Establishing secure connection…Loading editor…Preparing document…

Form 8-K Filing Date

This template is fully customizable. Edit the text, fill out the fields, and send it for signature. Give it a try!

CONSULTING AGREEMENT

This Agreement is entered into effective as of by and between ("Consultant") and , a Delaware corporation ("Unilab") with reference to the following:

A. Consultant has served as President, Chief Executive Officer and Chairman of the Board of Unilab since .

B. Consultant has been a leading executive in the clinical laboratory industry for more than a decade.

C. On , Unilab agreed to merge with UC Acquisition Sub, Inc., a Delaware corporation, in a leveraged recapitalization transaction (the "Recapitalization") in which Unilab survives and its business continues.

D. Unilab desires to continue to have the benefit of Consultant's experience and knowledge of the clinical laboratory industry following the termination of Consultant's employment as President and Chief Executive Officer of Unilab, and Consultant desires to be retained by Unilab as a consultant.

NOW THEREFORE, in consideration of the material covenants and agreements set forth herein, the parties hereto covenant and agree as follows:

1. Engagement of Consultant. Unilab hereby engages Consultant to advise and consult with Unilab's senior management and, if and when requested by Unilab's Board of Directors, its Board of Directors with respect to laboratory industry developments, investment opportunities, financing possibilities, client development, and laboratory operations (collectively, the "Consulting Services"). Consultant represents and warrants to Unilab that he has no commitments, arrangements, or other agreements with any other clinical laboratory companies and that there are no restrictions under applicable law or licensing regulations which might preclude the carrying out of his obligations under this Agreement.

2. Term. The term of this Agreement shall be for a sixty (60) consecutive month period commencing upon the Closing of the Recapitalization, unless sooner terminated as provided herein.

3. Compensation.

(a) Unilab shall pay Consultant for the Consulting Services, payable in sixty (60) equal monthly installments of on the last day of each calendar month during the Term. Consultant shall make himself available to provide up to hours per month of Consulting Services during normal business hours, at Unilab's request.

(b) During the Term, Consultant shall be entitled to (i) office space and secretarial and administrative support services, (ii) continued car allowance on terms equivalent to Consultant's current allowance, and (iii) reimbursement for out-of-pocket expenses related to the Consulting Services rendered.

4. Equity Participation in Unilab. Consultant shall be entitled to receive options to acquire in the aggregate shares of stock of the surviving corporation in the Recapitalization. Such options shall be granted to Consultant on substantially the same terms as options granted to management of the surviving corporation at such time, including exercise price, vesting provisions, and performance criteria, including continued employment criteria applicable to the options granted to management of the surviving corporation; provided, however, that such continued employment criteria shall be deemed satisfied so long as this Agreement is not terminated by reason of a Default by Consultant hereunder.

5. Indemnification.

(a) Consultant agrees to defend, indemnify, and hold Unilab, its subsidiaries, directors, officers, employees, and agents, wholly harmless from and against any and all costs (including reasonable attorney's fees, including advancement of fees) liabilities, claims, losses, lawsuits, settlements, demands, causes, judgements, and expenses arising from the performance of this Agreement to the extent that such costs and liabilities result from the fraudulent misconduct of Consultant as determined by a court of competent jurisdiction.

(b) Unilab agrees to defend, indemnify, and hold Consultant, his employees, and agents, wholly harmless, to the fullest extent permitted by law (and as if Consultant were still an officer of Unilab) from and against any and all costs (including reasonable attorney's fees, including advancement of fees) liabilities, claims, losses, lawsuits, settlements, demands, causes, judgements, and expenses arising from the performance of this Agreement, except to the extent that such costs and liabilities result from the fraudulent misconduct of Consultant as determined by a court of competent jurisdiction.

6. Termination. This Agreement shall terminate on the occurrence of any of the following conditions:

(a) Five (5) years from the date Consultant's employment as President and Chief Executive Officer of Unilab is terminated.

