Pays Off Debt and Strengthens Balance Sheet Company Completes ATM Offering – Raises $20 Million in Cash; Pays off $2.7 Million CrowdOut Capital Debt EX-99.1 2 ex99-1.htm Exhibit 99.1 Sunworks Pays Off Debt and Strengthens Balance Sheet Company Completes ATM Offering – Raises $20 Million in Cash; Pays off $2.7 Million CrowdOut Capital Debt ROSEVILLE, California; December 7, 2020 - Sunworks, Inc. (Nasdaq: SUNW), a provider of solar power solutions for agriculture, commercial and industrial (ACI), public works and residential markets, today annou
December 8, 2020	8-K	Other Events, Financial Statements and Exhibits - 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, 2020 SUNWORKS, INC.
November 25, 2020	424B5	$20,000,000 Common Stock Filed Pursuant to Rule 424(b)(5) Registration No. 333-231653 PROSPECTUS SUPPLEMENT (To Prospectus dated May 31, 2019) $20,000,000 Common Stock We have entered into an At Market Issuance Sales Agreement, or the sales agreement, with B. Riley Securities, Inc., or B. Riley Securities, the “sales agent”, relating to the issuance and sale of our common stock offered by this prospectus. In accordance wi
November 25, 2020	8-K	Other Events, Financial Statements and Exhibits - 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 25, 2020 SUNWORKS, INC.
November 12, 2020	EX-99.1	Sunworks Reports on Special Meeting of Stockholders —Merger Proposal with Peck Company Fails to Win Stockholder Approval— EX-99.1 2 ex99-1.htm Exhibit 99.1 Sunworks Reports on Special Meeting of Stockholders —Merger Proposal with Peck Company Fails to Win Stockholder Approval— ROSEVILLE, California; November 12, 2020 - Sunworks, Inc. (Nasdaq: SUNW), a provider of solar power solutions for agriculture, commercial and industrial (ACI), public works and residential markets, today announced that the proposed merger with
November 12, 2020	8-K	Termination of a Material Definitive Agreement, Submission of Matters to a Vote of Security Holders, Other Events, Financial Statements and Exhibits - 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 12, 2020 SUNWORKS, INC.
November 6, 2020	425	Merger Prospectus - Filed by Sunworks, Inc. pursuant to Rule 425 under the Securities Act of 1933 and deemed filed pursuant to Rule 14a-12 under the Securities Exchange Act of 1934 Subject Company: Sunworks, Inc. (SEC File No.: 001-36868) Date: November 6, 2020 The following letter was distributed to certain stockholders of Sunworks, Inc. on November 6, 2020. November 6, 2020 Dear Stockholder, Thank you for your inve
November 2, 2020	8-K	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): October 30, 2020 SUNWORKS, INC.
November 2, 2020	425	Merger Prospectus - 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 30, 2020 SUNWORKS, INC.
November 2, 2020	10-Q	Quarterly Report - UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q (Mark One) [X] QUARTERLY REPORT UNDER SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2020. Or [ ] TRANSITION REPORT UNDER SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number 001-36868 SUNWORKS, INC
October 15, 2020	DEFM14A	- DEFM14A TABLE OF CONTENTS UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 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)) ☒ Definitive Proxy Statement ☐ Definitive Additional Materials ☐ Soliciting Material Under Rule 14a-12 SUNWORKS, INC.
October 13, 2020	8-K	Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers - 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 7, 2020 SUNWORKS, INC.
October 13, 2020	425	Merger Prospectus - 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 7, 2020 SUNWORKS, INC.
October 7, 2020	425	Merger Prospectus - Filed by Sunworks, Inc. pursuant to Rule 425 under the Securities Act of 1933 and deemed filed pursuant to Rule 14a-12 under the Securities Exchange Act of 1934 Subject Company: Sunworks, Inc. (SEC File No.: 001-36868) Date: October 7, 2020 Sunworks Announces $10 Million in Q3 Project Wins, Representing an Acceleration in Activity and Improving Market Conditions $3.6 Million in Projects Signed in
September 25, 2020	8-K	Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing - 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 22, 2020 SUNWORKS, INC.
September 2, 2020	8-K	Submission of Matters to a Vote of Security Holders - 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 26, 2020 SUNWORKS, INC.
August 19, 2020	DEFA14A	- UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No.
