SRAX, Inc. Form 8-K: Current report
Filings on SEC EDGAR, newest first; amendments sit with their base form. Values are as filed.
- 2023-11-06: Form 8-K; Period of report 2023-11-06; Description 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; Details 1.01.
- 2023-09-19: Form 8-K; Period of report 2023-09-14; Description 1.01 Entry into a Material Definitive Agreement; Details 1.01.
- 2023-09-08: Form 8-K; Period of report 2023-09-01; Description 5.02 Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers; Details 5.02.
- 2023-07-17: Form 8-K; Period of report 2023-07-17; Description 5.02 Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers; 7.01 Regulation FD Disclosure; Details 5.02.
| Filed | Form | Period of report | Description | Details | Document |
|---|---|---|---|---|---|
| 2023-11-06 | 8-K | 2023-11-06 | 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 set forth above in Item 1.01 of this current report on Form 8-K is incorporated herein by reference in its entirety. 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 |
| 2023-09-19 | 8-K | 2023-09-14 | 1.01 Entry into a Material Definitive Agreement | 1.01 Entry into a Material Definitive Agreement. | form8-k.htm |
| 2023-09-08 | 8-K | 2023-09-01 | 5.02 Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers | 5.02 On September 1, 2023 Randy Clark resigned as the Chief Operating Officer of SRAX. | form8-k.htm |
| 2023-07-17 | 8-K | 2023-07-17 | 5.02 Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers; 7.01 Regulation FD Disclosure | 5.02 On July 11 and July 13th Marc Savas, Robert Jordan, Colleen DiClaudio and Brock Pierce resigned from the board of directors and their respective committee roles of SRAX. 7.01 On July 17, 2023, the Company released a press release in regard to the creation of an advisory board for the company. | form8-k.htm |
| 2023-07-07 | 8-K | 2023-07-07 | 5.02 Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers | 5.02 On July 5, 2023 Alan Urban resigned as the Chief Financial Officer of SRAX and has transitioned from the Chief Financial Officer of the company to a consultant to help the company complete its SEC Filings. | form8-k.htm |
| 2023-05-08 | 8-K | 2023-05-02 | 4.01 Changes in Registrant's Certifying Accountant; 8.01 Other Events | 4.01 On May 2, 2023, the Audit Committee of the board of directors (the “Audit Committee”) of SRAX, Inc. (the “Company”) approved the dismissal of Marcum LLP (“Marcum”) as independent registered public accounting firm of the Company effective immediately. 8.01 Effective April 10, 2023, the Company’s mailing address has changed to 1014 S. Westlake Blvd., Suite 14-299, Westlake Village, CA 91361. | form8-k.htm |
| 2023-03-21 | 8-K | 2023-03-14 | 5.02 Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers; 7.01 Regulation FD Disclosure | 5.02 On March 14, 2023, the board of directors (the “Board”) of SRAX, Inc. (the “Company”) appointed Alan Urban to replace Michael Malone as the Company’s Chief Financial Officer pursuant to an employment offer letter, which sets forth the terms of Mr. Urban’s services as Chief Financial Officer and his compensation arrangement (the “Offer Letter”). 7.01 On March 9, 2023, the Company announced via press release that it would hold a virtual shareholder conference on March 15, 2023 at 1:30 p.m. | form8-k.htm |
| 2023-03-08 | 8-K | 2023-03-07 | 3.01 Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing; 8.01 Other Events | 3.01 As previously disclosed on October 20, 2022, SRAX, Inc. (the “Company”) received notice from the Listing Qualifications Staff (the “Staff”) of The Nasdaq Stock Market LLC (“Nasdaq”) indicating that, based upon the Company’s continued non-compliance with Nasdaq Listing Rule 5250(c)(1) (the “Filing Requirement”), the Company’s securities are subject to delisting from Nasdaq unless the Company timely requests a hearing before the Nasdaq Hearings Panel (the “Panel”). 8.01 On March 8, 2023, the Company issued a press release announcing the receipt of the Panel letter and suspension of trading on Nasdaq. | form8-k.htm |
| 2023-03-07 | 8-K | 2023-03-03 | 1.01 Entry into a Material Definitive Agreement; 2.01 Completion of Acquisition or Disposition of Assets; 5.02 Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers; 8.01 Other Events | 1.01 Entry into a Material Definitive Agreement. 2.01 To the extent required, 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. 5.02 On March 3, 2023, in connection with the consummation of the Merger, Christopher Lahiji, President of LD Micro and member of our Board, resigned as a member of the Board pursuant to a resignation letter, effective immediately. 8.01 The Company issued a press release announcing the Merger Agreement on March 6, 2023. | form8-k.htm |
| 2023-02-09 | 8-K | 2023-02-03 | 1.01 Entry into a Material Definitive Agreement; 1.02 Termination of a Material Definitive Agreement; 2.01 Completion of Acquisition or Disposition of Assets; 3.02 Unregistered Sales of Equity Securities; 3.03 Material Modification to Rights of Security Holders; 5.03 Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year | 1.01 Entry into a Material Definitive Agreement. 1.02 On February 3, 2023, pursuant to the Amendment and Waiver Agreement, the Company and one of the Holders mutually terminated the registration rights agreement entered into on August 8, 2022. 2.01 To the extent required, 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. 3.03 Pursuant to the APA, the Company issued 118,651 shares of Series B Preferred Stock in connection with the Closing. 5.03 The information set forth in Item 1.01 and Item 3.03 above relating to the issuance of the Series B Preferred Stock and the Certificate of Designation is incorporated herein by reference. | form8-k.htm |
| 2023-01-04 | 8-K | 2023-01-04 | 2.02 Results of Operations and Financial Condition; 5.07 Submission of Matters to a Vote of Security Holders | 2.02 On January 3, 2022, SRAX, Inc. (the “Company”) filed its quarterly report for the quarter ended March 31, 2022, and disclosed certain financial and operational results for the quarter ended March 31, 2022 via press release. 5.07 On December 31, 2022, the Company held its 2022 Annual Meeting (“Annual Meeting”) at 11:00 a.m. | form8-k.htm |