(b) In the event of a Default (as defined below) of this Agreement by either party hereto, the other party shall have the right immediately to begin cancellation proceedings of this Agreement by giving written notice of cancellation to the defaulting party (the "Default Notice"). The non-defaulting party shall give a thirty (30) day cure period during which the defaulting party may have the opportunity to cure the breach to the satisfaction of the non-defaulting party. Nothing herein shall eliminate the non-defaulting party's right to damages for the Default, in addition to the remedies described herein.

(c) For purposes of this Agreement, Consultant shall be deemed to be in Default hereunder upon (i) Consultant having been convicted by a court of competent jurisdiction of any felony involving moral turpitude, (ii) the material violation by Consultant of any material provision of this Agreement, or (iii) Consultant having been found by a court of competent jurisdiction to have engaged in conduct constituting fraud against Unilab. In the event of a termination of this Agreement by Unilab under this Paragraph 5(c), Consultant shall be entitled only to payment of compensation accrued and earned hereunder through the date of such termination.

(d) For purposes of this Agreement, Unilab shall be deemed to be in Default hereunder upon (i) the willful malfeasance or gross negligence by Unilab in the performance of its duties hereunder, (ii) material violation by Unilab of any material provision of this Agreement, or (iii) Unilab or any of its officers or directors having been found by a court of competent jurisdiction to have engaged in conduct constituting fraud against Consultant. In the event of a termination of this Agreement by Consultant under this Paragraph 6(d), Consultant shall still be entitled to payment of all compensation that otherwise would have been payable to Consultant during the remainder of the Term at the times and the installments provided for herein.

7. Confidential Information.

(a) Consultant shall not directly or indirectly disclose to anyone who is not authorized by Unilab to receive such information, or use or appropriate for his own benefit or the benefit of anyone other than Unilab, any documents, materials, or information relating to Unilab's clinical laboratory business (the "Business") or its customers which Consultant obtained during his employment or which Consultant obtain during the Term of this Agreement, including files, Business descriptions, Business relationships and accounts, pricing policies, customer lists, computer software and hardware, or any other materials relating to the Business or its customers or any trade secrets or confidential information including, without limitation, any Business methods, know-how, processes, financial or other performance data, plans, policies and/or personnel of Unilab, whether generated by Consultant or any employee of Unilab; provided, however, that confidential information shall not include any information generally known to the public (other than as a direct or indirect result of unauthorized disclosure by Consultant).

(b) At no time during or after the Term of this Agreement shall Consultant remove or cause to be removed from the premises of Unilab any record, file, memorandum, document, equipment, or any like item relating to the Business of Unilab, except in furtherance of his duties hereunder or with the permission of Unilab. In the event that any such items are removed or caused to be removed by Consultant, such items shall be returned promptly and in no event later than the expiration of this Agreement.

8. Independent Contractor. It is understood that Consultant's services hereunder are to be rendered in the capacity of an independent contractor and that Consultant is not in any respect or under any circumstances an employee of Unilab. Neither party has authority to enter into contracts or assume any obligations for or on behalf of the other party or to make any warranties or representations for or on behalf of the other party. Consultant shall be solely responsible for any taxes imposed on the performance of services or the payment for such services, including withholding of state and federal income, sales or ad valorem, unemployment compensation, worker's compensation, Federal Insurance Contributions Act, Federal Unemployment Tax Act, or other, taxes, costs, or expenses incurred in the performance of any engagement hereunder. Consultant expressly indemnifies and holds Unilab harmless from any such liabilities.

9. Miscellaneous.

(a) Severability. Each provision of this Agreement shall be treated as a separate and independent clause, and the unenforceability of any one clause shall in no way impair the enforceability of any of the other clauses herein. If one or more of the provisions contained in this Agreement shall, for any reason, be held to be unenforceable, such provision shall be construed by an appropriate judicial body by limiting and reducing it, so that this Agreement shall be enforceable to the maximum extent compatible with the applicable law as it shall then appear.

(b) No Waiver. No waiver of any Breach of failure by any party to enforce any of the terms or conditions of this Agreement at any time shall, in any manner, limit or waive such party's right thereafter to enforce and to compel strict compliance with every term and condition hereof.