August 10, 2020	EX-3.1	Certificate of Amendment of Bylaws (incorporated by reference to the current report on Form 8-K filed with the Securities and Exchange Commission on August 10, 2020). Exhibit 3.1 CERTIFICATE OF AMENDMENT OF THE BYLAWS OF SUNWORKS, INC. a Delaware corporation The undersigned hereby certifies that he is the duly elected, qualified and acting Secretary of Sunworks, Inc., a Delaware corporation (the “Corporation”), and that the Bylaws of the Corporation were amended by resolution of the Board of Directors of the Corporation, effective as of August 8, 2020, to add a
August 10, 2020	EX-10.2	U.S. Small Business Administration, Note and SBA Loan # 1319647201 between Sunworks United, Inc. and Tri Counties Bank. Exhibit 10.2
August 10, 2020	425	Merger Prospectus - Filed by Sunworks, Inc. pursuant to Rule 425 under the Securities Act of 1933 and deemed filed pursuant to Rule 14a-12 under the Securities Exchange Act of 1934 Subject Company: Sunworks, Inc. (SEC File No.: 001-36868) Date: August 10, 2020 The following communication was made by Sunworks, Inc. beginning on August 10, 2020. August 10, 2020 To our Key Stakeholders: We are excited to announce our in
August 10, 2020	EX-99.2	Sunworks Reports Second Quarter 2020 Results Company Reports Improved Cash Balance and Gross Margin; Announces Merger Agreement and Executive Management Changes; Regains Compliance with Nasdaq Minimum Bid Price Requirements EX-99.2 7 ex99-2.htm Exhibit 99.2 Sunworks Reports Second Quarter 2020 Results Company Reports Improved Cash Balance and Gross Margin; Announces Merger Agreement and Executive Management Changes; Regains Compliance with Nasdaq Minimum Bid Price Requirements ROSEVILLE, Calif. August 10, 2020 - Sunworks, Inc. (Nasdaq: SUNW) (“Sunworks”), a provider of solar power solutions for agriculture, commercia
August 10, 2020	EX-99.2	Sunworks Reports Second Quarter 2020 Results Company Reports Improved Cash Balance and Gross Margin; Announces Merger Agreement and Executive Management Changes; Regains Compliance with Nasdaq Minimum Bid Price Requirements Exhibit 99.2 Sunworks Reports Second Quarter 2020 Results Company Reports Improved Cash Balance and Gross Margin; Announces Merger Agreement and Executive Management Changes; Regains Compliance with Nasdaq Minimum Bid Price Requirements ROSEVILLE, Calif. August 10, 2020 - Sunworks, Inc. (Nasdaq: SUNW) (“Sunworks”), a provider of solar power solutions for agriculture, commercial and industrial (ACI
August 10, 2020	EX-99.1	The Peck Company Holdings to Acquire Sunworks via Share Exchange, Creating an Industry Leading Solar EPC with National Presence All-Stock Transaction Provides Scale and Operating Efficiencies to Accelerate Revenue Growth and Margin Expansion Conferen EX-99.1 6 ex99-1.htm Exhibit 99.1 The Peck Company Holdings to Acquire Sunworks via Share Exchange, Creating an Industry Leading Solar EPC with National Presence All-Stock Transaction Provides Scale and Operating Efficiencies to Accelerate Revenue Growth and Margin Expansion Conference Call Scheduled for Today at 5:30 p.m. ET SOUTH BURLINGTON, VT and ROSEVILLE, CA – Business Wire – August 10, 2020
August 10, 2020	EX-2.1	Agreement and Plan of Merger, dated August 10, 2020, by and among Sunworks, Inc., The Peck Company Holdings and Peck Mercury, Inc. EX-2.1 2 ex2-1.htm Exhibit 2.1 TABLE OF CONTENTS ARTICLE I THE MERGER 7 Section 1.01 The Merger. 7 Section 1.02 Closing. 7 Section 1.03 Effective Time. 7 Section 1.04 Effects of the Merger. 7 Section 1.05 Certificate of Incorporation; By-Laws. 8 Section 1.06 Directors and Officers. 8 ARTICLE II EFFECT OF THE MERGER ON CAPITAL STOCK; EXCHANGE OF CERTIFICATES 8 Section 2.01 Effect of the Merger on C
August 10, 2020	EX-10.1	Loan Agreement made April 25, 2020 between Sunworks United, Inc. and Tri Counties Bank with U.S. Small Business Administration Guarantee. Exhibit 10.1
August 10, 2020	EX-3.1	Certificate of Amendment of Bylaws Exhibit 3.1 CERTIFICATE OF AMENDMENT OF THE BYLAWS OF SUNWORKS, INC. a Delaware corporation The undersigned hereby certifies that he is the duly elected, qualified and acting Secretary of Sunworks, Inc., a Delaware corporation (the “Corporation”), and that the Bylaws of the Corporation were amended by resolution of the Board of Directors of the Corporation, effective as of August 8, 2020, to add a
August 10, 2020	EX-10.3	Third Amendment to Loan Agreement, dated April 28, 2020 between CrowdOut Capital LLC and Sunworks, Inc. Exhibit 10.3
August 10, 2020	EX-2.1	Agreement and Plan of Merger, dated August 10, 2020, by and among Sunworks, Inc., The Peck Company Holdings and Peck Mercury, Inc. Exhibit 2.1 TABLE OF CONTENTS ARTICLE I THE MERGER 7 Section 1.01 The Merger. 7 Section 1.02 Closing. 7 Section 1.03 Effective Time. 7 Section 1.04 Effects of the Merger. 7 Section 1.05 Certificate of Incorporation; By-Laws. 8 Section 1.06 Directors and Officers. 8 ARTICLE II EFFECT OF THE MERGER ON CAPITAL STOCK; EXCHANGE OF CERTIFICATES 8 Section 2.01 Effect of the Merger on Capital Stock. 8 Sec
August 10, 2020	EX-99.1	The Peck Company Holdings to Acquire Sunworks via Share Exchange, Creating an Industry Leading Solar EPC with National Presence All-Stock Transaction Provides Scale and Operating Efficiencies to Accelerate Revenue Growth and Margin Expansion Conferen Exhibit 99.1 The Peck Company Holdings to Acquire Sunworks via Share Exchange, Creating an Industry Leading Solar EPC with National Presence All-Stock Transaction Provides Scale and Operating Efficiencies to Accelerate Revenue Growth and Margin Expansion Conference Call Scheduled for Today at 5:30 p.m. ET SOUTH BURLINGTON, VT and ROSEVILLE, CA – Business Wire – August 10, 2020 – The Peck Company H
August 10, 2020	EX-10.1	Voting Agreement, dated August 10, 2020, by and between Sunworks, Inc. and Jeffrey Peck Exhibit 10.1 Voting Agreement This Voting Agreement (this “Agreement”), dated as of August 10, 2020 is entered into by and between the undersigned stockholder (“Stockholder”) of The Peck Company Holdings, Inc., a Delaware corporation (“Parent”), and Sunworks, Inc., a Delaware corporation (the “Company”). The Company and Stockholder are each sometimes referred to herein individually as a “Party” an
August 10, 2020	425	Merger Prospectus - 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, 2020 SUNWORKS, INC.
