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CC transcript
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SRAX, Inc. (SRAX)
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Create: Alert |
All | News | Filings
| Date Filed | Type | Description |
| 07/17/2023 |
8-K
| Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers: Compensatory Arrangements... |
| 07/07/2023 |
8-K
| Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers: Compensatory Arrangements... |
| 05/08/2023 |
8-K
| Changes in Registrant's Certifying Accountant, Other Events, Financial Statements and Exhibits Interactive Data |
| 05/02/2023 |
25-NSE
| Form 25-NSE - Notification filed by national security exchange to report the removal from listing and registration of matured, redeemed or retired securities: |
| 03/22/2023 |
4
| URBAN ALAN LOUIS (CFO) has filed a Form 4 on SRAX, Inc.|
Txns:
| Granted 300,000 options to buy
@ $0.44, valued at
$132k
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| 03/22/2023 |
3
| URBAN ALAN LOUIS (CFO) has filed a Form 3 on SRAX, Inc. |
| 03/21/2023 |
8-K
| Investor presentation|
Docs:
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"SRAX, Inc. 2629 Townsgate Road #214 Westlake Village, CA March 14, 2023 Alan Urban 4411 Westchester Dr. Woodland Hills, CA 91364 EMPLOYMENT OFFER LETTER Dear Alan, SRAX, Inc. is pleased to offer you formal employment for the position of Chief Financial Officer beginning on March 14, 2023. Until an executive employment agreement is finalized, this offer letter, once fully executed by both parties, will constitute an agreement between you and the Company. The material terms and conditions of our offer of employment are presented below: 1. Employment . The Company hereby offers you, and you hereby accept, employment with the Company beginning on March 14, 2023 , until such time as either you or the Company chooses to terminate the employment . Your employment relationship will be employment a...",
"SRAX Reassures Investors of Business Health Amid Delisting Notice" |
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| 03/08/2023 |
8-K
| Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing, Other Events, Financial ... |
| 03/07/2023 |
8-K
| Entry into a Material Definitive Agreement, Completion of Acquisition or Disposition of Assets, Departure of Directors or Cer... |
| 02/14/2023 |
SC 13G/A
| Whitefort Capital Master Fund, LP reports a 1% stake in SRAX, Inc. |
| 02/14/2023 |
SC 13G
| Form SC 13G - Statement of acquisition of beneficial ownership by individuals: |
| 02/10/2023 |
SC 13G/A
| Form SC 13G/A - Statement of acquisition of beneficial ownership by individuals: [Amend] |
| 02/09/2023 |
8-K
| Entry into a Material Definitive Agreement, Termination of a Material Definitive Agreement, Completion of Acquisition or Disp...|
Docs:
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"ASSET PURCHASE AGREEMENT by and between SRAX, INC. and DNA HOLDINGS, LLC DATED AS OF FEBRUARY 3, 2023 Article 1. Purchase and Sale 1 Section 1.1 Purchased Assets 1 Section 1.2 Excluded Assets 1 Section 1.3 Assumed Liabilities 1 Section 1.4 Excluded Liabilities 1 Article 2. Purchase Price 2 Section 2.1 Purchase Price 2 Section 2.2 Payment of Purchase Price 2 Section 2.3 Post-Closing Adjustment 2 Section 2.4 Purchase Price Allocation 3 Section 2.5 Deliveries by the Buyer 3 Section 2.6 Deliveries by the Seller 3 Article 3. Closing 4 Section 3.1 Closing 4 Article 4. Representations and Warranties of the Seller 4 Section 4.1 Due Formation; Due Authorization; Enforceability. 4 Section 4.2 Approvals and Consents; No Conflicts 4 Section 4.3 Litigation; Orders 5 Section 4.4 Title to Purchased Asset...",
"SRAX, inc. CERTIFICATE OF DESIGNATION OF PREFERENCES, RIGHTS AND LIMITATIONS OF SERIES B NON-VOTING CONVERTIBLE PREFERRED STOCK PURSUANT TO SECTION 151 OF THE Delaware GENERAL CORPORATION LAW The undersigned, Christopher Miglino, does hereby certify that: 1. He is the President and Secretary, respectively, of SRAX, Inc., a Delaware corporation . 2. The Corporation is authorized to issue 50,000,000 shares of preferred stock, 36,462,417 shares of which have been issued. 3. The following resolutions were duly adopted by the board of directors of the Corporation : WHEREAS, the certificate of incorporation of the Corporation provides for a class of its authorized stock known as preferred stock, consisting of 30,000,000 shares, $0.001 par value per share, issuable from time to time in one or mor...",
