Pursuant to Section 13 or 15(d) of the

Securities Exchange Act of 1934


Date of report (Date of earliest event reported): November 13, 2019





(Exact Name of Registrant as Specified in Its Charter)




Delaware   001-12885   95-4622429
(State or Other Jurisdiction of
File Number)
  (IRS Employer
Identification No.)


28 Wells Avenue, 2nd Floor, Yonkers, New York

(Address of Principal Executive Offices)


(914) 418-2000

(Registrant’s Telephone Number, Including Area Code)


Securities registered pursuant to Section 12(b) of the Act:


Title of each class   Trading Symbol(s)   Name of each exchange on which registered
Common Stock, par value $0.01 per share   ALPE   OTC Markets




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




[  ] Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)
[  ] Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)
[  ] Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))
[  ] Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))


Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (17 CFR §230.405) or Rule 12b-2 of the Securities Exchange Act of 1934 (17 CFR §240. 12b-2). Emerging growth company [  ]


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






Item 5.02 Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers.


Resignation of Chief Executive Officer


On November 13, 2019 the Board of Directors (the “Board”) of alpha-En Corporation (the “Company”) accepted the resignation of Sam Pitroda, as the Company’s current Chief Executive Officer. Mr. Pitroda will continue to serve as the Company’s Chairman of the Board.


Appointment of New Director - Kip Testwuide


On November 13, 2019, Kip Testwuide was appointed to the Board of Directors of the Company to serve as a director of the Company.


There is no understanding or arrangement between Mr. Testwuide and any other person pursuant to which he was appointed as director. Mr. Testwuide does not have any family relationship with any director, executive officer or person nominated or chosen by the Company’s board to become a director or an executive officer. Mr. Testwuide has not had direct or indirect material interest in any transaction or proposed transaction, in which the Company was or is a proposed participant, exceeding $120,000.


Mr. Testwuide spent most of his career as a banker with BNP-Paribas and later became an investor in technology startups and other early stage companies. The Board believes that Mr. Testwuide will provide valuable strategic and operational guidance to the Company.






Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.


Date: November 21, 2019 By: /s/ Jerome I. Feldman
  Name: Jerome I. Feldman
Title: Executive Chairman and Treasurer