August 10, 2020	10-Q	Quarterly Report - UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q (Mark One) [X] QUARTERLY REPORT UNDER SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2020. Or [ ] TRANSITION REPORT UNDER SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number 001-36868 SUNWORKS, INC. (Na
August 10, 2020	EX-10.1	Voting Agreement, dated August 10, 2020, by and between Sunworks, Inc. and Jeffrey Peck EX-10.1 4 ex10-1.htm Exhibit 10.1 Voting Agreement This Voting Agreement (this “Agreement”), dated as of August 10, 2020 is entered into by and between the undersigned stockholder (“Stockholder”) of The Peck Company Holdings, Inc., a Delaware corporation (“Parent”), and Sunworks, Inc., a Delaware corporation (the “Company”). The Company and Stockholder are each sometimes referred to herein individ
August 10, 2020	8-K	Results of Operations and Financial Condition, Entry into a Material Definitive Agreement, Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year, Other Events, Financial Statements and Exhibits 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, 2020 SUNWORKS, INC.
August 10, 2020	EX-10.2	Voting Agreement, dated August 10, 2020, by and between Sunworks, Inc. and Mykilore Trust Exhibit 10.2 VOTING AGREEMENT This Voting Agreement (this “Agreement”), dated as of August 10, 2020 is entered into by and between the undersigned stockholder (“Stockholder”) of The Peck Company Holdings, Inc., a Delaware corporation (“Parent”), and Sunworks, Inc., a Delaware corporation (the “Company”). The Company and Stockholder are each sometimes referred to herein individually as a “Party” an
August 10, 2020	EX-10.2	Voting Agreement, dated August 10, 2020, by and between Sunworks, Inc. and Mykilore Trust Exhibit 10.2 VOTING AGREEMENT This Voting Agreement (this “Agreement”), dated as of August 10, 2020 is entered into by and between the undersigned stockholder (“Stockholder”) of The Peck Company Holdings, Inc., a Delaware corporation (“Parent”), and Sunworks, Inc., a Delaware corporation (the “Company”). The Company and Stockholder are each sometimes referred to herein individually as a “Party” an
July 8, 2020	DEF 14A	- UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 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] Definitive Proxy Statement [ ] Definitive Additional Materials [ ] Soliciting Material Under Rule 14a-12 SUNWORKS, INC.
June 17, 2020	PRE 14A	- UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant [X] Filed by a Party other than the Registrant [ ] Check the Appropriate Box: [X] Preliminary Proxy Statement [ ] Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) [ ] Definitive Proxy Statement [ ] Definitive Additional Materials [ ] Soliciting Material Under Rule 14a-12 SUNWORKS, INC.
June 3, 2020	EX-16.1	Letter from Liggett & Webb, PA dated June 3, 2020. Exhibit 16.1 June 3, 2020 Securities and Exchange Commission 100F Street N.E. Washington, D.C. 20549 Ladies and Gentlemen: We have read Item 4.01 of Form 8-K dated June 3, 2020, of Sunworks, Inc. (the “Company”) and we agree with the statements relating only to Liggett & Webb P.A. contained therein. We have no basis to agree or disagree with other statements of the Company contained therein. /s/ L
June 3, 2020	8-K	Changes in Registrant's Certifying Accountant, Financial Statements and Exhibits 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): June 1, 2020 SUNWORKS, INC.
May 7, 2020	10-Q	Quarterly Report - UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q (Mark One) [X] QUARTERLY REPORT UNDER SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2020. Or [ ] TRANSITION REPORT UNDER SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number 001-36868 SUNWORKS, INC. (N
May 7, 2020	EX-99.1	Sunworks Reports Financial Results for the First Quarter of 2020 Company Implements Cost Reduction Measures, Bolsters Cash Position In Response To COVID-19 Exhibit 99.1 Sunworks Reports Financial Results for the First Quarter of 2020 Company Implements Cost Reduction Measures, Bolsters Cash Position In Response To COVID-19 ROSEVILLE, Calif. May 7, 2020 - Sunworks, Inc. (Nasdaq: SUNW), a provider of solar power solutions for agriculture, commercial and industrial (ACI), public works and residential markets, announced financial results for the first qu
May 7, 2020	8-K	Results of Operations and Financial Condition, Financial Statements and Exhibits 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 7, 2020 SUNWORKS, INC.
April 30, 2020	8-K	Entry into a Material Definitive Agreement, Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant 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 28, 2020 SUNWORKS, INC.
March 30, 2020	10-K	SLTD / Solar3D, Inc. 10-K - Annual Report - UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K (Mark One) [X] 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 No. 001-36868 SUNWORKS, INC.
March 30, 2020	EX-3.1	Amended and Restated Certificate of Incorporation. EXHIBIT 3.1 As Updated Amended and Restated Certificate of Incorporation AS UPDATED AMENDED AND RESTATED CERTIFICATE OF INCORPORATION OF SUNWORKS, INC. Sunworks, Inc. (the “Corporation”), organized and existing under and by virtue of the General Corporation Law of the State of Delaware, does hereby certify: FIRST: The name of this corporation is SUNWORKS, INC. SECOND: The address of this Corporati
March 30, 2020	EX-99.1	Sunworks Reports Fourth Quarter 2019 Results — Company Takes Actions to Address Uncertain Business Environment — Exhibit 99.1 Sunworks Reports Fourth Quarter 2019 Results — Company Takes Actions to Address Uncertain Business Environment — ROSEVILLE, Calif. March 30, 2020 - Sunworks, Inc. (Nasdaq: SUNW), a provider of solar power solutions for agriculture, commercial and industrial (ACI), public works and residential markets, today announced financial results for the fourth quarter and year ended December 31,
March 30, 2020	8-K	Results of Operations and Financial Condition, Financial Statements and Exhibits 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 SUNWORKS, INC.