(c) Assignment. This Agreement is not assignable in whole or in part by either party without the prior written consent of the other party. This Agreement shall be binding upon and shall inure to the benefit of any successors or assigns of Unilab, whether by merger, consolidation, sale of all or substantially all of its assets, or otherwise.

(d) Applicable Law. This Agreement is to be governed by and construed under the laws of the State of Delaware.

(e) Captions and Paragraph Headings. Captions and paragraph headings used herein are for convenience only and are not a part of this Agreement and will not be used in construing it.

(f) Entire Agreement. This Agreement contains the entire agreement of the parties with respect to the subject matter contained herein and supersedes any and all other agreements, either oral or in writing, between the parties hereto.

Each party to this Agreement acknowledges that no representations, inducements, promises, or agreements, oral or otherwise, have been made by any party, or anyone acting on behalf of any party, which are not embodied herein, and that no other agreement, statement, or promise not contained in this Agreement will be valid or binding.

(g) Modification. This Agreement may not be modified or amended by oral agreement, but only by an agreement in writing signed by Consultant and Unilab.

(h) Notices. All notices, requests, demands, and other communications hereunder shall be in writing and shall be deemed to have been duly given if delivered by hand, by nationally recognized overnight delivery service, or mailed by certified or registered mail, postage prepaid, addressed as follows:

If to Consultant:

With a copy to:

If to Unilab:

The above addresses for the purpose of receiving notices hereunder may be changed by giving written notice of such change in the manner provided herein for giving notices.

IN WITNESS WHEREOF, this Agreement has been executed at Tarzana, California on .

Consultant:

DAVID C. WEAVIL

UNILAB CORPORATION, a Delaware corporation

By:

Title:

Enter text✕

What the Form 8-K Filing Date Means

Form 8-K Filing Date refers to the reporting date used on an SEC Form 8-K to indicate when a registrant experienced a material event or condition that triggers current reporting under Regulation S-K and Exchange Act rules. Public companies file Form 8-K to disclose significant corporate events—such as changes in officers or directors, bankruptcy, material impairments, or entry into material agreements—so investors and regulators know when the triggering event occurred. The Filing Date is distinct from the filing delivery date and determines timeliness under Item 1.01–9.01 reporting obligations.

Why a Correct Form 8-K Filing Date Matters

Accurate Form 8-K Filing Date reporting ensures timely disclosure to investors and compliance with Exchange Act Section 13(a) and SEC rules. Correct dating reduces risk of late-filing penalties, supports market transparency, and clarifies the effective timing of material corporate actions for legal and audit records.

Why a Correct Form 8-K Filing Date Matters

Teams That Typically Set or Verify the Filing Date

Typical users responsible for setting or verifying the Form 8-K Filing Date include corporate counsel, compliance officers, and SEC reporting teams.

  • Corporate secretaries and SEC reporting teams who determine event date and prepare 8-K
  • General counsel and outside law firms reviewing materiality and legal timing issues
  • Investor relations and finance teams coordinating disclosure control and audit support

Other stakeholders such as investor relations and finance support documentation, while smaller issuers may engage external counsel for date confirmation.

Who Signs Off on the Filing Date

Chief Legal Officer

Responsible for final legal determination of materiality and for approving the Form 8-K Filing Date. Ensures disclosures align with corporate governance, consults with accounting and IR, and documents rationale for the selected Filing Date for audit and compliance records.

SEC Reporting Manager

Manages preparation and submission logistics for Form 8-K, records the official Filing Date in internal logs, coordinates with external counsel on event timing, and verifies that the filing meets SEC item-specific timing requirements and company disclosure controls.

