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SEC Filings
All companies that sell securities in the United States must register with the Securities and Exchange Commission (SEC) and file reports on a regular basis.
These reports include company annual reports (10K, 10Q), news updates (8K), investor presentations (found in 8Ks), insider trades (form 4), ownership reports (13D, and 13G), and reports related to the specific securities sold, such as registration statements and prospectus. This page shows recent SEC filings related to AIkido Pharma Inc
SEC Filings (Chronological Order)
Halaman ini menyediakan daftar lengkap dan kronologis dari Pengajuan SEC, tidak termasuk pengajuan kepemilikan yang kami sediakan di tempat lain.
| August 28, 2025 |
DOMINARI HOLDINGS INC., as [ ], as INDENTURE TRUSTEE Dated as of [ ] TABLE OF CONTENTS Exhibit 4.4 DOMINARI HOLDINGS INC., as ISSUER and [ ], as INDENTURE TRUSTEE INDENTURE Dated as of [ ] TABLE OF CONTENTS Page ARTICLE I DEFINITIONS AND INCORPORATION BY REFERENCE 1 Section 1.01 Definitions 1 Section 1.02 Other Definitions 4 Section 1.03 Incorporation by Reference of Trust Indenture Act 4 Section 1.04 Rules of Construction 5 ARTICLE II THE SECURITIES 5 Section 2.01 Issuable in Serie |
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| August 28, 2025 |
Ex-Filing Fees CALCULATION OF FILING FEE TABLES S-3 Dominari Holdings Inc. Table 1: Newly Registered and Carry Forward Securities Line Item Type Security Type Security Class Title Notes Fee Calculation Rule Amount Registered Proposed Maximum Offering Price Per Unit Maximum Aggregate Offering Price Fee Rate Amount of Registration Fee Newly Registered Securities Fees to be Paid Equity Common Stock ( |
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| August 28, 2025 |
As filed with the Securities and Exchange Commission on August 28, 2025 As filed with the Securities and Exchange Commission on August 28, 2025 Registration No. |
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| August 11, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark one) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2025 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-41845 DOMINARI H |
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| June 27, 2025 |
Amendment to the Employment Agreement with Anthony Hayes, dated June 24, 2025. Exhibit 10.1 AMENDMENT TO EMPLOYMENT AGREEMENT This Amendment (the “Amendment”) to the Employment Agreement is made and entered into as of the last date that appears below the Parties’ signature lines on the last page of this Amendment (the “Effective Date”), by and between Anthony Hayes, an individual, (the “Executive”) and Dominari Holdings, Inc. (the “Corporation”) (each individually, a “Party, |
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| June 27, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or Section 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 24, 2025 Dominari Holdings Inc. (Exact name of registrant as specified in its charter) Delaware 001-41845 52-0849320 (State or other jurisdiction of incorporation) (Commi |
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| June 27, 2025 |
Amendment to the Employment Agreement with Kyle Wool, dated June 24, 2025. Exhibit 10.2 AMENDMENT TO EMPLOYMENT AGREEMENT This Amendment (the “Amendment”) to the Employment Agreement is made and entered into as of the last date that appears below the Parties’ signature lines on the last page of this Amendment (the “Effective Date”), by and between Kyle Wool, an individual, (the “Executive”) and Dominari Holdings, Inc. (the “Corporation”) (each individually, a “Party,” co |
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| May 23, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or Section 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 23, 2025 Dominari Holdings Inc. (Exact name of registrant as specified in its charter) Delaware 001-41845 52-0849320 (State or other jurisdiction of incorporation) (Commis |
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| May 13, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark one) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2025 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-41845 DOMINARI |
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| May 13, 2025 |
Exhibit 99.1 Dominari Holding’s Strategic Interest in Bitcoin Mining Set to Go Public American Bitcoin Enters into Definitive Merger Agreement with Nasdaq-listed Gryphon Digital Mining to Build World’s Largest, Most Efficient Pure-Play Bitcoin Minor Alongside A Robust and Strategic Bitcoin Reserve New York City/PR Newswire/May 13, 2025, Dominari Holdings Inc. (Nasdaq: DOMH), today congratulates Am |
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| May 13, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or Section 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 12, 2025 Dominari Holdings Inc. (Exact name of registrant as specified in its charter) Delaware 001-41845 52-0849320 (State or other jurisdiction of incorporation) (Commis |
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| April 30, 2025 |
Financial Statements and Exhibits, Changes in Registrant's Certifying Accountant UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or Section 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 25, 2025 Dominari Holdings Inc. (Exact name of registrant as specified in its charter) Delaware 001-41845 52-0849320 (State or other jurisdiction of incorporation) (Comm |
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| April 30, 2025 |
Letter from Marcum, dated April 30, 2025 Exhibit 16.1 April 30, 2025 Securities and Exchange Commission 100 F Street, N.E. Washington, DC 20549 Commissioners: We have read the statements made by Dominari Holdings Inc. under Item 4.01 of its Form 8-K dated April 30, 2025. We agree with the statements concerning our Firm in such Form 8-K; we are not in a position to agree or disagree with other statements of Dominari Holdings Inc. containe |
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| April 28, 2025 |
Dominari Holdings Inc. 725 5th Avenue, 22nd Floor New York, NY 10022 Dominari Holdings Inc. 725 5th Avenue, 22nd Floor New York, NY 10022 April 28, 2025 VIA EDGAR John Dana Brown Division of Corporation Finance Office of Crypto Assets U.S. Securities and Exchange Commission 100 F Street, NE Washington, D.C. 20549-4561 Re: Dominari Holdings Inc. Registration Statement on Form S-3 Filed April 21, 2025 File No. 333-286648 Dear John Dana Brown: Pursuant to Rule 461 und |
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| April 21, 2025 |
Exhibit 107 Calculation of Filing Fee Tables Form S-3 (Form Type) Dominari Holdings Inc. |
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| April 21, 2025 |
As filed with the Securities and Exchange Commission on April 18, 2025 As filed with the Securities and Exchange Commission on April 18, 2025 Registration No. |
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| April 15, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K (Mark one) ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2024 ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number 001-41845 DOMINARI HOLDINGS |
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| April 15, 2025 |
Exhibit 19.1 Dominari Holdings Inc. Insider Trading Policy Adopted and Approved December 5, 2022 1. Policy Statement This Insider Trading Policy (“Policy”) provides guidelines to directors, officers, employees, contractors, consultants and other related individuals (including members of the immediate family or household of any such person) of Dominari Holdings Inc. (the “Company”) with respect to |
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| April 15, 2025 |
Exhibit 21.1 List of Subsidiaries Aikido Labs LLC Dominari Financial Heritage Strategies LLC Dominari Financial LLC Dominari IM LLC Dominari Master SPV LLC Dominari Manager LLC Dominari Securities LLC |
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| April 3, 2025 |
Submission of Matters to a Vote of Security Holders UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 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): April 1, 2024 Dominari Holdings Inc. (Exact name of registrant as specified in its charter) Delaware 001-41845 52-0849320 (State or other Jurisdiction of Incorporation) (Commission Fi |
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| March 31, 2025 |
Regulation FD Disclosure, Other Events, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or Section 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 31, 2025 Dominari Holdings Inc. (Exact name of registrant as specified in its charter) Delaware 001-41845 52-0849320 (State or other jurisdiction of incorporation) (Comm |
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| March 31, 2025 |
Exhibit 99.1 Dominari Holdings Investment, American Data Centers, Becomes American Bitcoin in Transformative Bitcoin Mining Deal with Hut 8 Dominari Executing Expansion Strategy with Investment in Industrial Scale Bitcoin Mining and Bitcoin Reserve Development New York City/PRNewswire/March 31, 2025, Dominari Holdings Inc. (Nasdaq: DOMH) today announced that American Data Centers Inc. (“ADC”) and |
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| March 28, 2025 |
Exhibit 99.1 Dominari Holdings Reports Preliminary FY 2024 Financial Results 2024 Revenue Surges to Approximately $19 Million as Company Executes Growth and Expansion Strategy NEW YORK CITY / PR NEWSWIRE / March 28, 2025 / Dominari Holdings Inc. (Nasdaq: DOMH) (the "Company" or “Dominari”) today announced its preliminary, unaudited revenue results for the full year ended December 31, 2024. Based o |
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| March 28, 2025 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or Section 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 28, 2025 Dominari Holdings Inc. (Exact name of registrant as specified in its charter) Delaware 001-41845 52-0849320 (State or other jurisdiction of incorporation) (Comm |
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| March 27, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 12b-25 NOTIFICATION OF LATE FILING (Check One): ☒ Form 10-K ☐ Form 20-F ☐ Form 11-K ☐ Form 10-Q ☐ Form 10-D ☐ Form N-CEN ☐ Form N-CSR For Period Ended: December 31, 2024 ☐ Transition Report on Form 10-K ☐ Transition Report on Form 20-F ☐ Transition Report on Form 11-K ☐ Transition Report on Form 10-K For the Transition Pe |
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| March 10, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☒ Definitive Proxy State |
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| February 25, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☒ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐ Definitive Proxy State |
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| February 18, 2025 |
Regulation FD Disclosure, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or Section 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 18, 2025 Dominari Holdings Inc. (Exact name of registrant as specified in its charter) Delaware 001-41845 52-0849320 (State or other jurisdiction of incorporation) (C |
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| February 18, 2025 |
Exhibit 99.1 Dominari Announces Strategic Entry into U.S. AI Data Center Market Special Cash Dividend Determined to be $0.32 per Share. NEW YORK CITY / ACCESSWIRE / February 18, 2025 / Dominari Holdings Inc. (Nasdaq: DOMH) (the “Company” or “Dominari”) today announced the creation of American Data Centers Inc. (“ADC”). ADC is an independent company, whose members include Dominari, Donald J. Trump |