March 30, 2020	EX-21.1	LIST OF SUBSIDIARIES EXHIBIT 21.1 LIST OF SUBSIDIARIES NAME OF SUBSIDIARY STATE OF INCORPORATION Sunworks United, Inc. MD Energy, Inc. Plan B Enterprises, Inc., a California corporation d/b/a Universal Racking Solutions California California California
March 30, 2020	EX-4.3	Description of Registrant’s Capital Stock (incorporated by reference from the annual report on Form 10-K for the year ended December 31, 2019 filed with the Securities and Exchange Commission on March 30, 2020). EXHIBIT 4.3 DESCRIPTION OF CAPITAL STOCK The following is a summary of all material characteristics of the capital stock of Sunworks, Inc., as set forth in our Amended and Restated Certificate of Incorporation, as amended, or our Charter, and our Bylaws. References to “we,” “us,” or “our” refer to Sunworks, Inc. This summary does not purport to be complete and is qualified in its entirety by refer
March 17, 2020	8-K	Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing 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, 2020 SUNWORKS, INC.
January 29, 2020	EX-99.1	Sunworks Amends Term Loan Agreement and Agrees to Pay Down $1.5 Million in Debt as Part of Deleveraging Initiative Exhibit 99.1 Sunworks Amends Term Loan Agreement and Agrees to Pay Down $1.5 Million in Debt as Part of Deleveraging Initiative ROSEVILLE, Calif. January 29, 2020 - Sunworks, Inc. (Nasdaq: SUNW), a provider of solar power solutions for agriculture, commercial and industrial (ACI), public works and residential markets, today announced that the company has agreed to an amendment to its loan agreemen
January 29, 2020	EX-10.1	Second Amendment to Loan Agreement, dated January 28, 2020, between CrowdOut Capital, LLC and Sunworks, Inc. EX-10.1 2 ex10-1.htm Exhibit 10.1
January 29, 2020	8-K	Entry into a Material Definitive Agreement, Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Financial Statements and Exhibits 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 27, 2020 SUNWORKS, INC.
January 8, 2020	8-K	Results of Operations and Financial Condition, Financial Statements and Exhibits 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 8, 2020 SUNWORKS, INC.
January 8, 2020	EX-99.1	Sunworks Wins $11.5 Million in New Commercial Projects in December 2019; Adjusts 2019 Expectations Sunworks Wins $11.5 Million in New Commercial Projects in December 2019; Adjusts 2019 Expectations ROSEVILLE, Calif. January 8, 2020 - Sunworks, Inc. (Nasdaq: SUNW), a provider of solar power solutions for agriculture, commercial and industrial (ACI), public works and residential markets, today announced that the company has been awarded commercial project wins of $11.5 million in new commercial p
October 31, 2019	8-K	Results of Operations and Financial Condition, Financial Statements and Exhibits 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 31, 2019 SUNWORKS, INC.
October 31, 2019	EX-99.1	Sunworks Reports Third Quarter 2019 Results Sunworks Reports Third Quarter 2019 Results ROSEVILLE, Calif. October 31, 2019 - Sunworks, Inc. (Nasdaq: SUNW), a provider of solar power solutions for agriculture, commercial and industrial (ACI), public works and residential markets, today announced financial results for the third quarter and the nine months ended September 30, 2019. Third Quarter 2019 Highlights (Third Quarter of 2019 vs. Third
October 31, 2019	EX-10.1	Form of Director and Officer Indemnification Agreement (incorporated by reference from the quarterly report on Form 10-Q filed with the Securities and Exchange Commission on October 31, 2019). DIRECTOR AND OFFICER INDEMNIFICATION AGREEMENT This Director and Officer Indemnification Agreement, dated as of XX, 20XX and effective as of XX, 20XX (this “Agreement”), is made by and between Sunworks, Inc.
October 31, 2019	10-Q	SLTD / Solar3D, Inc. 10-Q - Quarterly Report - UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q (Mark One) [X] QUARTERLY REPORT UNDER SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2019. Or [ ] TRANSITION REPORT UNDER SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number 001-36868 SUNWORKS, INC
October 4, 2019	8-K	Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Financial Statements and Exhibits 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, 2019 SUNWORKS, INC.
October 4, 2019	EX-99.1	Sunworks Appoints Judith Hall to Board of Directors Experienced Executive and Legal Advisor with a Track Record in Renewable Energy Sunworks Appoints Judith Hall to Board of Directors Experienced Executive and Legal Advisor with a Track Record in Renewable Energy ROSEVILLE, Calif.
August 29, 2019	EX-3.1	Certificate of Amendment of Certificate of Incorporation of Sunworks, Inc. CERTIFICATE OF AMENDMENT OF CERTIFICATE OF INCORPORATION OF SUNWORKS, INC., a Delaware corporation Sunworks, Inc., a corporation organized and existing under and by virtue of the Delaware General Corporation Law, does hereby certify that: FIRST: The name of the corporation is Sunworks, Inc. (the “Corporation”) SECOND: The Board of Directors of the Corporation (the “Board of Directors”) has duly ad
August 29, 2019	EX-99.1	Sunworks Announces Reverse Stock Split Sunworks Announces Reverse Stock Split ROSEVILLE, Calif. August 29, 2019 - Sunworks, Inc. (Nasdaq: SUNW), a provider of solar power solutions for agriculture, commercial and industrial (ACI), public works and residential markets, today announced that it will effect a one-for-seven reverse stock split of its outstanding common stock. The purpose of the reverse stock split is to bring the company in
August 29, 2019	8-K	Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year, Other Events, Financial Statements and Exhibits 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 29, 2019 SUNWORKS, INC.
