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EX-99.01 - SRAX, Inc.ex99-01.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) November 18, 2020 (November 16, 2020)

 

SRAX, INC.

(Exact name of registrant as specified in its charter)

 

Delaware   001-37916   45-2925231

(State or other jurisdiction

of incorporation or organization)

 

(Commission

File Number)

 

(I.R.S. Employer

Identification No.)

 

2629 Townsgate Road #215, Westlake Village, CA   91361
(Address of principal executive offices)   (Zip Code)

 

Registrant’s telephone number, including area code:   (323) 694-9800

 

not applicable

(Former name or former address, if changed since last report)

 

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))

 

Title of Class   Trading Symbol   Name of Each Exchange on Which Registered
Class A Common stock   SRAX   NASDAQ Capital Market

 

Indicate by check mark whether the registrant is an emerging growth company as defined in in Rule 405 of the Securities Act of 1933 (§230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (§240.12b-2 of this chapter).

 

Emerging growth company [  ]

 

If an emerging growth company, indicate by checkmark 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 2.02 Results of Operations and Financial Condition

 

On November 16, 2020, SRAX, Inc. (the “Company”) filed its quarterly report on Form 10-Q for the quarter ended September 30, 2020, and disclosed certain financial results and operational results for the quarter ended September 30, 2020 in a press release. The press release is attached as Exhibit 99.01 and is incorporated herein by reference.

 

The information furnished under Items 2.02, including the accompanying Exhibit 99.01 shall not be deemed to be “filed” for the purposes of Section 18 of the Securities Exchange Act of 1934 (the “Exchange Act”), or otherwise subject to the liability of such section, nor shall such information be deemed to be incorporated by reference in any subsequent filing by the Company under the Securities Act of 1933 or the Exchange Act, regardless of the general incorporation language of such filing, except as specifically stated in such filing.

 

Item 7.01 Regulation FD Disclosure

 

On November 16, 2020, the Company held an earnings call. A video and audio of the earnings call, along with the slides presented are contained at the following link:

https://www.youtube.com/watch?v=nVOi3pycyEo

 

The information contained in this Item 7.01 to this Current Report on Form 8-K and the exhibit attached hereto pertaining to this item shall not be deemed to be “filed” for purposes of Section 18 of the Exchange Act, or otherwise subject to the liabilities of that section, nor shall such information or such exhibits be deemed incorporated by reference in any filing under the Securities Act of 1933, as amended, or the Exchange Act, except as shall be expressly set forth by specific reference in such a filing. The information set forth in the exhibits to this Form 8-K relating to this item 7.01 shall not be deemed an admission as to the materiality of any information in this report that is required to be disclosed solely to satisfy the requirements of Regulation FD

 

Item 9.01 Financial Statements and Exhibits.

 

Exhibit

No.

  Description
99.01   Press Release Dated November 16, 2020

 

 

 

 

SIGNATURES

 

Pursuant to the requirements of the Securities Exchange Act of 1934, the Registrant has duly caused this Report on Form 8-K to be signed on its behalf by the undersigned hereunto duly authorized.

 

Date: November 18, 2020 SRAX, Inc.
     
    /s/ Christopher Miglino
  By: Christopher Miglino
    Chief Executive Officer

 

 

 

 

INDEX OF EXHIBITS

 

Exhibit

No.

  Description
99.01   Press Release Dated November 16, 2020