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| February 12, 2025 |
Exhibit 4.1 NEITHER THIS SECURITY NOR THE SECURITIES FOR WHICH THIS SECURITY IS EXERCISABLE HAVE BEEN REGISTERED WITH THE SECURITIES AND EXCHANGE COMMISSION OR THE SECURITIES COMMISSION OF ANY STATE IN RELIANCE UPON AN EXEMPTION FROM REGISTRATION UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE “SECURITIES ACT”), AND, ACCORDINGLY, MAY NOT BE OFFERED OR SOLD EXCEPT PURSUANT TO AN EFFECTIVE REGISTR |
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| February 12, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or Section 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 10, 2025 Dominari Holdings Inc. (Exact name of registrant as specified in its charter) Delaware 001-41845 52-0849320 (State or other jurisdiction of incorporation) (C |
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| February 12, 2025 |
Exhibit 99.1 Dominari Holdings Inc. Announces $13.5 Million Registered Direct and Private Placement Offerings Priced At-The-Market Under Nasdaq Rules and Declares Special Cash Dividend NEW YORK CITY / ACCESSWIRE / February 11, 2025 / Dominari Holdings Inc. (Nasdaq: DOMH) (the “Company” or “Dominari”) today announced that it has entered into definitive securities purchase agreements with certain in |
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| February 12, 2025 |
Exhibit 99.2 Donald Trump Jr. and Eric Trump Join Dominari Holdings Inc.’s Advisory Board Company Sharpens Focus on Data Center and AI Investment Opportunities NEW YORK CITY / ACCESSWIRE / February 11, 2025 / Dominari Holdings Inc. (Nasdaq: DOMH) (the “Company”) today announces that Donald Trump Jr., a globally recognized business leader and best-selling author, and Eric Trump, a widely acclaimed |
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| February 12, 2025 |
1,439,467 Shares of Common Stock Filed Pursuant to Rule 424(b)(5) Registration No. 333-283804 PROSPECTUS SUPPLEMENT (To Prospectus Dated December 23, 2024) 1,439,467 Shares of Common Stock Pursuant to this prospectus supplement and the accompanying prospectus as well as a securities purchase agreement dated as of February 10, 2025, by and between us and the purchasers named therein, we are offering in a registered direct offering |
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| February 12, 2025 |
Form of PIPE Purchase Agreement. Exhibit 10.2 SECURITIES PURCHASE AGREEMENT This Securities Purchase Agreement (this “Agreement”) is dated as of February 10, 2025, between Dominari Holdings Inc., a Delaware corporation (the “Company”), and each purchaser identified on the signature pages hereto (each, including its successors and assigns, a “Purchaser” and collectively, the “Purchasers”). WHEREAS, subject to the terms and conditi |
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| February 12, 2025 |
Form of RD Purchase Agreement. Exhibit 10.1 SECURITIES PURCHASE AGREEMENT This Securities Purchase Agreement (this “Agreement”) is dated as of February 10, 2025, between Dominari Holdings Inc., a Delaware corporation (the “Company”), and each purchaser identified on the signature pages hereto (each, including its successors and assigns, a “Purchaser” and collectively, the “Purchasers”). WHEREAS, subject to the terms and conditi |
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| February 12, 2025 |
Exhibit 10.3 ADVISORY BOARD AGREEMENT This Advisory Agreement (the “Agreement”) is made as of February [ ], 2025 (the “Effective Date”) by and between Dominari Holdings Inc., a Delaware corporation (the “Company”) and [ ] (the “Advisor”). WHEREAS, the Company desires to obtain the services of Advisor to serve on the Company’s Board of Advisors, and the Advisor desires to serve on the Board of Advi |
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| February 12, 2025 |
Form of Stock Option Agreement. Exhibit 10.4 AIKIDO PHARMA, INC. 2022 equity INCENTIVE PLAN STOCK OPTION GRANT AGREEMENT I. NOTICE OF OPTION GRANT Grantee Name: Address: Dominari Holdings, Inc. f/k/a “Aikido Pharma, Inc.”, a Delaware corporation (the “Company”) hereby grants the undersigned Grantee (the “Grantee”) a stock option (the “Option”) to purchase shares of the Company’s common stock, par value $0.0001 per share (the “Sh |
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| February 12, 2025 |
EX-1.01 2 ea023079101ex1-01domi.htm JOINT FILING AGREEMENT, DATED AS OF FEBRUARY 12, 2025, BETWEEN THE REPORTING PERSONS Exhibit 1.01 JOINT FILING AGREEMENT In accordance with Rule 13d-1(k)(1) under the Securities Exchange Act of 1934, as amended, each of the undersigned hereby agrees to the joint filing of a statement on Schedule 13D (including amendments thereto) with respect to the common stock |
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| February 12, 2025 |
Exhibit 4.2 NEITHER THIS SECURITY NOR THE SECURITIES FOR WHICH THIS SECURITY IS EXERCISABLE HAVE BEEN REGISTERED WITH THE SECURITIES AND EXCHANGE COMMISSION OR THE SECURITIES COMMISSION OF ANY STATE IN RELIANCE UPON AN EXEMPTION FROM REGISTRATION UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE “SECURITIES ACT”), AND, ACCORDINGLY, MAY NOT BE OFFERED OR SOLD EXCEPT PURSUANT TO AN EFFECTIVE REGISTR |
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| January 21, 2025 |
Exhibit 107 Calculation of Filing Fee Tables Form S-8 (Form Type) Dominari Holdings Inc. |
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| January 21, 2025 |
As filed with the Securities and Exchange Commission on January 21, 2025 As filed with the Securities and Exchange Commission on January 21, 2025 Registration No. |
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| January 3, 2025 |
Exhibit 1.03 JOINT FILING AGREEMENT In accordance with Rule 13d-1(k)(1) under the Securities Exchange Act of 1934, as amended, each of the undersigned hereby agrees to the joint filing of a statement on Schedule 13D (including amendments thereto) with respect to the common stock, par value $0.0001 per share, of Dominari Holdings Inc., a Delaware corporation, and that this agreement be included as |
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| December 23, 2024 |
Exhibit 107 Calculation of Filing Fee Tables Form S-8 (Form Type) iSpecimen Inc. (Exact Name of Registrant as Specified in its Charter) Security Type Security Class Title Fee Calculation Rule Amount Registered (1) Proposed Maximum Aggregate Offering Price Per Share (2) Maximum Aggregate Offering Price (2) Fee Rate Amount of Registration Fee Equity Common Stock, $0.0001 par value per share Rules 45 |
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| December 23, 2024 |
As filed with the Securities and Exchange Commission on December 23, 2024 As filed with the Securities and Exchange Commission on December 23, 2024 Registration No. |
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| December 20, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or Section 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): December 20, 2024 Dominari Holdings Inc. (Exact name of registrant as specified in its charter) Delaware 001-41845 52-0849320 (State or other jurisdiction of incorporation) (C |
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| December 19, 2024 |
Dominari Holdings Inc. 725 5th Avenue, 22nd Floor New York, NY 10022 Dominari Holdings Inc. 725 5th Avenue, 22nd Floor New York, NY 10022 December 19, 2024 VIA EDGAR Irene Paik Division of Corporation Finance Office of Crypto Assets U.S. Securities and Exchange Commission 100 F Street, NE Washington, D.C. 20549-4561 Re: Dominari Holdings Inc. Registration Statement on Form S-3 Filed December 13, 2024 File No. 333-283804 Dear Irene Paik: Pursuant to Rule 461 under t |
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| December 13, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM S-3 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 DOMINARI HOLDINGS INC. (Exact name of registrant as specified in its charter) Delaware 52-0849320 (State or other jurisdiction of (I.R.S. Employer incorporation or organization) Identification Number) 725 5th Avenue, 22nd Floor, New York, NY 10022 (212) 393-4540 |
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| December 13, 2024 |
Calculation of Filing Fee Table* Exhibit 107 Calculation of Filing Fee Tables Form S-3 (Form Type) Dominari Holdings Inc. |
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| November 8, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark one) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2024 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-41845 DOMIN |
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| November 7, 2024 |
Submission of Matters to a Vote of Security Holders UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 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 7, 2024 (November 6, 2024) Dominari Holdings Inc. (Exact name of registrant as specified in its charter) Delaware 001-41845 52-0849320 (State or other Jurisdiction of Incorpo |
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| September 25, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐ Definitive Proxy State |
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| September 25, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☒ Definitive Proxy State |
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| September 13, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☒ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐ Definitive Proxy State |
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| August 29, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 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): August 29, 2024 Dominari Holdings Inc. (Exact name of registrant as specified in its charter) Delaware 001-41845 52-0849320 (State or other jurisdiction of incorporation) (Commission |
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| August 14, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or Section 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 13, 2024 Dominari Holdings Inc. (Exact name of registrant as specified in its charter) Delaware 001-41845 52-0849320 (State or other jurisdiction of incorporation) (Com |
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| August 14, 2024 |
Dominari Securities LLC Receives Milestone Approval as a Nasdaq Limited Underwriting Member Exhibit 99.1 Dominari Securities LLC Receives Milestone Approval as a Nasdaq Limited Underwriting Member NEW YORK, August 13, 2024 /PRNewswire/ - Dominari Holdings Inc. (Nasdaq: DOMH) (the “Company”) today announced that its wholly-owned subsidiary, Dominari Securities LLC (“Dominari”), has been approved as a Limited Underwriting Member of the Nasdaq Stock Market. This approval enables Dominari to |
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| August 8, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark one) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2024 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-41845 DOMINARI H |
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| July 11, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or Section 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): July 11, 2024 Dominari Holdings Inc. (Exact name of registrant as specified in its charter) Delaware 001-41845 52-0849320 (State or other jurisdiction of incorporation) (Commi |
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| June 18, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or Section 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 17, 2024 Dominari Holdings Inc. (Exact name of registrant as specified in its charter) Delaware 001-41845 52-0849320 (State or other jurisdiction of incorporation) (Commi |