August 13, 2019	8-K	Submission of Matters to a Vote of Security Holders 8-K 1 form8-k.htm 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 7, 2019 SUNWORKS, INC. (Exact name of registrant as specified in its charter) Delaware 001-36868 01-0592299 (State or Other Jurisdiction of Incorporation) (Comm
August 2, 2019	EX-99.1	Sunworks Reports Second Quarter 2019 Results —Reports Positive Operating Income— Sunworks Reports Second Quarter 2019 Results —Reports Positive Operating Income— ROSEVILLE, Calif.
August 2, 2019	8-K	Results of Operations and Financial Condition, Financial Statements and Exhibits 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 2, 2019 SUNWORKS, INC.
August 2, 2019	10-Q	SLTD / Solar3D, Inc. 10-Q - Quarterly Report - UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q (Mark One) [X] QUARTERLY REPORT UNDER SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2019. Or [ ] TRANSITION REPORT UNDER SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number 001-36868 SUNWORKS, INC. (Na
June 24, 2019	DEF 14A	SLTD / Solar3D, Inc. DEF 14A - - DEF 14A 1 def14a.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 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 Rul
June 13, 2019	PRE 14A	SLTD / Solar3D, Inc. PRE 14A - - PRE 14A 1 pre14a.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant [X] Filed by a Party other than the Registrant [ ] Check the Appropriate Box: [X] Preliminary Proxy Statement [ ] Confidential, for Use of the Commission Only (as permitted by Rul
June 6, 2019	424B5	Common Stock 424B5 1 form424b5.htm Filed Pursuant to Rule 424(b)(5) Registration No. 333-231653 PROSPECTUS SUPPLEMENT (To Prospectus dated May 31, 2019) $15,000,000 Common Stock We have entered into an At Market Issuance Sales Agreement, or the sales agreement, with B. Riley FBR, Inc., or B. Riley FBR, the “sales agent”, relating to the issuance and sale of our common stock offered by this prospectus. In accor
June 6, 2019	EX-1.1	At Market Issuance Sales Agreement, dated June 6, 2019, between Sunworks, Inc. and B. Riley FBR, Inc. SUNWORKS, INC. Common Stock (par value $0.001 per share) At Market Issuance Sales Agreement June 6, 2019 B. Riley FBR, Inc. 299 Park Avenue, 21st Floor New York, NY 10171 Ladies and Gentlemen: Sunworks, Inc., a Delaware corporation (the “Company”), confirms its agreement (this “Agreement”) with B. Riley FBR, Inc. (the “Agent”) as follows: 1. Issuance and Sale of Shares. The parties agree that, fro
June 6, 2019	8-K	Entry into a Material Definitive Agreement, Financial Statements and Exhibits 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): June 6, 2019 SUNWORKS, INC.
June 4, 2019	424B5	400,000 shares of Common Stock 424B5 1 form424b5.htm Filed Pursuant to Rule 424(b)(5) Registration No. 333-231653 PROSPECTUS SUPPLEMENT (To Prospectus dated May 31, 2019) 400,000 shares of Common Stock We are offering 400,000 shares of our common stock, or the Shares, as compensation for entry into the First Amendment to Loan Agreement with CrowdOut Capital, LLC, or CrowdOut. Our common stock is traded on the Nasdaq Capital Mar
June 4, 2019	EX-99.1	Sunworks Announces Extension of Term Loan Agreement Sunworks Announces Extension of Term Loan Agreement ROSEVILLE, Calif. June 3, 2019 - Sunworks, Inc. (Nasdaq:SUNW), a premier provider of high performance solar power solutions for agriculture, commercial and industrial (ACI), public works and residential markets, today announced that it has entered into an amendment to its $3.75 million term loan with CrowdOut Capital, LLC. The amendment extends t
June 4, 2019	8-K	Entry into a Material Definitive Agreement, Financial Statements and Exhibits 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): June 3, 2019 SUNWORKS, INC.
June 4, 2019	EX-10.1	First Amendment to Loan Agreement, dated June 3, 2019, between CrowdOut Capital, LLC and Sunworks, Inc. FIRST AMENDMENT TO LOAN AGREEMENT This FIRST AMENDMENT TO LOAN AGREEMENT (this “Amendment”) is dated as of June 3, 2019 (the “First Amendment Effective Date”) and is by and between CrowdOut Capital, LLC, a Texas limited liability company (“Lender”), and Sunworks Inc.
May 29, 2019	CORRESP	SLTD / Solar3D, Inc. CORRESP - - Sunworks, Inc. 1030 Winding Creek Road, Suite 100 Roseville, California 95678 May 29, 2019 SUBMITTED VIA EDGAR Securities and Exchange Commission Division of Corporation Finance 100 F Street, N.E. Washington, D.C. 20549 Attention: Joshua Shainess Re: Sunworks, Inc. Acceleration Request Registration Statement on Form S-3 Filed May 21, 2019 File No. 333-231653 Ladies and Gentlemen: In accordance wit
May 21, 2019	S-3	SLTD / Solar3D, Inc. S-3 - - As filed with the Securities and Exchange Commission on May 21, 2019 Registration No.
May 14, 2019	EX-99.1	Sunworks Reports First Quarter of 2019 Results Near-Term Outlook: Management Expects Quarterly Revenues in the Range of $18 - $22 Million in Each of the Next Two Quarters with Positive Quarterly Operating Income May 14, 2019 — 5 a.m. Sunworks Reports First Quarter of 2019 Results Near-Term Outlook: Management Expects Quarterly Revenues in the Range of $18 - $22 Million in Each of the Next Two Quarters with Positive Quarterly Operating Income ROSEVILLE, Calif. May 14, 2019 - Sunworks, Inc. (Nasdaq: SUNW), a provider of solar power solutions for agriculture, commercial and industrial (ACI), public works and
May 14, 2019	8-K	Results of Operations and Financial Condition, Financial Statements and Exhibits 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 14, 2019 SUNWORKS, INC.