"BILL OF SALE AND ASSIGNMENT AND ASSUMPTION AGREEMENT THIS BILL OF SALE AND ASSIGNMENT AND ASSUMPTION AGREEMENT, dated as of February 3, 2023 , is entered into by and between SRAX, Inc., a Delaware corporation , and DNA Holdings, LLC, a limited liability company formed under the laws of the Commonwealth of Puerto Rico . Reference is made to that certain Asset Purchase Agreement dated as of even date herewith , by and between the Buyer and the Seller. Capitalized terms used and not otherwise defined herein shall have the meanings given to them in the Purchase Agreement. W I T N E S S E T H: WHEREAS, in connection with the transactions contemplated by the Purchase Agreement, the Seller has agreed to sell, assign, transfer and deliver the Purchased Assets to the Buyer; and WHEREAS, in connecti...",
"Lock-Up Agreement",
"Amendment and WAIVER Agreement This AMENDMENT AND WAIVER AGREEMENT dated as of February 2, 2023 is entered into by and between SRAX, Inc., a Delaware Corporation and the entities identified on the signature pages hereto . WHEREAS, the Company issued that certain Original Issue Discount Senior Secured Convertible Debenture, dated June 30, 2020 to ATW MASTER FUND II, L.P . WHEREAS, the Debenture has a maturity date of June 30, 2023; WHEREAS, the Company wishes to amend and restate the definition of “Maturity Date” of the Debenture to June 30, 2024; WHEREAS, the Debenture has a “Conversion Price” of $2.69, subject to adjustment as provided for the in the Debenture; WHEREAS, the Company wishes to amend and restate the definition of “Conversion Price” in Section 4 of the Debenture to the Adjust..." |
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| 01/04/2023 |
8-K
| Quarterly results |
| 12/30/2022 |
10-Q
| Quarterly Report for the period ended March 31, 2022 |
| 12/20/2022 |
8-K
| Quarterly results |
| 12/01/2022 |
DEF 14A
| Form DEF 14A - Other definitive proxy statements: |
| 11/18/2022 |
8-K
| Quarterly results |
| 10/31/2022 |
8-K
| Changes in Registrant's Certifying Accountant, Financial Statements and Exhibits Interactive Data |
| 10/20/2022 |
8-K
| Quarterly results |
| 10/12/2022 |
10-K
| Annual Report for the period ended December 31, 2021 |
| 08/23/2022 |
8-K
| Regulation FD Disclosure Interactive Data |
| 08/23/2022 |
8-K
| Quarterly results |
| 08/22/2022 |
D
| Form D - Notice of Exempt Offering of Securities: |
| 08/12/2022 |
8-K
| Entry into a Material Definitive Agreement, Creation of a Direct Financial Obligation or an Obligation under an Off-Balance S...|
Docs:
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"REVOLVING NOTE $____________ Issuance Date: as of August 8, 2022 FOR VALUE RECEIVED, SRAX, INC., a Delaware corporation, whose address is ______________________________ , promises to pay to the order of [ATW OPPORTUNITIES MASTER FUND II, LP] , whose address is_______________________ , on or before the Revolving Loan Maturity Date : the lesser of: TEN MILLION FIVE HUNDRED THOUSAND DOLLARS ; or the aggregate principal amount of all Revolving Loans outstanding under and pursuant to that certain Senior Secured Revolving Credit Facility Agreement dated as of August 8, 2022, executed by and between Borrower, other Credit Parties, and Lender, as amended from time to time , and made available by Lender to Borrower at the maturity or maturities and in the amount or amounts stated on the records of ...",
"CONSENT AND AGREEMENT",
"GUARANTY AGREEMENT",
"SECURITY AGREEMENT This SECURITY AGREEMENT dated as of August 8, 2022 is executed by SRAX, INC., a Delaware corporation , with its chief executive offices located at 2629 Townsgate Road, Suite 215, Westlake Village, Ca., 91362, and [ATW OPPORTUNITIES MASTER FUND II, LP] . R E C I T A L S : WHEREAS, Debtor desires to borrow funds and obtain financial accommodations from Secured Party pursuant to that certain Senior Secured Revolving Credit Facility Agreement of even date herewith among Debtor, any additional Credit Parties, and Secured Party . NOW, THEREFORE, in consideration of the credit extended now and in the future by Secured Party to the Debtor and for other good and valuable consideration, the receipt and sufficiency of which are hereby acknowledged, Debtor and Secured Party hereby a...",