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| June 13, 2024 |
DOMH / Dominari Holdings Inc. / Hayes Anthony - AMENDMENT NO. 1 TO SCHEDULE 13D Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION, Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 1)* Dominari Holdings Inc. (Name of Issuer) Common stock, par value $0.0001 per share (Title of Class of Securities) 0088753043 (CUSIP Number) Robert Charron Ellenoff Grossman & Schole LLP 1345 6th Avenue New York, NY 10105 (212) 393-4540 (Name, Address and |
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| June 13, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 3)* Dominari Holdings Inc. (Name of Issuer) Common Stock, par value $0.0001 per share (Title of Class of Securities) 0088753043 (CUSIP Number) Scott A. Mautner, Esq. Harrington Ocko & Monk, LLP 81 Main Street, Suite 215 White Plains, NY 10601 (914) 686-4800 |
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| June 13, 2024 |
Joint Filing Agreement, dated as of June 13, 2024, between the Reporting Persons. EX-1.03 2 ea020785101ex1-03dominari.htm JOINT FILING AGREEMENT, DATED AS OF JUNE 13, 2024, BETWEEN THE REPORTING PERSONS Exhibit 1.03 JOINT FILING AGREEMENT In accordance with Rule 13d-1(k)(1) under the Securities Exchange Act of 1934, as amended, each of the undersigned hereby agrees to the joint filing of a statement on Schedule 13D (including amendments thereto) with respect to the common stock |
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| May 21, 2024 |
Exhibit 10.1 LIMITED LIABILITY COMPANY OPERATING AGREEMENT OF DOMINARI FINANCIAL HERITAGE STRATEGIES LLC Dated as of May 21, 2024 TABLE OF CONTENTS Page ARTICLE I. DEFINITIONS 1 ARTICLE II. THE COMPANY; COMPANY PROPERTY 9 2.1 The Act; The Company Certificate 9 2.2 Company Formation, Name and Office 9 2.3 Purposes of the Company 10 2.4 Term of the Company 10 2.5 Title to Property 10 ARTICLE III. RE |
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| May 21, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or Section 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 21, 2024 Dominari Holdings Inc. (Exact name of registrant as specified in its charter) Delaware 001-41845 52-0849320 (State or other jurisdiction of incorporation) (Commis |
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| May 9, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark one) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2024 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-41845 DOMINARI |
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| April 1, 2024 |
EXHIBIT 97.1 DOMINARI HOLDINGS INC. EXECUTIVE COMPENSATION CLAWBACK POLICY Effective as of December 1, 2023 The Board of Directors (the “Board”) of Dominari Holdings Inc. (the “Company”) has adopted the following executive compensation clawback policy (this “Policy”). This Policy shall supplement any other clawback or compensation recovery policy or policies adopted by the Company or included in a |
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| April 1, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K (Mark one) ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2023 ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number 001-41845 DOMINARI HOLDINGS |
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| April 1, 2024 |
EXHIBIT 21.1 List of Subsidiaries AIkido Labs LLC Dominari Financial Inc. Dominari Securities LLC |
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| December 28, 2023 |
Joint Filing Agreement, dated as of December 28, 2023, between the Reporting Persons. Exhibit 1.04 JOINT FILING AGREEMENT In accordance with Rule 13d-1(k)(1) under the Securities Exchange Act of 1934, as amended, each of the undersigned hereby agrees to the joint filing of a statement on Schedule 13D (including amendments thereto) with respect to the common stock, par value $0.0001 per share, of Dominari Holdings Inc., a Delaware corporation, and that this agreement be included as |
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| December 28, 2023 |
SC 13D/A 1 ea190845-13da2wooldominari.htm AMENDMENT NO. 2 TO SCHEDULE 13D UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 2)* Dominari Holdings Inc. (Name of Issuer) Common Stock, par value $0.0001 per share (Title of Class of Securities) 0088753043 (CUSIP Number) Scott A. Mautner, Esq. Harrington Ocko & |
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| December 28, 2023 |
DOMH / Dominari Holdings Inc. / Hayes Anthony - SCHEDULE 13D Activist Investment SC 13D 1 ea190859-13dhayesdominari.htm SCHEDULE 13D UNITED STATES SECURITIES AND EXCHANGE COMMISSION, Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No.)* Dominari Holdings Inc. (Name of Issuer) Common stock, par value $0.0001 per share (Title of Class of Securities) 0088753043 (CUSIP Number) Robert Charron Ellenoff Grossman & Schole LLP 1345 6th Avenue Ne |
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| December 28, 2023 |
EX-1.03 2 ea190845ex1-03dominari.htm STOCK GRANT AGREEMENT, EXECUTED ON DECEMBER 21, 2023 AND EFFECTIVE AS OF DECEMBER 19, 2023, BY AND BETWEEN DOMINARI HOLDINGS INC. AND SOO YU Exhibit 1.03 STOCK GRANT AGREEMENT This agreement (the “Agreement”) is made as of December 19, 2023 (the “Effective Date”) by and between Dominari Holdings, Inc. (the “Company”) and Soo Yu (the “Participant”) to reflect ce |
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| December 18, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or Section 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): December 13, 2023 Dominari Holdings Inc. (Exact name of registrant as specified in its charter) Delaware 001-41845 52-0849320 (State or other jurisdiction of incorporation) (C |
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| November 13, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or Section 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 9, 2023 Dominari Holdings Inc. (Exact name of registrant as specified in its charter) Delaware 001-41845 52-0849320 (State or other jurisdiction of incorporation) (Co |
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| November 6, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark one) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2023 ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number 001-41845 DOMINARI |
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| October 31, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or Section 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): October 30, 2023 Dominari Holdings Inc. (Exact name of registrant as specified in its charter) Delaware 000-05576 52-0849320 (State or other jurisdiction of incorporation) (Co |
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| October 19, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-A FOR REGISTRATION OF CERTAIN CLASSES OF SECURITIES PURSUANT TO SECTION 12(b) OR (g) OF THE SECURITIES EXCHANGE ACT OF 1934 DOMINARI HOLDINGS INC. (Exact name of Registrant as specified in its charter) Delaware 52-0849320 (State of other incorporation or organization) (I.R.S. Employer I.D. No.) 725 5TH Avenue, 23rd Floo |
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| October 17, 2023 |
Exhibit 4.1 RIGHTS AGREEMENT This RIGHTS AGREEMENT, dated as of October 11, 2023 (this “Agreement”), by and between Dominari Holdings Inc., a Delaware corporation (the “Company”), and Continental Stock Transfer & Trust Company, as rights agent (the “Rights Agent”). WHEREAS, the Company and the Rights Agent were parties to a Rights Agreement, dated as of November 24, 2020 (the “Prior Rights Agreeme |
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| October 17, 2023 |
Exhibit 3.1 CERTIFICATE OF DESIGNATION OF SERIES Q PREFERRED STOCK OF DOMINARI HOLDINGS INC. (Pursuant to Section 151 of the Delaware General Corporation Law) In accordance with Section 151 of the Delaware General Corporation Law, the undersigned corporation, hereby certifies that the following resolution was adopted by the Board of Directors of Dominari Holdings Inc., a Delaware corporation (the |
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| October 17, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or Section 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): October 17, 2023 (October 11, 2023) Dominari Holdings Inc. (Exact name of registrant as specified in its charter) Delaware 000-05576 52-0849320 (State or other jurisdiction of |
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| October 10, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or Section 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): October 10, 2023 (October 9, 2023) Dominari Holdings Inc. (Exact name of registrant as specified in its charter) Delaware 000-05576 52-0849320 (State or other jurisdiction of |
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| September 22, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or Section 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): September 22, 2023 (September 21, 2023) Dominari Holdings Inc. (Exact name of registrant as specified in its charter) Delaware 000-05576 52-0849320 (State or other jurisdictio |
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| August 11, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☒ Definitive Proxy State |
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| August 11, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐ Definitive Proxy State |
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| August 9, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark one) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2023 ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number 000-05576 DOMINARI HOLDI |
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| July 6, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 1)* Dominari Holdings Inc. (Name of Issuer) Common Stock, par value $0.0001 per share (Title of Class of Securities) 0088753043 (CUSIP Number) Scott A. Mautner, Esq. Harrington Ocko & Monk, LLP 81 Main Street, Suite 215 White Plains, NY 10601 (914) 686-4800 |
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| July 6, 2023 |
Joint Filing Agreement, dated as of July 6, 2023, between the Reporting Persons. EXHIBIT 1.03 JOINT FILING AGREEMENT In accordance with Rule 13d-1(k)(1) under the Securities Exchange Act of 1934, as amended, each of the undersigned hereby agrees to the joint filing of a statement on Schedule 13D (including amendments thereto) with respect to the common stock, par value $0.0001 per share, of Dominari Holdings Inc., a Delaware corporation, and that this agreement be included as |
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| June 12, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or Section 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 12, 2023 Dominari Holdings Inc. (Exact name of registrant as specified in its charter) Delaware 000-05576 52-0849320 (State or other jurisdiction of incorporation) (Commi |
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| June 6, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or Section 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 5, 2023 Dominari Holdings Inc. (Exact name of registrant as specified in its charter) Delaware 000-05576 52-0849320 (State or other jurisdiction of incorporation) (Commis |