May 14, 2019	10-Q	SLTD / Solar3D, Inc. 10-Q Quarterly Report UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q (Mark One) [X] QUARTERLY REPORT UNDER SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2019. Or [ ] TRANSITION REPORT UNDER SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number 001-36868 SUNWORKS, INC. (N
March 29, 2019	10-K	SLTD / Solar3D, Inc. (Annual Report) UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K (Mark One) [X] 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 No. 001-36868 SUNWORKS, INC.
March 21, 2019	EX-99.1	Sunworks Receives Nasdaq Listing Extension to September 16, 2019 Sunworks Receives Nasdaq Listing Extension to September 16, 2019 ROSEVILLE, Calif.
March 21, 2019	8-K	Other Events, Financial Statements and Exhibits 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 20, 2019 SUNWORKS, INC. (Exact name of registrant as specified in its charter) Delaware 001-36868 01-0592299 (State or other jurisdiction of incorporation or organization) (Comm
March 12, 2019	EX-99.1	Sunworks Reports Fourth Quarter 2018 Results Company Reports Positive Net Income Before Non-Cash Goodwill Adjustment Sunworks Reports Fourth Quarter 2018 Results Company Reports Positive Net Income Before Non-Cash Goodwill Adjustment ROSEVILLE, Calif.
March 12, 2019	8-K	Financial Statements and Exhibits, Results of Operations and Financial Condition 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 12, 2019 SUNWORKS, INC. (Exact name of registrant as specified in its charter) Delaware 001-36868 01-0592299 (State or other jurisdiction of incorporation or organization) (Comm
January 30, 2019	8-K	Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Other Events, Financial Statements and Exhibits 8-K 1 form8-k.htm 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): January 24, 2019 SUNWORKS, INC. (Exact name of registrant as specified in its charter) Delaware 001-36868 01-0592299 (State or other jurisdiction of incorporation or
January 30, 2019	EX-99.1	Sunworks Appoints Former CFO Paul McDonnel as Interim CFO Sunworks Appoints Former CFO Paul McDonnel as Interim CFO ROSEVILLE, Calif. January 30, 2019 - Sunworks, Inc. (Nasdaq: SUNW), a provider of solar power solutions for agriculture, commercial and industrial (ACI), public works and residential markets, today announced that Phil Radmilovic, the Company’s Chief Financial Officer will resign to pursue other career opportunities. Mr. Radmilovic will cont
November 7, 2018	EX-99.1	Sunworks Reports Third Quarter 2018 Results Company Narrows Quarterly Net Loss and Achieves Positive Adjusted EBITDA Sunworks Reports Third Quarter 2018 Results Company Narrows Quarterly Net Loss and Achieves Positive Adjusted EBITDA ROSEVILLE, Calif.
November 7, 2018	8-K	Results of Operations and Financial Condition, Financial Statements and Exhibits 8-K 1 form8-k.htm 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): November 7, 2018 SUNWORKS, INC. (Exact name of registrant as specified in its charter) Delaware 001-36868 01-0592299 (State or other jurisdiction of incorporation or
November 7, 2018	10-Q	SLTD / Solar3D, Inc. 10-Q (Quarterly Report) UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q (Mark One) [X] QUARTERLY REPORT UNDER SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2018. Or [ ] TRANSITION REPORT UNDER SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number 001-36868 SUNWORKS, INC
September 26, 2018	8-K	Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing 8-K 1 form8-k.htm 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): September 20, 2018 SUNWORKS, INC. (Exact name of registrant as specified in its charter) Delaware 001-36868 01-0592299 (State or other jurisdiction of incorporation
August 29, 2018	8-K	Submission of Matters to a Vote of Security Holders 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): August 24, 2018 SUNWORKS, INC. (Exact name of registrant as specified in its charter) Delaware 001-36868 01-0592299 (State or other jurisdiction of incorporation or organization) (Com
August 8, 2018	8-K	Results of Operations and Financial Condition, Financial Statements and Exhibits 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): August 8, 2018 SUNWORKS, INC. (Exact name of registrant as specified in its charter) Delaware 001-36868 01-0592299 (State or other jurisdiction of incorporation or organization) (Comm
August 8, 2018	EX-99.1	Sunworks Reports Second Quarter 2018 Results EX-99.1 2 ex99-1.htm Sunworks Reports Second Quarter 2018 Results ROSEVILLE, Calif. August 8, 2018 - Sunworks, Inc. (Nasdaq: SUNW), a provider of solar power solutions for agriculture, commercial and industrial (ACI), public works and residential markets, today announced financial results for the second quarter and first half of the year ended June 30, 2018. Second Quarter 2018 Summary: ● Revenue
August 8, 2018	10-Q	SLTD / Solar3D, Inc. 10-Q (Quarterly Report) UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q (Mark One) [X] QUARTERLY REPORT UNDER SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2018. Or [ ] TRANSITION REPORT UNDER SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number 001-36868 SUNWORKS, INC. (Na
July 13, 2018	DEFA14A	SLTD / Solar3D, Inc. DEFA14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 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)) [ ] Definitive Proxy Statement [X] Definitive Additional Materials [ ] Soliciting Material Under Rule 14a-12 Sunworks, Inc.
July 10, 2018	DEF 14A	SLTD / Solar3D, Inc. DEF 14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 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] Definitive Proxy Statement [ ] Definitive Additional Materials [ ] Soliciting Material Under Rule 14a-12 Sunworks, Inc.