Security and Compliance Considerations for Filing Date Records

In-transit encryption: TLS 1.2/1.3 in transit
At-rest encryption: AES-256 encryption at rest
Certifications: SOC 2 Type II, ISO 27001
Regulatory compliance: ESIGN, UETA, HIPAA (BAA available)
Audit trail: Comprehensive timestamps, IP, signer actions
Access controls: Role-based access and SSO options

Risks and Penalties from Incorrect Filing Dates

Late filing penalties: Possible SEC enforcement and sanctions
Misstated date: Incorrect Filing Date can mislead investors
Recordkeeping violations: Audit deficiencies and control failures
Civil liability: Shareholder suits for misleading disclosures
Regulatory obligations: Exchange Act recordkeeping obligations
Tax interactions: Timing can affect related tax reporting

Step-by-Step: Choosing and Recording the Form 8-K Filing Date

Step-by-step guide to selecting and recording the Form 8-K Filing Date for a material corporate event.

  • 01
    Identify Event: Determine exact date when the triggering event occurred.
  • 02
    Assess Materiality: Legal and accounting determine if event meets materiality thresholds.
  • 03
    Set Filing Date: Use the event occurrence date as the Filing Date in 8-K.
  • 04
    Document Rationale: Record reasons and supporting documents to justify the chosen date.

Where to Enter and Submit the Filing Date

How to submit a Form 8-K and where to enter the Filing Date for SEC disclosure.

  • EDGAR Submission: File electronically via SEC EDGAR with Filing Date recorded.
  • Board Minutes: Keep signed minutes noting event date and board action.
  • Legal Counsel: Provide counsel with date documentation for review and approval.
  • Investor Notice: Coordinate press releases and Form 8-K timing around Filing Date.

Online Workflow Settings to Capture the Filing Date

Common online workflow settings for capturing and locking the Form 8-K Filing Date in a digital signing platform.

Field Configuration
Date Field Set as required; use MM/DD/YYYY format.
Signer Role Assign 'Issuer' and 'Preparer' roles for approval.
Field Lock Lock date after final approval to prevent edits.
Audit Log Enable detailed audit trail with timestamps and IP.

Technical Requirements for eSubmission and Distribution

Platform requirements for eSubmitting Form 8-K Filing Date include secure file formats, signer authentication, and integration with EDGAR workflows.

  • File Formats: PDF/A and DOCX supported
  • Integrations: Connectors for EDGAR, NetSuite, and Salesforce
  • Authentication: Email OTP, SSO, or advanced MFA

Timelines and Deadlines Affecting the Filing Date

Key filing timelines and how the Form 8-K Filing Date affects SEC timeliness, public disclosure, and internal review processes.

Event Occurrence:

Determine actual date event occurred; sets Filing Date.

Four-Business-Day Rule:

File Form 8-K within four business days of the event.

Delayed Filing:

Use Form 8-K Item 2.02 or 12b-25 procedures if delay permitted.

Internal Deadlines:

Set internal review deadlines earlier than SEC window for approvals.

Record Retention:

Retain supporting documents proving event date and materiality.

Key Milestones from Event to EDGAR Submission

Sequential milestones from event occurrence to final EDGAR submission for Form 8-K Filing Date compliance.

01

Event Occurrence

Record the precise date and immediate facts supporting it.

02

Internal Assessment

Legal and finance assess materiality and prepare disclosures.

03

Board Review

Obtain board or committee approvals if required before filing.

04

EDGAR Filing

Submit Form 8-K via EDGAR and confirm receipt.

How Form 8-K Differs from Periodic Filings

Comparison of Form 8-K versus common periodic filings to clarify purpose, timing, and typical attachments.

Document Type Form 8-K Form 10-Q Form 10-K
Purpose report material events quarterly results annual audited financials
Filing Deadline 4 business days quarterly filing deadline annual filing deadline
Triggers material corporate events periodic financial results year-end audit results
Typical Attachments press release, agreements financial statements auditor's report, fs

eSignature Vendor Pricing and Feature Snapshot for Filing Workflows

Vendor pricing and feature comparison for eSignature platforms relevant to Form 8-K Filing Date workflows and secure eSubmission.

signNow DocuSign Adobe Sign PandaDoc HelloSign
Starting Price $8/user/mo $15/user/mo $14/user/mo $19/user/mo $15/user/mo
Free Trial 7-day free trial, no credit card required Varies by plan Varies by plan Varies by plan Varies by plan
Bulk Send Yes (plan-dependent) Varies by plan Varies by plan Varies by plan Varies by plan
Audit Trail Yes Yes Yes Yes Yes
HIPAA Compliant Yes (BAA available) Varies by plan Varies by plan Varies by plan Varies by plan
Envelope Cap No cap 100 envelopes/user/year Varies by plan Varies by plan Varies by plan

Core Elements to Include Around the Form 8-K Filing Date

Critical components to include when recording and reporting the Form 8-K Filing Date to produce a professional, audit-ready disclosure package for the SEC and stakeholders.