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| May 26, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or Section 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 24, 2023 Dominari Holdings Inc. (Exact name of registrant as specified in its charter) Delaware 000-05576 52-0849320 (State or other jurisdiction of incorporation) (Commis |
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| May 22, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or Section 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 16, 2023 Dominari Holdings Inc. (Exact name of registrant as specified in its charter) Delaware 000-05576 52-0849320 (State or other jurisdiction of incorporation) (Commis |
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| May 11, 2023 |
Exhibit 10.1 EMPLOYMENT AGREEMENT THIS EMPLOYMENT AGREEMENT (the “Agreement”) is made and entered effective as of April 3, 2023 (the “Effective Date”), by and between DOMINARI SECURITIES LLC, a Connecticut limited liability company with offices at 725 Fifth Avenue, New York, NY 10022 (the “Company”), and Soo Yu, an individual residing at 25 Rady LN, East Quogue, NY 11942 (the “Employee”), under th |
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| May 11, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark one) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2023 ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number 000-05576 DOMINARI HOLD |
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| May 11, 2023 |
Exhibit 10.2 AMENDMENT TO EMPLOYMENT AGREEMENT This Amendment to Employment Agreement, dated as of April 19, 2023 (the “Amendment”), is made to that certain Employment Agreement (the “Agreement”), dated as of April 3, 2023, between Dominari Securities LLC (the “Company”) and Soo Yu (the “Employee”). Capitalized terms used but not defined herein shall have the meanings ascribed to them in the Agree |
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| May 5, 2023 |
Exhibit 10.2 EXHIBIT A LOAN AGREEMENT This Loan Agreement (this “Agreement”) is dated as of May 1, 2023 (the “Effective Date”) and is entered into by and between Dominari Holdings Inc. (“Dominari”) and Matthew B. McCullough (“Executive”). WHEREAS, Executive has requested that Dominari make a loan to Executive (the “Loan”). Dominari has agreed to make the Loan, in an amount that has been agreed upo |
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| May 5, 2023 |
Exhibit 10.3 EXHIBIT B EXECUTIVE BONUS AGREEMENT This Executive Bonus Agreement (this “Agreement”) is dated as May 1, 2023 (the “Effective Date”) and is entered into by and between Dominari Holdings Inc. (“Dominari”) and Matthew B. McCullough (the “Executive”). WHEREAS, Executive has entered into a Employment Agreement with Dominari, dated as of May 1, 2023 (the “Executive Agreement”), wherein Dom |
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| May 5, 2023 |
exhibit 10.1 EMPLOYMENT AGREEMENT THIS EMPLOYMENT AGREEMENT (the “Agreement”) is made and entered effective as of May 1, 2023 (the “Effective Date”), by and between Dominari Holdings, Inc., a Delaware corporation with offices at 725 5th Avenue, New York, NY 10022 (the “Corporation”), and Matthew B. McCullough, an individual residing in the State of New York (the “Executive”), under the following c |
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| May 5, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or Section 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 1, 2023 Dominari Holdings Inc. (Exact name of registrant as specified in its charter) Delaware 000-05576 52-0849320 (State or other jurisdiction of incorporation) (Commiss |
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| April 7, 2023 |
Calculation of Filing Fee Table Exhibit 107 CALCULATION OF FILING FEE TABLE FORM S-8 (Form type) Dominari Holdings Inc. |
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| April 7, 2023 |
As filed with the Securities and Exchange Commission on April 6, 2023 As filed with the Securities and Exchange Commission on April 6, 2023 Registration No. |
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| April 3, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or Section 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 29, 2023 Dominari Holdings Inc. (Exact name of registrant as specified in its charter) Delaware 000-05576 52-0849320 (State or other jurisdiction of incorporation) (Comm |
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| April 3, 2023 |
EXHIBIT 99.1 Dominari Holdings Appoints George Way Chief Financial Officer Experienced Finance Executive to Support Growth Strategy New York, April 3, 2023 – Dominari Holdings Inc. (Nasdaq: DOMH) (“Dominari” or the “Company”) today announced that George Way has been named Chief Financial Officer effective April 3, 2023. Mr. Way brings more than 30 years of experience in finance, accounting, acquis |
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| April 3, 2023 |
eXHIBIT 10.1 EMPLOYMENT AGREEMENT THIS EMPLOYMENT AGREEMENT (the “Agreement”) is made and entered into on March 29, 2023, by and between Dominari Holdings, Inc., a Delaware corporation with offices at 725 5th Avenue, New York, NY 10022 (the “Corporation”), and George M. Way, an individual residing 156 Firethorne Trail, Basking Ridge, NJ 07920-3176 (the “Executive”), under the following circumstanc |
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| March 31, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K (Mark one) ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2022 ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number 000-05576 DOMINARI HOLDINGS |
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| March 31, 2023 |
Exhibit 10.29 EMPLOYMENT AGREEMENT THIS EMPLOYMENT AGREEMENT (the “Agreement”) is made and entered effective as of July 22, 2022 (the “Effective Date”), by and between Aikido Pharma Inc., a Delaware with offices at One Rockefeller Plaza, 11th Floor, New York, NY (the “Corporation”), and Carlos Aldavero, an individual residing at 5 West 86th Street, Apt. 9E, New York, NY 10024 (the “Executive”), un |
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| March 31, 2023 |
Exhibit 4.6 DESCRIPTION OF SECURITIES REGISTERED PURSUANT TO SECTION 12 OF THE SECURITIES EXCHANGE ACT OF 1934 Common Stock The following description is based on relevant portions of the Delaware General Corporation Law (the “DGCL”) and our Amended and Restated Certificate of Incorporation (the “Certificate of Incorporation”). This summary is a description of the material terms of, and is qualifie |
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| March 31, 2023 |
Exhibit 21.1 List of Subsidiaries AIkido Labs LLC Dominari Financial Inc. Dominari Securities LLC |
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| March 28, 2023 |
Amended and Restated Membership Interest Purchase Agreement Exhibit 10.1 AMENDED AND RESTATED MEMBERSHIP INTEREST PURCHASE AGREEMENT THIS AMENDED AND RESTATED MEMBERSHIP INTEREST PURCHASE AGREEMENT (this “Agreement”) is entered into and effective as of March 27, 2023, by and among Fieldpoint Private Securities, LLC (the “Company”), a Connecticut limited liability company and a wholly-owned subsidiary of Fieldpoint Private Bank & Trust, a Connecticut bank ( |
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| March 28, 2023 |
Exhibit 99.1 Dominari Financial, Inc. Acquires Leading Broker Dealer and Registered Investment Advisor Business Acquisition of Fieldpoint Private Securities Accelerates the Growth of the Company’s Business with Launch of New Broker-Dealer and RIA Division New York, NY, March 27, 2023 - Dominari Financial Inc., the financial services subsidiary of Dominari Holdings Inc., has announced the acquisiti |
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| March 28, 2023 |
Financial Statements and Exhibits, Completion of Acquisition or Disposition of Assets, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 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): March 27, 2023 DOMINARI HOLDINGS INC. (Exact name of registrant as specified in its charter) Delaware 000-05576 52-0849320 (State or other jurisdiction of incorporation) (Commission F |
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| January 6, 2023 |
EX-10.1 2 ea171330ex10-1dominari.htm EMPLOYMENT AGREEMENT, MADE AND ENTERED INTO AS OF JULY 1, 2022, BY AND BETWEEN AIKIDO PHARMA INC AND CHRIS DEVALL Exhibit 10.1 EMPLOYMENT AGREEMENT THIS EMPLOYMENT AGREEMENT (the “Agreement”) is made and entered into as of July 1, 2022 (the “Effective Date”), by and between AIKIDO PHARMA, INC. a Delaware corporation with offices at One Rockefeller Plaza, 11th F |
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| January 6, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or Section 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): January 1, 2023 Dominari Holdings Inc. (Exact name of registrant as specified in its charter) Delaware 000-05576 52-0849320 (State or other jurisdiction of incorporation) (Com |
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| January 6, 2023 |
EX-10.2 3 ea171330ex10-2dominari.htm AMENDMENT TO EMPLOYMENT AGREEMENT, DATED AS OF JANUARY 1, 2023, BY AND BETWEEN DOMINARI HOLDINGS INC. AND CHRISTOPHER DEVALL Exhibit 10.2 AMENDMENT TO EMPLOYMENT AGREEMENT This Amendment to Employment Agreement, dated as of January 1, 2023 (the “Amendment”), is made to that certain Employment Agreement (the “Agreement”), dated as of July 1, 2022, between Domina |
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| December 28, 2022 |
Joint Filing Agreement, dated as of December 28, 2022, between the Reporting Persons. Exhibit 1.05 JOINT FILING AGREEMENT In accordance with Rule 13d-1(k)(1) under the Securities Exchange Act of 1934, as amended, each of the undersigned hereby agrees to the joint filing of a statement on Schedule 13D (including amendments thereto) with respect to the common stock, par value $0.0001 per share, of Dominari Holdings Inc. (f/k/a AIkido Pharma Inc.), a Delaware corporation, and that thi |
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| December 28, 2022 |
DOMH / Dominari Holdings Inc / Wool Kyle Michael - SCHEDULE 13D Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. )* Dominari Holdings Inc. (Name of Issuer) Common Stock, par value $0.0001 per share (Title of Class of Securities) 0088753043 (CUSIP Number) Scott A. Mautner, Esq. Harrington Ocko & Monk, LLP 81 Main Street, Suite 215 White Plains, NY 10601 (914) 686-4800 ( |
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| December 22, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or Section 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): December 22, 2022 Dominari Holdings Inc. (Exact name of registrant as specified in its charter) Delaware 000-05576 52-0849320 (State or other jurisdiction of incorporation) (C |
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| December 22, 2022 |
Exhibit 3.1 |
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| December 22, 2022 |
Exhibit 99.1 AIkido Pharma Announces Name and Stocker Ticker Symbol Change to Dominari Holdings Inc. (Nasdaq: DOMH) NEW YORK, NY December 22, 2022 /PRNewswire/ AIkido Pharma Inc. (NASDAQ: AIKI) (the “Company”) today announced that it has changed its name from AIkido Pharma Inc. to Dominari Holdings Inc. and its ticker symbol from “AIKI” to “DOMH.” The Company expects that its shares of common stoc |
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| December 6, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 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): December 5, 2022 AIKIDO PHARMA INC. (Exact name of registrant as specified in its charter) Delaware 000-05576 52-0849320 (State or other jurisdiction of incorporation) (Commission Fil |