June 5, 2018	EX-14.1	Sunworks, Inc. Code of Conduct, adopted May 2018 (incorporated by reference to the current report filed on June 5, 2018). SUNWORKS, INC. CODE OF CONDUCT Adopted May 2018 The business of Sunworks, Inc. (the “Company”) shall be conducted with honesty and integrity and in accordance with the highest ethical and legal standards. This Code of Conduct (the “Code”) has been adopted by the Company pursuant to Item 406 of Regulation S-K of the Securities and Exchange Commission in order to provide written standards and guidan
June 5, 2018	8-K	Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Amendment to Registrant's Code of Ethics, or Waiver of a Provision of the Code of Ethics, Other Events, Financial Statements and Exhibits 8-K 1 form8-k.htm 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): May 30, 2018 SUNWORKS, INC. (Exact name of registrant as specified in its charter) Delaware 001-36868 01-0592299 (State or other jurisdiction of incorporation or org
June 5, 2018	EX-99.1	Sunworks Promotes Philip Radmilovic to Chief Financial Officer, Names Joshua Schechter Chairman of the Board of Directors Paul McDonnel to Remain with Company as Treasurer EX-99.1 3 ex99-1.htm Sunworks Promotes Philip Radmilovic to Chief Financial Officer, Names Joshua Schechter Chairman of the Board of Directors Paul McDonnel to Remain with Company as Treasurer ROSEVILLE, Calif. June 5, 2018 - Sunworks, Inc. (Nasdaq: SUNW), a premier provider of high performance solar power solutions for agriculture, commercial, industrial (ACI), public works and residential market
May 15, 2018	8-K	Results of Operations and Financial Condition, Financial Statements and Exhibits 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): May 15, 2018 SUNWORKS, INC. (Exact name of registrant as specified in its charter) Delaware 001-36868 01-0592299 (State or other jurisdiction of incorporation or organization) (Commis
May 15, 2018	EX-99.1	Sunworks Reports First Quarter 2018 Results New Bookings Increase 45.9% Year-over-Year to $37.5 Million Sunworks Reports First Quarter 2018 Results New Bookings Increase 45.9% Year-over-Year to $37.5 Million ROSEVILLE, Calif. May 15, 2018 - Sunworks, Inc. (Nasdaq: SUNW), a provider of solar power solutions for agriculture, commercial and industrial (ACI), public works and residential markets, today announced financial results for the first quarter ended March 31, 2018. Chuck Cargile, Sunworks Chief
May 15, 2018	10-Q	UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q (Mark One) [X] QUARTERLY REPORT UNDER SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2018. Or [ ] TRANSITION REPORT UNDER SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number 001-36868 SUNWORKS, INC. (N
May 14, 2018	EX-99.1	Sunworks Appoints Stanley Speer, Financial Expert, to Board of Directors Experienced Public Company Auditor and Executive Brings Proven Financial Expertise to Board Sunworks Appoints Stanley Speer, Financial Expert, to Board of Directors Experienced Public Company Auditor and Executive Brings Proven Financial Expertise to Board ROSEVILLE, Calif.
May 14, 2018	8-K	Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Financial Statements and Exhibits, Other Events 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): May 14, 2018 SUNWORKS, INC. (Exact name of registrant as specified in its charter) Delaware 001-36868 01-0592299 (State or other jurisdiction of (Commission IRS Employer incorporation
April 27, 2018	EX-10.5	Subordinated Agreement dated April 27, 2018 between CrowdOut Capital, Inc. and Sunworks, Inc. EX-10.5 6 ex10-5.htm SUBORDINATION AGREEMENT THIS SUBORDINATION AGREEMENT (this “Agreement”) is entered into as of April 27, 2018 by and among CrowdOut Capital, LLC, a Texas limited liability company (“Lender” and referred to herein as the “Junior Creditor” in its capacity as the payee under the Junior Note, as such term is defined below, and as the “Senior Creditor” in its capacity as the payee u
April 27, 2018	8-K	Entry into a Material Definitive Agreement, Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant, Unregistered Sales of Equity Securities, Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Other Events, Financial Statements and Exhibits 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): April 25, 2018 SUNWORKS, INC. (Exact name of registrant as specified in its charter) Delaware 001-36868 01-0592299 (State or other jurisdiction of incorporation or organization) (Comm
April 27, 2018	EX-10.2	Promissory Note dated April 27, 2018 SENIOR PROMISSORY NOTE $3,000,000.00 Austin, Texas April 27, 2018 FOR VALUE RECEIVED, Sunworks Inc., a Delaware corporation (“Maker”), whose principal place of business and chief executive office is located at 1030 Winding Creek Road, Suite 100, Roseville, California 95678, promises to pay to the order of CrowdOut Capital, LLC, a Texas limited liability company (“Payee”), the sum of THREE MILLION
April 27, 2018	EX-99.1	Sunworks Strengthens Balance Sheet and Announces Changes to Board of Directors — Company secures two-year $3.75 million term loan — — Joshua Schechter appointed as Independent Director — — Jim Nelson and Frank Hunt retire from Board of Directors — Sunworks Strengthens Balance Sheet and Announces Changes to Board of Directors — Company secures two-year $3.