Event Description

Concise factual account of the event, including who was involved, what occurred, and the exact time and circumstances. Avoid conclusions about materiality; present the facts that establish the event occurrence date used as the Filing Date.

Filing Date

State the precise MM/DD/YYYY of the event occurrence you are using as the Filing Date. Explain any time-zone considerations and whether the date reflects an action, notice, or occurrence to avoid ambiguity.

Item Citation

Identify the specific Form 8-K Item(s) being reported (e.g., Item 1.01, Item 5.02). Accurate item citation ensures EDGAR tagging and prevents misfiling or classification errors during SEC processing.

Exhibits

Attach relevant exhibits—press releases, agreements, financial statements, or board resolutions—each labeled and dated. Ensure exhibit dates align with the Filing Date and reference them in the narrative description for clarity.

Preparer Info

Include preparer contact details, role, and date of preparation. This supports SEC follow-up and internal audits and helps trace who entered the Filing Date and why it was chosen.

Materiality Rationale

Document the analysis and reasons supporting the materiality determination and Filing Date choice. Keep written conclusions from legal and accounting counsel to support defenses against inquiries or shareholder litigation.

Practical Best Practices for Reliable Filing Dates

Practical tips to ensure the Form 8-K Filing Date is accurate, defensible, and supports timely SEC compliance.

Verify contemporaneous evidence and timestamps
Collect and secure all contemporaneous records—emails, signed agreements, internal memos—with verifiable timestamps. Ensure these are stored in a tamper-evident system and reference them in your Filing Date rationale so auditors and regulators can reconstruct the timeline.
Coordinate cross-functional approvals and documentation
Establish a standardized approval workflow involving legal, finance, and investor relations. Require written sign-off before EDGAR submission and log approvals in the audit trail. This reduces last-minute disputes and supports internal control assessments.
Lock filed records and maintain detailed audit trail
Once the Form 8-K is filed, lock the final PDF and exhibits, preserving the signed copy and audit record. Keep exportable logs (timestamps, IPs, signer IDs) and back up files to prevent loss during reviews or investigations.
Engage outside counsel for complex events
For events involving litigation, bankruptcy, mergers, or material contracts, involve external legal counsel early. Their input on materiality and precise Filing Date selection can prevent misstatements and inform necessary exhibit disclosures.

Examples: How Teams Use the Filing Date in Practice

Real-world scenarios illustrating how the Form 8-K Filing Date is selected, documented, and coordinated across functions.

Issuer Disclosure Team

A public company's disclosure team must select an accurate Form 8-K Filing Date when a material event occurs to meet SEC timeliness obligations.

  • Choose the date the event occurred, not filing date.
  • Document the facts supporting that date, coordinate with legal and accounting, and retain internal records to support materiality determinations. Proper documentation reduces the risk of SEC inquiries and supports audit trails in case of review.

Investor Relations

IR teams align public disclosure timing with investor communications to manage market expectations and ensure accuracy for press releases and earnings guidance.

  • Confirm Filing Date before external release.
  • Coordinate with disclosure counsel to confirm the Filing Date, avoid premature investor statements, and preserve a clear audit trail for the 8-K. This practice reduces legal risk and supports consistent investor messaging.

FAQs: Common Questions About the Form 8-K Filing Date

Frequently asked questions regarding selecting, documenting, and correcting the Form 8-K Filing Date for SEC filings.


Need help? Contact support

be ready to get more
Join over 28 million airSlate SignNow users