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| November 10, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark one) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2022 ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number 000-05576 AIKIDO PH |
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| October 21, 2022 |
Exhibit 10.2 AMENDMENT TO AMENDED RESTATED SERVICES AGREEMENT THIS AMENDMENT TO AMENDED AND RESTATED SERVICES AGREEMENT (?Amendment?) is an agreement made by and between DOMINARI FINANCIAL INC., a Delaware corporation with offices at One Rockefeller Plaza, 11th Floor, New York, NY (the ?Corporation?), and Kyle Wool, an individual residing at 25 Rady LN, East Quogue, NY 11942 (the ?Executive?). The |
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| October 21, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (RULE 14a-101) SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ? Filed by a Party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? Confidential, For Use of the Commission Only (As Permitted by Ru |
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| October 21, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (RULE 14a-101) SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ? Filed by a Party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? Confidential, For Use of the Commission Only (As Permitted by Ru |
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| October 21, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 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): October 17, 2022 AIKIDO PHARMA INC. (Exact name of registrant as specified in its charter) Delaware 000-05576 52-0849320 (State or other jurisdiction of incorporation) (Commission Fil |
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| October 21, 2022 |
Exhibit 10.1 CERTAIN INFORMATION, IDENTIFIED BY, AND REPLACED WITH, A MARK OF ?[***]? HAS BEEN EXCLUDED FROM THIS DOCUMENT BECAUSE IT IS BOTH (I) NOT MATERIAL AND (II) IS THE TYPE OF INFORMATION THAT THE REGISTRANT TREATS AS PRIVATE AND CONFIDENTIAL AMENDED AND RESTATED SERVICES AGREEMENT THIS AMENDED AND RESTATED SERVICES AGREEMENT (the ?Agreement?) is made and entered effective as of October 17, |
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| October 7, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 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): October 7, 2022 AIKIDO PHARMA INC. (Exact name of registrant as specified in its charter) Delaware 000-05576 52-0849320 (State or other jurisdiction of incorporation) (Commission File |
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| September 29, 2022 |
Entry into a Material Definitive Agreement UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 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): September 23, 2022 AIKIDO PHARMA INC. (Exact name of registrant as specified in its charter) Delaware 000-05576 52-0849320 (State or other jurisdiction of incorporation) (Commission F |
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| September 12, 2022 |
Exhibit 99.1 Dominari Financial, Inc. Executes Definitive Agreement to Buy Broker-Dealer Acquisition Will Accelerate Growth Strategy New York, NY, September 9, 2022 - Dominari Financial, Inc., the financial services subsidiary of AIkido Pharma Inc., (NASDAQ: ?AIKI?) has entered into an exclusive agreement for the acquisition of a broker-dealer firm. This is Dominari?s first acquisition since launc |
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| September 12, 2022 |
Exhibit 2.1 Execution Version MEMBERSHIP INTEREST PURCHASE AGREEMENT THIS MEMBERSHIP INTEREST PURCHASE AGREEMENT (this ?Agreement?) is entered into and effective as of September 9, 2022 (the ?Effective Date?), by and among Fieldpoint Private Securities, LLC (the ?Company?), a Connecticut limited liability company and a wholly-owned subsidiary of Fieldpoint Private Bank & Trust, a Connecticut bank |
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| September 12, 2022 |
Entry into a Material Definitive Agreement, Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 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): September 9, 2022 AIKIDO PHARMA INC. (Exact name of registrant as specified in its charter) Delaware 000-05576 52-0849320 (State or other jurisdiction of incorporation) (Commission Fi |
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| September 7, 2022 |
As filed with the Securities and Exchange Commission on September 7, 2022 As filed with the Securities and Exchange Commission on September 7, 2022 Registration No. |
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| September 7, 2022 |
Exhibit 107 CALCULATION OF FILING FEE TABLE FORM S-8 (Form type) AIkido Pharma, Inc. |
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| August 19, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 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): August 9, 2022 AIKIDO PHARMA INC. (Exact name of registrant as specified in its charter) Delaware 000-05576 52-0849320 (State or other jurisdiction of incorporation) (Commission File |
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| August 12, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark one) ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2022 ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number 000-05576 AIKIDO PHARMA |
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| July 6, 2022 |
Letter of WithumSmith+Brown, PC, to the Securities and Exchange Commission dated July 6, 2022 Exhibit 16.1 July 6, 2022 Office of the Chief Accountant Securities and Exchange Commission 100 F Street, NE Washington, D.C. 20549 Ladies and Gentlemen: We have read Aikido Pharma Inc.?s statements included under Item 4.01 of its Form 8-K dated July 6, 2022. We agree with the statements concerning our Firm under Item 4.01, in which we were informed of our dismissal on July 5, 2022. We are not in |
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| July 6, 2022 |
Financial Statements and Exhibits, Changes in Registrant's Certifying Accountant UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 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): July 6, 2022 AIKIDO PHARMA INC. (Exact name of registrant as specified in its charter) Delaware 000-05576 52-0849320 (State or other jurisdiction of incorporation) (Commission File Nu |
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| June 28, 2022 |
AIkido Pharma Inc. Regains Compliance with NASDAQ Listing Requirements Exhibit 99.1 AIkido Pharma Inc. Regains Compliance with NASDAQ Listing Requirements NEW YORK, NY June 28, 2022 /PRNewswire/ AIkido Pharma Inc. (Nasdaq: AIKI) (?AIkido? or the ?Company?) today announced that on June 23, 2022, the Company received a letter from the Listing Qualifications Department of The NASDAQ Stock Market indicating that it has regained compliance with the $1.00 minimum bid price |
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| June 28, 2022 |
Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 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): June 28, 2022 AIKIDO PHARMA INC. (Exact name of registrant as specified in its charter) Delaware 000-05576 52-0849320 (State or other jurisdiction of incorporation) (Commission File N |
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| June 14, 2022 |
AIKI / Aikido Pharma Inc / INTRACOASTAL CAPITAL, LLC - SCHEDULE 13G Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* AIkido Pharma Inc. (Name of Issuer) Common Stock, $0.0001 par value per share (Title of Class of Securities) 008875106 (CUSIP Number) June 7, 2022 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule purs |
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| June 14, 2022 |
Exhibit 1 JOINT FILING AGREEMENT The undersigned acknowledge and agree that the foregoing statement on Schedule 13G is filed on behalf of each of the undersigned and that all subsequent amendments to this statement on Schedule 13G may be filed on behalf of each of the undersigned without the necessity of filing additional joint filing agreements. |
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| June 10, 2022 |
Aikido Announces Reverse Stock Split Exhibit 99.2 Aikido Announces Reverse Stock Split New York, NY / June 3, 2022 / Aikido Pharma, Inc. (NASDAQ:AIKI), today announced that the Company?s Board of Directors has approved a reverse stock split of its shares of common stock at a ratio of 1 for 17 (the ?Reverse Stock Split?). The Reverse Stock Split will become effective at 12:01 a.m. Eastern time on June 7, 2022 and the Company?s common |
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| June 10, 2022 |
AIkido Pharma Inc. Appoints New Director, Soo Yu New Director Supports NASDAQ Rule on Diversity Exhibit 99.1 AIkido Pharma Inc. Appoints New Director, Soo Yu New Director Supports NASDAQ Rule on Diversity NEW YORK, NY June 10, 2022 /PRNewswire/ AIkido Pharma Inc. (Nasdaq: AIKI) (?AIkido? or the ?Company?) today announced the appointment of Ms. Soo Yu, as a director of the Company. Anthony Hayes, CEO of Aikido stated, ?At the time of the annual meeting, there was concern expressed by some sha |
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| June 10, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 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): June 7, 2022 AIKIDO PHARMA INC. (Exact name of registrant as specified in its charter) Delaware 000-05576 52-0849320 (State or other jurisdiction of incorporation) (Commission File Nu |
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| June 10, 2022 |
Exhibit 3.1 Delaware Page 1 The First State I, JEFFREY W. BULLOCK, SECRETARY OF STATE OF THE STATE OF DELAWARE, DO HEREBY CERTIFY THE ATTACHED IS A TRUE AND CORRECT COPY OF THE CERTIFICATE OF AMENDMENT OF ?AIKIDO PHARMA INC.?, FILED IN THIS OFFICE ON THE SECOND DAY OF JUNE, A.D. 2022, AT 5:32 O?CLOCK P.M. AND I DO HEREBY FURTHER CERTIFY THAT THE EFFECTIVE DATE OF THE AFORESAID CERTIFICATE OF AMEND |
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| May 25, 2022 |
Submission of Matters to a Vote of Security Holders UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 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): May 20, 2022 AIKIDO PHARMA INC. (Exact name of registrant as specified in its charter) Delaware 000-05576 52-0849320 (State or other jurisdiction of incorporation) (Commission File Nu |
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| May 16, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark one) ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2022 ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number 000-05576 AIKIDO PHARMA |
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| April 12, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ? Filed by a Party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ? Definitive Proxy State |
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| March 31, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ? Filed by a Party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ? Definitive Proxy State |
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| March 30, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 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): March 30, 2022 AIKIDO PHARMA INC. (Exact name of registrant as specified in its charter) Delaware 000-05576 52-0849320 (State or other jurisdiction of incorporation) (Commission File |
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| March 28, 2022 |