April 27, 2018	EX-10.4	Security Agreement dated April 27, 2018 between CrowdOut Capital, Inc. and Sunworks, Inc. EX-10.4 5 ex10-4.htm SECURITY AGREEMENT THIS SECURITY AGREEMENT (the “Security Agreement”) is made as of April 27, 2018 by and between SUNWORKS INC., a Delaware corporation, whose address is 1030 Winding Creek Road, Suite 100, Roseville, California 95678 (“Obligor”) and CROWDOUT CAPITAL, LLC, a Texas limited liability company, whose address is 1010 Land Creek Cove, Austin, Texas 78746 (“Secured Pa
April 27, 2018	EX-10.3	Subordinated Note dated April 27, 2018 EX-10.3 4 ex10-3.htm SUBORDINATED PROMISSORY NOTE $750,000.00 Austin, Texas April 27, 2018 FOR VALUE RECEIVED, Sunworks Inc., a Delaware corporation (“Maker”), whose principal place of business and chief executive office is located at 1030 Winding Creek Road, Suite 100, Roseville, California 95678, promises to pay to the order of CrowdOut Capital, LLC, a Texas limited liability company (“Payee”),
April 27, 2018	EX-10.1	Loan Agreement dated April 27, 2018 between CrowdOut Capital, Inc. and Sunworks, Inc. EX-10.1 2 ex10-1.htm LOAN AGREEMENT THIS LOAN AGREEMENT (this “Agreement”) is made as of the 27th day of April, 2018, by and between CrowdOut Capital, LLC, a Texas limited liability company (“Lender”), and Sunworks Inc., a Delaware corporation (“Borrower”). RECITALS A. Lender is providing Borrower a term loan in the Term Loan Amount (the “Term Loan”), which shall be evidenced by the Notes, subject
March 28, 2018	10-K	SLTD / Solar3D, Inc. 10-K (Annual Report) UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K (Mark One) [X] Annual Report Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 For the fiscal year ended December 31, 2017 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 No. 001-36868 SUNWORKS, INC.
March 28, 2018	EX-10.4	Employment Agreement effective as of March 29, 2017 between Sunworks, Inc. and Charles Cargile. EMPLOYMENT AGREEMENT This EMPLOYMENT AGREEMENT (“Agreement”) is made effective as of the 29th day of March 2017, by and between Sunworks United Inc.
March 28, 2018	8-K	Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Other Events, Financial Statements and Exhibits 8-K 1 form8-k.htm 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 22, 2018 SUNWORKS, INC. (Exact name of registrant as specified in its charter) Delaware 001-36868 01-0592299 (State or other jurisdiction of incorporation or o
March 28, 2018	EX-99.1	Sunworks Announces Appointment of Renewable Energy Expert to Board of Directors Daniel Gross to Serve as an Independent Director Sunworks Announces Appointment of Renewable Energy Expert to Board of Directors Daniel Gross to Serve as an Independent Director ROSEVILLE, Calif.
March 28, 2018	8-K	Results of Operations and Financial Condition, Financial Statements and Exhibits 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 28, 2018 SUNWORKS, INC. (Exact name of registrant as specified in its charter) Delaware 001-36868 01-0592299 (State or other jurisdiction of incorporation or organization) (Comm
March 28, 2018	EX-99.1	Sunworks Reports 2017 Fourth Quarter and Full-Year Results Sunworks Reports 2017 Fourth Quarter and Full-Year Results ROSEVILLE, Calif. March 28, 2018 - Sunworks, Inc. (Nasdaq: SUNW), a provider of solar power solutions for agriculture, commercial and industrial (ACI), public works and residential markets, today announced financial results for the fourth quarter and full year ended December 31, 2017. Chuck Cargile, Sunworks Chief Executive Officer said, “
December 19, 2017	EX-99.1	Sunworks Announces Streamlining of Board of Directors Departure of Three Directors Commences Near-Term Plan to Create a Smaller, More Strategic, Cost-Effective Board Sunworks Announces Streamlining of Board of Directors Departure of Three Directors Commences Near-Term Plan to Create a Smaller, More Strategic, Cost-Effective Board ROSEVILLE, Calif.
December 19, 2017	8-K	Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Financial Statements and Exhibits 8-K 1 form8-k.htm 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): December 13, 2017 SUNWORKS, INC. (Exact name of registrant as specified in its charter) Delaware 001-36868 01-0592299 (State or other jurisdiction of incorporation o
November 14, 2017	10-Q	SLTD / Solar3D, Inc. 10-Q (Quarterly Report) 10-Q 1 form10-q.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q (Mark One) [X] QUARTERLY REPORT UNDER SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2017. Or [ ] TRANSITION REPORT UNDER SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number 001
November 14, 2017	8-K	Results of Operations and Financial Condition, Financial Statements and Exhibits 8-K 1 form8-k.htm 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): November 14, 2017 SUNWORKS, INC. (Exact name of registrant as specified in its charter) Delaware 001-36868 01-0592299 (State or other jurisdiction of incorporation o
November 14, 2017	EX-99.1	Sunworks Reports Third Quarter Revenue of $18.8 Million and Net Loss Per Share of ($0.09) — Record New Sales of $38.0 Million; Backlog Reaches Record Level — Sunworks Reports Third Quarter Revenue of $18.8 Million and Net Loss Per Share of ($0.09) ? Record New Sales of $38.0 Million; Backlog Reaches Record Level ? ROSEVILLE, Calif. November 14, 2017 - Sunworks, Inc. (Nasdaq: SUNW), a provider of solar power solutions for agriculture, commercial and industrial (ACI), public works and residential markets, today announced financial results for the third q
September 28, 2017	EX-10.1	Form of Change of Control Agreement dated as of September 26, 2017 between Sunworks, Inc. and Charles Cargile. (Incorporated by reference to the Company’s current report on Form 8-K filed with the Securities and Exchange Commission on September 28, 2017) CHANGE OF CONTROL AGREEMENT This Change of Control Agreement (the ?Agreement?) is made and entered into effective as of September 26, 2017 (the ?Effective Date?), by and between Charles Cargile, an individual (the ?Employee?) and Sunworks, Inc.

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