SRAX, Inc. Form 8-K: Current report
Filings on SEC EDGAR, newest first; amendments sit with their base form. Values are as filed.
- 2022-12-20: Form 8-K; Period of report 2022-12-20; Description 8.01 Other Events; Details 8.01.
- 2022-11-18: Form 8-K; Period of report 2022-11-18; Description 3.01 Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing; 8.01 Other Events; Details 3.01.
- 2022-10-31: Form 8-K; Period of report 2022-10-31; Description 4.01 Changes in Registrant's Certifying Accountant; Details 4.01.
- 2022-10-20: Form 8-K; Period of report 2022-10-20; Description 3.01 Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing; 8.01 Other Events; Details 3.01.
| Filed | Form | Period of report | Description | Details | Document |
|---|---|---|---|---|---|
| 2022-12-20 | 8-K | 2022-12-20 | 8.01 Other Events | 8.01 On December 16, 2022, SRAX, Inc. (the “Company”) received a determination from the Nasdaq Hearings Panel (the “Panel”) granting the Company’s request for the continued listing of its Class A Common Stock on The Nasdaq Stock Market (“Nasdaq”), subject to the Company evidencing compliance with Nasdaq’s filing requirement, as set forth in Nasdaq Listing Rule 5250(c)(1), on or before February 28, 2023, and certain other conditions. | form8-k.htm |
| 2022-11-18 | 8-K | 2022-11-18 | 3.01 Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing; 8.01 Other Events | 3.01 Notice of Delisting or Failure to Satisfy a Continued Listing rule or Standard; Transfer of Listing. 8.01 On November 18, 2022, the Company issued a press release announcing its receipt of the delisting notice from Nasdaq. | form8-k.htm |
| 2022-10-31 | 8-K | 2022-10-31 | 4.01 Changes in Registrant's Certifying Accountant | 4.01 On October 27, 2022, the Audit Committee of the board of directors of SRAX, Inc. (“Company”) engaged Marcum LLP (“Marcum”) as the Company’s independent registered public accounting firm for the year ending December 31, 2022. | form8-k.htm |
| 2022-10-20 | 8-K | 2022-10-20 | 3.01 Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing; 8.01 Other Events | 3.01 Notice of Delisting or Failure to Satisfy a Continued Listing rule or Standard; Transfer of Listing. 8.01 On October 20, 2022, the Company issued a press release announcing its receipt of the delisting notice from Nasdaq. | form8-k.htm |
| 2022-08-24 | 8-K | 2022-08-23 | 7.01 Regulation FD Disclosure | 7.01 SRAX, Inc. (the “Company”) is providing notice that the Company has launched a website to disseminate certain material information related to its portfolio of securities at the following website: https://srax.com/stock-portfolio (the “Portfolio Website”). | form8-k.htm |
| 2022-08-23 | 8-K | 2022-08-23 | 3.01 Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing; 8.01 Other Events | 3.01 Notice of Delisting or Failure to Satisfy a Continued Listing rule or Standard; Transfer of Listing. 8.01 On August 22, 2022, the Company issued a press release announcing its receipt of the delisting notice from Nasdaq. | form8-k.htm |
| 2022-08-12 | 8-K | 2022-08-12 | 1.01 Entry into a Material Definitive Agreement; 2.03 Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant; 2.04 Triggering Events That Accelerate or Increase a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement; 3.02 Unregistered Sales of Equity Securities | 1.01 Entry into a Material Definitive Agreement. 2.03 The information contained in Item 1.01 above is incorporated by reference herein. 2.04 The information set forth above in Item 1.01 of this current report on Form 8-K is incorporated herein by reference in its entirety. 3.02 The information set forth above in Item 1.01 of this current report on Form 8-K is incorporated herein by reference in its entirety. | form8-k.htm |
| 2022-07-07 | 8-K | 2022-07-07 | 1.01 Entry into a Material Definitive Agreement; 2.03 Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant; 4.01 Changes in Registrant's Certifying Accountant; 8.01 Other Events | 1.01 Entry into a Material Definitive Agreement. 2.03 The information contained in Item 1.01 above is incorporated by reference herein. 4.01 On June 30, 2022, RBSM LLP (“RBSM”), the independent registered public accounting firm to the Company, informed the Company of its decision not to stand for re-appointment as the independent registered public accounting firm of the Company. 8.01 As previously disclosed in the current report on Form 8-K, filed by the Company on April 27, 2022, the Listing Qualifications Department of the Nasdaq Stock Market, LLC (“Nasdaq”) notified the Company that it did not comply with Nasdaq Listing Rule 5250(c)(1) because it had not yet filed its Annual Report on Form 10-K for the year ended December 31, 2021 (the “2021 Form 10-K”) with the SEC. | form8-k.htm |
| 2022-06-07 | 8-K | 2022-06-07 | 2.02 Results of Operations and Financial Condition | 2.02 On June 6, 2022, SRAX, Inc. held an earnings call related to the financial results for the year end 2021 and other business updates. | form8-k.htm |
| 2022-04-27 | 8-K | 2022-04-27 | 3.01 Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing; 8.01 Other Events | 3.01 Notice of Delisting or Failure to Satisfy a Continued Listing rule or Standard; Transfer of Listing. 8.01 On April 27, 2022, the Company issued a press release announcing its receipt of the delisting notice from Nasdaq. | form8-k.htm |
| 2022-04-05 | 8-K | 2022-04-05 | 8.01 Other Events | 8.01 On April 4, 2022, management of SRAX, Inc. (“Company”) presented certain business updates for the year end 2021. | form8-k.htm |
| 2022-02-02 | 8-K | 2022-02-02 | 5.03 Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year; 8.01 Other Events | 5.03 Amendments to Articles of Incorporation or bylaws: Change in Fiscal Year. 8.01 Pursuant to Section 204(g) of the DGCL, the Company is required to send all of our current stockholders and stockholders as of the day of the Putative Issuance (including the party that received the Putative Issuance), the resolutions adopted by the Board ratifying the Putative Issuance within sixty (60) days of such resolutions, which occurred on January 24, 2022 (the “Notice”). | form8-k.htm |