Exhibit 10.47 CONFIRMATION OF MUTUAL UNDERSTANDING This Confirmation of Mutual Understanding is made on this 24th day of March, 2022 by and between Aikido Pharma Inc. (the ?Company?) and the undersigned holders (each a ?Warrant Holder?). Reference is made to those certain Common Stock Purchase Warrants (the ?Warrants?) of the Company issued to each Warrant Holder (as designated assignees of H.C. W |
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| March 28, 2022 |
Exhibit 21.1 List of Subsidiaries AIkido Labs LLC |
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| March 28, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K (Mark one) ? ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2021 ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number 000-05576 AIKIDO PHARMA INC. |
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| March 2, 2022 |
Exhibit 10.1 SECURITIES PURCHASE AGREEMENT This Securities Purchase Agreement (this ?Agreement?) is dated as of February 24, 2022, between Aikido Pharma Inc., a Delaware corporation (the ?Company?), and each purchaser identified on the signature pages hereto (each, including its successors and assigns, a ?Purchaser? and collectively, the ?Purchasers?). WHEREAS, subject to the terms and conditions |
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| March 2, 2022 |
Exhibit 3.2 Aikido pharma inc. CERTIFICATE OF DESIGNATION OF PREFERENCES, RIGHTS AND LIMITATIONS OF SERIES P redeemable CONVERTIBLE PREFERRED STOCK PURSUANT TO SECTION 151 OF THE delaware GENERAL CORPORATION LAW The undersigned, Anthony Hayes does hereby certify that: 1. The undersigned is the Chief Executive Officer of AIkido Pharma Inc., a Delaware corporation (the ?Corporation?). 2. The Corpora |
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| March 2, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 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): February 24, 2022 AIKIDO PHARMA INC. (Exact name of registrant as specified in its charter) Delaware 000-05576 52-0849320 (State or other jurisdiction of incorporation) (Commission Fi |
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| March 2, 2022 |
EX-3.1 2 ea156372ex3-1aiki.htm CERTIFICATE OF DESIGNATION OF PREFERENCES, RIGHTS AND LIMITATIONS OF SERIES O REDEEMABLE CONVERTIBLE PREFERRED STOCK Exhibit 3.1 Aikido pharma inc. CERTIFICATE OF DESIGNATION OF PREFERENCES, RIGHTS AND LIMITATIONS OF SERIES O redeemable CONVERTIBLE PREFERRED STOCK PURSUANT TO SECTION 151 OF THE delaware GENERAL CORPORATION LAW The undersigned, Anthony Hayes does here |
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| March 2, 2022 |
AIkido Pharma Inc. Announces $22 Million Registered Direct Offering Exhibit 99.1 AIkido Pharma Inc. Announces $22 Million Registered Direct Offering NEW YORK, NY February 25, 2022 /PRNewswire/ AIkido Pharma Inc. (Nasdaq: AIKI) (?AIkido? or the ?Company?), today announced that it has entered into a securities purchase agreement with certain institutional investors to purchase 11,000 shares of Series O redeemable convertible preferred stock and 11,000 shares of Seri |
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| March 1, 2022 |
Filed pursuant to Rule 424(b)(5) Registration Statement No. 333-238172 Prospectus Supplement (To Prospectus dated June 12, 2020) 11,000 Shares of Series P Redeemable Convertible Preferred Stock 11,000,000 Shares of Common Stock issuable upon Conversion of Series P Redeemable Convertible Preferred Stock We are offering 11,000 shares of our Series P Convertible Redeemable Preferred Stock, $0.0001 pa |
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| March 1, 2022 |
Filed pursuant to Rule 424(b)(5) Registration Statement No. 333-238172 Prospectus Supplement (To Prospectus dated June 12, 2020) 11,000 Shares of Series O Redeemable Convertible Preferred Stock 11,000,000 Shares of Common Stock issuable upon Conversion of Series O Redeemable Convertible Preferred Stock We are offering 11,000 shares of our Series O Convertible Redeemable Preferred Stock, $0.0001 pa |
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| February 14, 2022 |
AIKI / Aikido Pharma Inc / CVI Investments, Inc. - SC 13G/A Passive Investment CUSIP No: 008875106 SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G (Rule 13d-102) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO ? 240.13d-1(b), (c) AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO ? 240.13d-2. (Amendment No. 1)* AIkido Pharma Inc. (Name of Issuer) Common Stock, $0.0001 par value per share (Title of Class of Securities) 008875106 (CUSIP Number) |
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| February 11, 2022 |
Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 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): February 8, 2022 AIKIDO PHARMA INC. (Exact name of registrant as specified in its charter) Delaware 000-05576 52-0849320 (State or other jurisdiction of incorporation) (Commission Fil |
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| January 24, 2022 |
AIkido Pharma Announces Share Repurchase Program Exhibit 99.1 AIkido Pharma Announces Share Repurchase Program New York, January 24, 2022 /PRNewswire/ - AIkido Pharma Inc. (NASDAQ: AIKI ) (?AIkido? or the ?Company?), a clinical and early-stage drug development company, today announced that its board of directors (the ?Board?) has authorized a share repurchase program to repurchase up to $3 million of the Company?s outstanding common stock. The s |
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| January 24, 2022 |
Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 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): January 21, 2022 AIKIDO PHARMA INC. (Exact name of registrant as specified in its charter) Delaware 000-05576 52-0849320 (State or other jurisdiction of incorporation) (Commission Fil |
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| December 9, 2021 |
Submission of Matters to a Vote of Security Holders UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 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): December 8, 2021 AIKIDO PHARMA INC. (Exact name of registrant as specified in its charter) Delaware 000-05576 52-0849320 (State or other jurisdiction of incorporation) (Commission Fil |
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| November 10, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark one) ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2021 ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number 000-05576 AIKIDO PH |
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| November 9, 2021 |
Amendment to the Amended and Restated Bylaws of the AIkido Pharma, Inc. Exhibit 3.1 AMENDMENT NO. 1 TO THE AMENDED AND RESTAED BYLAWS OF AIKIDO PHARMA inc. (a Delaware corporation) November 3, 2021 The Amended and Restated Bylaws of Spherix Inc., which will now be known as the Amended and Restated Bylaws of AIkido Pharma Inc., a Delaware corporation, are hereby amended as follows: 1. Article I, Section 6, Quorum, shall be deleted in its entirety and replaced by the fo |
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| November 9, 2021 |
Other Events, Submission of Matters to a Vote of Security Holders UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 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 3, 2021 AIKIDO PHARMA INC. (Exact name of registrant as specified in its charter) Delaware 000-05576 52-0849320 (State or other jurisdiction of incorporation) (Commission Fil |
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| November 9, 2021 |
Exhibit 3.1 AMENDMENT NO. 1 TO THE AMENDED AND RESTAED BYLAWS OF AIKIDO PHARMA inc. (a Delaware corporation) November 3, 2021 The Amended and Restated Bylaws of Spherix Inc., which will now be known as the Amended and Restated Bylaws of AIkido Pharma Inc., a Delaware corporation, are hereby amended as follows: 1. Article I, Section 6, Quorum, shall be deleted in its entirety and replaced by the fo |
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| November 9, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 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 3, 2021 AIKIDO PHARMA INC. (Exact name of registrant as specified in its charter) Delaware 000-05576 52-0849320 (State or other jurisdiction of incorporation) (Commission Fil |
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| November 2, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 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 2, 2021 AIKIDO PHARMA INC. (Exact name of registrant as specified in its charter) Delaware 000-05576 52-0849320 (State or other jurisdiction of incorporation) (Commission Fil |
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| November 2, 2021 |
Other Events, Submission of Matters to a Vote of Security Holders UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 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 2, 2021 AIKIDO PHARMA INC. (Exact name of registrant as specified in its charter) Delaware 000-05576 52-0849320 (State or other jurisdiction of incorporation) (Commission Fil |
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| October 1, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 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): October 1, 2021 AIKIDO PHARMA INC. (Exact name of registrant as specified in its charter) Delaware 000-05576 52-0849320 (State or other jurisdiction of incorporation) (Commission File |
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| October 1, 2021 |
Other Events, Submission of Matters to a Vote of Security Holders UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 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): October 1, 2021 AIKIDO PHARMA INC. (Exact name of registrant as specified in its charter) Delaware 000-05576 52-0849320 (State or other jurisdiction of incorporation) (Commission File |
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| August 26, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ? Filed by a Party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ? Definitive Proxy State |
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| August 13, 2021 |
Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 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): August 10, 2021 AIKIDO PHARMA INC. (Exact name of registrant as specified in its charter) Delaware 000-05576 52-0849320 (State or other jurisdiction of incorporation) (Commission File |
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| August 11, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark one) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2021 ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number 000-05576 AIKIDO PHARMA |
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| July 19, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 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): July 19, 2021 AIKIDO PHARMA INC. (Exact name of registrant as specified in its charter) Delaware 000-05576 52-0849320 (State or other jurisdiction of incorporation) (Commission File N |
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| July 2, 2021 |
Amendment No. 3 to the Employment Agreement with Anthony Hayes, dated June 28, 2021. Exhibit 10.1 EMPLOYMENT AGREEMENT THIS EMPLOYMENT AGREEMENT (the "Agreement") is made and entered into as of this 28 day of June, 2021 (the "Effective Date"), by and between Aikido Pharma Inc., a Delaware corporation with offices at 1 Rockefeller Plaza, 11th Floor; New York, NY 10010 (the "Corporation"), and Anthony Hayes, an individual residing at 3009 John Vaughan Rd, Williamsburg, VA 23185 (the |