"SECURITY AGREEMENT This SECURITY AGREEMENT dated as of August 8, 2022, is executed by and between LD Micro, Inc., a Delaware corporation , and [ATW OPPORTUNITIES MASTER FUND II, LP] . R E C I T A L S : WHEREAS, pursuant to a Senior Secured Revolving Credit Facility Agreement dated as of even date herewith by and between SRAX, Inc., a Delaware corporation , additional Credit Parties, and the Secured Party, the Company desires to borrow funds and obtain financial accommodations from Secured Party ; and WHEREAS, in order to induce Secured Party to enter into the Loan with the Company, the Debtor, a Subsidiary of the Company, has entered into and executed a Guaranty Agreement dated of even date herewith in favor of Secured Party ; and WHEREAS, in order to induce the Secured Party to make the L...",
"PATENT Security Agreement This Patent Security Agreement, dated as of August 8, 2022, is made by each of the entities listed on the signature pages hereof , in favor of ATW OPPORTUNITIES MASTER FUND II, LP . W I T N E S S E T H: Whereas, pursuant to the Senior Secured Revolving Credit Facility Agreement, dated as of August 8, 2022 , between SRAX, Inc. , the Lender has agreed to extend financing to the Company upon the terms and subject to the conditions set forth therein; and Whereas, each Grantor has guaranteed the Obligations of the Company and other Credit Parties and all of the Grantors are party to Security Agreements of even date herewith with the Lender pursuant to which the Grantors are required to execute and deliver this Patent Security Agreement. Now, Therefore, in consideration...",
"TRADEMARK Security Agreement This Trademark Security Agreement, dated as of August 8, 2022, is made by each of the entities listed on the signature pages hereof , in favor of ATW OPPORTUNITIES MASTER FUND II, LP . W I T N E S S E T H: Whereas, pursuant to the Senior Secured Revolving Credit Facility Agreement, dated as of August 8, 2022 , between SRAX, Inc. , the Lender has agreed to extend financing to the Company upon the terms and subject to the conditions set forth therein; and Whereas, each Grantor has guaranteed the Obligations of the Company and other Credit Parties and all of the Grantors are party to Security Agreements of even date herewith with the Lender pursuant to which the Grantors are required to execute and deliver this Trademark Security Agreement. Now, Therefore, in cons...",
"PLEDGE AND ESCROW AGREEMENT",
"FEE LETTER August 8, 2022 SRAX, Inc. 2629 Townsgate Road #215 Westlake Village, CA 91361",
"REGISTRATION RIGHTS AGREEMENT This Registration Rights Agreement is made and entered into as of August 8, 2022, between SRAX, Inc., a Delaware corporation , and ATW Opportunities Master Fund II, LP . This Agreement is made pursuant to the Senior Secured Revolving Credit Facility Agreement, dated as of August 8, 2022 between the Company and the Holder . In consideration of the premises, the mutual provisions of this Agreement, and other good and valuable consideration the receipt and adequacy of which are hereby acknowledged, Company and the Holder agree as follows: Section 1. Definitions. Capitalized terms used and not otherwise defined herein that are defined in the Credit Agreement shall have the meanings given such terms in the Credit Agreement. As used in this Agreement, the following ..." |
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| 07/07/2022 |
8-K
| Quarterly results |
| 06/07/2022 |
8-K
| Quarterly results |
| 05/17/2022 |
NT 10-Q
| Form NT 10-Q - Notification of inability to timely file Form 10-Q or 10-QSB: |
| 04/27/2022 |
8-K
| Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing, Other Events, Financial ... |
| 04/05/2022 |
8-K
| Other Events, Financial Statements and Exhibits Interactive Data |
| 03/31/2022 |
NT 10-K
| Form NT 10-K - Notification of inability to timely file Form 10-K 405, 10-K, 10-KSB 405, 10-KSB, 10-KT, or 10-KT405: |
| 02/04/2022 |
4
| Form 4 - Statement of changes in beneficial ownership of securities: |
| 02/04/2022 |
4
| MIGLINO CHRISTOPHER (CEO) has filed a Form 4 on SRAX, Inc.|
Txns:
| Acquired 967,575 shares
@ $0
Granted 120,000 options to buy
@ $4.25, valued at
$510k
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| 02/04/2022 |
SC 13G/A
| Form SC 13G/A - Statement of acquisition of beneficial ownership by individuals: [Amend] |
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