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| July 2, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 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): July 2, 2021 AIKIDO PHARMA INC. (Exact name of registrant as specified in its charter) Delaware 000-05576 52-0849320 (State or other jurisdiction of incorporation) (Commission File Nu |
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| June 23, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 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): June 23, 2021 AIKIDO PHARMA INC. (Exact name of registrant as specified in its charter) Delaware 000-05576 52-0849320 (State or other jurisdiction of incorporation) (Commission File N |
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| June 10, 2021 |
Other Events, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 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): June 10, 2021 AIKIDO PHARMA INC. (Exact name of registrant as specified in its charter) Delaware 000-05576 52-0849320 (State or other jurisdiction of incorporation) (Commission File N |
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| June 10, 2021 |
Exhibit 99.1 AIkido Pharma Inc. Highlights of Anticancer and Antiviral Therapy Programs LD Micro Invitational XI Virtual Event June 2021 NASDAQ: AIKI Safe Harbor This presentation contains "forward - looking statements" within the meaning of the ?safe - harbor? provisions of the Private Securi ties Litigation Reform Act of 1995. These statements are identified by the use of words ?could?, ?believe |
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| May 13, 2021 |
EX-99.1 2 ea140763ex99-1aikidopharma.htm BENZINGA GLOBAL SMALL CAP CONFERENCE PRESENTATION, DATED MAY 13, 2021 Exhibit 99.1 AIkido Pharma Inc. Highlights of Anticancer and Antiviral Therapy Development Benzinga Global Small Cap Conference May 2021 NASDAQ: AIKI Safe Harbor This presentation contains "forward - looking statements" within the meaning of the “safe - harbor” provisions of the Private S |
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| May 13, 2021 |
Other Events, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 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): May 13, 2021 AIKIDO PHARMA INC. (Exact name of registrant as specified in its charter) Delaware 000-05576 52-0849320 (State or other jurisdiction of incorporation) (Commission File Nu |
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| May 10, 2021 |
Quarterly Report - QUARTERLY REPORT UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark one) ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2021 ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number 000-05576 AIKIDO PHARMA |
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| May 3, 2021 |
Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 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): May 3, 2021 AIKIDO PHARMA INC. (Exact name of registrant as specified in its charter) Delaware 000-05576 52-0849320 (State or other jurisdiction of incorporation) (Commission File Num |
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| May 3, 2021 |
Exhibit 99.1 AIkido Pharma Inc. DEVELOPING AND COMMERCIALIZING INNOVATIVE DRUG PLATFORMS FOR IMPROVING ANTICANCER AND ANTIVIRAL THERAPIES NASDAQ: AIKI April 2021 Safe Harbor This presentation contains "forward - looking statements" within the meaning of the “safe - harbor” provisions of the Private Securi ties Litigation Reform Act of 1995. These statements are identified by the use of words “coul |
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| April 21, 2021 |
AIkido Pharma Inc. One Rockefeller Plaza 11th Floor New York, New York, 10020 April 21, 2021 VIA EDGAR Securities and Exchange Commission Division of Corporation Finance 100 F Street, NE Washington, D.C. 20549 Re: AIkido Pharma Inc. Request for Withdrawal Pursuant to Rule 477 of Registration Statement on Form S-1 (File No. 333-248072) Ladies and Gentleman: Pursuant to Rule 477 under the Securities |
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| April 16, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 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): April 16, 2021 AIKIDO PHARMA INC. (Exact name of registrant as specified in its charter) Delaware 000-05576 52-0849320 (State or other jurisdiction of incorporation) (Commission File |
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| April 16, 2021 |
Amendment to Exclusive Patent License Agreement, dated April 12, 2021. Exhibit 10.2 AMENDMENT NO. 1 TO PATENT LICENSE AGREEMENT This Amendment No. 1 (this ?Amendment?) to the Patent License Agreement (as defined below) is made and entered into as of April 12, 2021, by and among Silo Pharma Inc., a Delaware corporation, Silo Pharma, Inc., a Florida corporation, and their Affiliates/Subsidiaries, (the ?Licensor?), on the one hand and AIkido Pharma Inc., a Delaware corp |
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| April 16, 2021 |
EX-10.1 2 ea139554ex10-1alkidipharm.htm EXCLUSIVE PATENT LICENSE AGREEMENT BY AND AMONG SILO PHARMA INC., A DELAWARE CORPORATION AND SILO PHARMA INC., A FLORIDA CORPORATION, AND THEIR AFFILIATES/SUBSIDIARIES (COLLECTIVELY, "SILO PHARMA"), DATED JANUARY 5, 2021 Exhibit 10.1 Patent License Agreement This Patent License Agreement (this “Agreement”) is effective as of the date of the last signature on |
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| April 13, 2021 |
Letter of Marcum LLP, to the Securities and Exchange Commission dated April 12, 2021 EX-16.1 2 ea139404ex16-1aikido.htm LETTER OF MARCUM LLP, TO THE SECURITIES AND EXCHANGE COMMISSION DATED APRIL 12, 2021 Exhibit 16.1 April 12, 2021 Securities and Exchange Commission 100 F Street, N.E. Washington, DC 20549 Commissioners: We have read the statements made by Aikido Pharma, Inc. under Item 4.01 of its Form 8-K dated April 13, 2021. We agree with the statements concerning our Firm in |
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| April 13, 2021 |
Financial Statements and Exhibits, Changes in Registrant's Certifying Accountant UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 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): April 13, 2021 AIKIDO PHARMA INC. (Exact name of registrant as specified in its charter) Delaware 000-05576 52-0849320 (State or other jurisdiction of incorporation) (Commission File |
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| March 25, 2021 |
Exhibit 21.1 List of Subsidiaries Nuta Technology Corp Spherix Portfolio Acquisition II (SPAII) Guidance IP, LLC Directional IP, LLC NNPT, LLC Spherix Management Services, LLC Spherix Delaware Merger Sub Inc. Spherix Merger Subsidiary Inc. |
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| March 25, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K (Mark one) ? ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2020 ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number 000-05576 AIKIDO PHARMA INC. |
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| March 5, 2021 |
Exhibit 99.1 AIkido Pharma Inc. DEVELOPING AND COMMERCIALIZING INNOVATIVE DRUG PLATFORMS FOR IMPROVING ANTICANCER AND ANTIVIRAL THERAPIES NASDAQ: AIKI Darrell Dotson, VP & General Counsel March 2021 Safe Harbor This presentation contains "forward - looking statements" within the meaning of the “safe - harbor” provisions of the Private Securi ties Litigation Reform Act of 1995. These statements are |
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| March 5, 2021 |
Regulation FD Disclosure, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 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): March 5, 2021 AIKIDO PHARMA INC. (Exact name of registrant as specified in its charter) Delaware 000-05576 52-0849320 (State or other jurisdiction of incorporation) (Commission File N |
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| February 25, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 AIKIDO PHARMA INC (Name of Issuer) Common Shares (Title of Class of Securities) 008875106 (CUSIP Number) FiveT Investment Management Ltd c/o DMS Corporate Services, Suite 5B201, 2nd Floor, One Nexus Way Camana Bay, Grand Cayman, Cayman Islands KY1-1108 +1 345 749 2552 (Nam |
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| February 25, 2021 |
CUSIP No: 008875106 SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G (Rule 13d-102) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO § 240.13d-1(b), (c) AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO § 240.13d-2. (Amendment No. )* AIkido Pharma Inc. (Name of Issuer) Common Stock, $0.0001 par value per share (Title of Class of Securities) 008875106 (CUSIP Number) F |
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| February 18, 2021 |
EX-10.1 4 ea135980ex10-1aikidopharma.htm FORM OF UNDERWRITER'S WARRANT Exhibit 10.1 NEITHER THIS SECURITY NOR THE SECURITIES FOR WHICH THIS SECURITY IS EXERCISABLE HAVE BEEN REGISTERED WITH THE SECURITIES AND EXCHANGE COMMISSION OR THE SECURITIES COMMISSION OF ANY STATE IN RELIANCE UPON AN EXEMPTION FROM REGISTRATION UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE “SECURITIES ACT”), AND, ACCORDI |
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| February 18, 2021 |
Exhibit 99.1 AIkido Pharma Inc. Increases Previously Announced Bought Deal Offering of Common Stock to $75 Million NEW YORK, NY February 16, 2021 /PRNewswire/ AIkido Pharma Inc. (Nasdaq: AIKI) (“AIkido” or the “Company”) today announced that due to demand, the underwriter has agreed to increase the size of the previously announced public offering and purchase on a firm commitment basis 46,875,000 |
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| February 18, 2021 |
46,875,000 Shares of Common Stock Filed Pursuant to Rule 424(b)(5) Registration File No. 333-238172 Prospectus Supplement (To prospectus dated June 12, 2020) 46,875,000 Shares of Common Stock We are offering up to 46,875,000 shares of our common stock, par value $0.0001 per share, at a public offering price of $1.60 per share, in a firm commitment underwritten public offering (the “Offering”). Our common stock is listed on the Nas |
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| February 18, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 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): February 16, 2021 AIKIDO PHARMA INC. (Exact name of registrant as specified in its charter) Delaware 000-05576 52-0849320 (State or other jurisdiction of incorporation) (Commission Fi |
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| February 18, 2021 |
EX-1.1 2 ea135980ex1-1aikidopharma.htm AMENDED AND RESTATED UNDERWRITING AGREEMENT BY AND BETWEEN THE COMPANY AND H.C. WAINWRIGHT & CO., LLC, DATED FEBRUARY 16, 2021 Exhibit 1.1 46,875,000 SHARES of Common Stock AIKIDO PHARMA INC. AMENDED AND RESTATED UNDERWRITING AGREEMENT February 16, 2021 H.C. Wainwright & Co., LLC As the Representative of the Several underwriters, if any, named in Schedule I h |
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| February 17, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G UNDER THE SECURITIES EXCHANGE ACT OF 1934 HOTH THERAPEUTICS, INC. (Name of Issuer) Common stock, par value $0.0001 per share (Title of Class of Securities) 44148G105 (CUSIP Number) May 26, 2020 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which |
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| February 16, 2021 |
Filed Pursuant to Rule 424(b)(5) Registration File No. 333-238172 The information in this preliminary prospectus supplement and accompanying prospectus is not complete and may be changed. This preliminary prospectus supplement and the accompanying prospectus are not an offer to sell these securities, nor are they soliciting offers to buy these securities, in any jurisdiction where the offer or sal |
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| February 16, 2021 |
CUSIP No: 008875106 SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G (Rule 13d-102) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO § 240.13d-1(b), (c) AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO § 240.13d-2. (Amendment No. 1)* AIkido Pharma Inc. (Name of Issuer) Common Stock, $0.0001 par value per share (Title of Class of Securities) 008875106 (CUSIP Number) |
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| February 3, 2021 |
Exhibit 10.1 AMENDED AND RESTATED CONVERTIBLE PROMISSORY NOTE PURCHASE AGREEMENT THIS AMENDED AND RESTATED CONVERTIBLE PROMISSORY NOTE PURCHASE AGREEMENT (as amended through the date hereof and as may be amended or otherwise modified from time to time, this “Agreement”), is made as of the 29th day of January, 2021 by and among Convergent Therapeutics, Inc., a Delaware corporation (the “Company”), |
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| February 3, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 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): January 29, 2021 AIKIDO PHARMA INC. (Exact name of registrant as specified in its charter) Delaware 000-05576 52-0849320 (State or other jurisdiction of incorporation) (Commission Fil |
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| February 3, 2021 |
EX-99.1 4 ea134334ex99-1aikido.htm PRESS RELEASE DATED FEBRUARY 1, 2021 Exhibit 99.1 Aikido Pharma Secures Early Interest in Next Generation Radiotherapy Currently in Human Phase 2 Trials for Treatment of Prostate Cancer NEW YORK, February 1, 2021 /PRNewswire/ - AIkido Pharma Inc. (Nasdaq: AIKI) (“AIkido” or the “Company”) today announced that the Company executed a Two Million Dollar Convertible |
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| February 3, 2021 |
Convertible Promissory Note dated January 29, 2021 Exhibit 10.2 THIS NOTE, AND THE SECURITIES ISSUABLE UPON CONVERSION OF THIS NOTE, HAVE NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE “ACT”), OR THE APPLICABLE SECURITIES LAWS OF ANY STATE, AND MAY NOT BE PLEDGED, SOLD, ASSIGNED OR OTHERWISE TRANSFERRED EXCEPT AS PERMITTED UNDER THE ACT AND APPLICABLE STATE SECURITIES LAWS, PURSUANT TO REGISTRATION UNDER SUCH LAWS OR AN EXEM |
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| January 25, 2021 |
AIkido Pharma Inc. Regains Compliance with NASDAQ Listing Requirements Exhibit 99.1 AIkido Pharma Inc. Regains Compliance with NASDAQ Listing Requirements NEW YORK, NY January 22, 2021 /PRNewswire/ AIkido Pharma Inc. (Nasdaq: AIKI) (“AIkido” or the “Company”) today announced that on January 22, 2021, the Company received a letter from the Listing Qualifications Department of The NASDAQ Stock Market indicating that it has regained compliance with the $1.00 minimum bid |
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| January 25, 2021 |
Financial Statements and Exhibits, Other Events - CURRENT REPORT UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 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): January 25, 2021 AIKIDO PHARMA INC. (Exact name of registrant as specified in its charter) Delaware 000-05576 52-0849320 (State or other jurisdiction of incorporation) (Commission Fil |
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| January 19, 2021 |
Submission of Matters to a Vote of Security Holders - CURRENT REPORT UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 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): January 12, 2021 AIKIDO PHARMA INC. (Exact name of registrant as specified in its charter) Delaware 000-05576 52-0849320 (State or other jurisdiction of incorporation) (Commission Fil |
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| January 11, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 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): January 5, 2021 AIKIDO PHARMA INC. (Exact name of registrant as specified in its charter) Delaware 000-05576 52-0849320 (State or other jurisdiction of incorporation) (Commission File |
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| January 11, 2021 |
Certificate of Designation of Series M Preferred Stock. EX-3.1 2 ea133114ex3-1aikidopharma.htm CERTIFICATE OF DESIGNATION OF SERIES M PREFERRED STOCK Exhibit 3.1 Aikido pharma inc. CERTIFICATE OF DESIGNATION OF PREFERENCES, RIGHTS AND LIMITATIONS OF SERIES M CONVERTIBLE PREFERRED STOCK PURSUANT TO SECTION 151 OF THE Delaware GENERAL CORPORATION LAW The undersigned, Anthony Hayes, does hereby certify that: 1. The undersigned is the Chief Executive Offic |
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| December 4, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐ Definitive Proxy State |
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| November 25, 2020 |
- DEFINITIVE ADDITIONAL MATERIALS UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐ Definitive Proxy State |
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| November 20, 2020 |
Exhibit 99.1 AIkido Pharma Inc. Announces Results of 2020 Annual Stockholder Meeting All stockholder proposals were approved other than the authority for a reverse stock spilt The meeting was adjourned to allow more time to collect votes on the reverse stock split The Company urges stockholders to vote New York, New York, November 20, 2020/PRNewswire/AIkido Pharma Inc. (the “Company” or “AIkido”) |
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| November 20, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 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 17, 2020 AIKIDO PHARMA INC. (Exact name of registrant as specified in its charter) Delaware 000-05576 52-0849320 (State or other jurisdiction of incorporation) (Commission Fi |
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| November 13, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark one) ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2020 ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number 000-05576 AIKIDO PH |
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| October 5, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☒ Definitive Proxy State |
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| September 29, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 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): September 24, 2020 AIKIDO PHARMA INC. (Exact name of registrant as specified in its charter) Delaware 000-05576 52-0849320 (State or other jurisdiction of incorporation) (Commission F |
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| September 23, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☒ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐ Definitive Proxy State |
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| September 14, 2020 |
Shareholder Director Nominations - CURRENT REPORT UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 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): September 14, 2020 AIKIDO PHARMA INC. (Exact name of registrant as specified in its charter) Delaware 000-05576 52-0849320 (State or other jurisdiction of incorporation) (Commission F |
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| September 11, 2020 |
EX-99.1 2 ea126768ex99-1aikidopharma.htm PRESENTATION, DATED SEPTEMBER 11, 2020 Exhibit 99.1 AIkido Pharma Inc. DEVELOPING AND COMMERCIALIZING INNOVATIVE DRUG PLATFORMS FOR IMPROVING ANTICANCER AND ANTIVIRAL THERAPIES NASDAQ: AIKI Darrell Dotson, VP & General Counsel September 2020 Safe Harbor This presentation contains "forward - looking statements" within the meaning of the “safe - harbor” provi |
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| September 11, 2020 |
Financial Statements and Exhibits, Other Events - CURRENT REPORT UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 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): September 11 2020 AIKIDO PHARMA INC. (Exact name of registrant as specified in its charter) Delaware 000-05576 52-0849320 (State or other jurisdiction of incorporation) (Commission Fi |
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| August 31, 2020 |
Other Events, Financial Statements and Exhibits - CURRENT REPORT UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 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): August 31, 2020 AIKIDO PHARMA INC. (Exact name of registrant as specified in its charter) Delaware 000-05576 52-0849320 (State or other jurisdiction of incorporation) (Commission File |
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| August 31, 2020 |
Exhibit 99.1 AIkido Pharma Inc. DEVELOPING AND COMMERCIALIZING INNOVATIVE DRUG PLATFORMS FOR IMPROVING ANTICANCER AND ANTIVIRAL THERAPIES NASDAQ: AIKI Darrell Dotson, VP & General Counsel September 2020 Safe Harbor This presentation contains "forward - looking statements" within the meaning of the “safe - harbor” provisions of the Private Securi ties Litigation Reform Act of 1995. These statements |
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| August 26, 2020 |
As filed with the U.S. Securities and Exchange Commission on August 26, 2020 Registration No. 333-248072 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 AMENDMENT NO. 1 TO FORM S-1 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 AIKIDO PHARMA INC. (Exact name of registrant as specified in its charter) Delaware 8731 52-0849320 (State or other jurisdiction of incorpor |
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| August 26, 2020 |
Exhibit 10.50 Execution Version January 24, 2020 STRICTLY CONFIDENTIAL Spherix Incorporated One Rockefeller Plaza, 11th Floor New York, NY 10020 Attn: Anthony Hayes, Chief Executive Officer Dear Mr. Hayes: This letter agreement (this “Agreement”) constitutes the agreement between Spherix Incorporated (the “Company”) and H.C. Wainwright &. Co., LLC (“Wainwright”), that Wainwright shall serve as the |
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| August 17, 2020 |
Registration Statement - REGISTRATION STATEMENT As filed with the U.S. Securities and Exchange Commission on August 17, 2020 Registration No. 333-[] UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM S-1 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 AIKIDO PHARMA INC. (Exact name of registrant as specified in its charter) Delaware 8731 52-0849320 (State or other jurisdiction of incorporation or organization) |
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| August 6, 2020 |
Quarterly Report - QUARTERLY REPORT UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark one) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2020 ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number 000-05576 AIKIDO PHARMA |
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| June 25, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 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): June 22, 2020 AIKIDO PHARMA INC. (Exact name of registrant as specified in its charter) Delaware 000-05576 52-0849320 (State or other jurisdiction of incorporation) (Commission File N |
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| June 16, 2020 |
AIkido Pharma Inc. One Rockefeller Plaza, 11th Floor New York, New York 10020 June 16, 2020 VIA EDGAR U.S. Securities and Exchange Commission Division of Corporation Finance 100 F Street, N.E. Mail Stop 3030 Washington, D.C. 20549 Attention: Ada D. Sarmento Re: AIkido Pharma Inc. Registration Statement on Form S-3, as amended Filed May 11, 2020 File No. 333-238172 Dear Ada: Pursuant to Rule 461 un |
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| June 12, 2020 |
AIkido Pharma Inc. One Rockefeller Plaza, 11th Floor New York, New York 10020 June 12, 2020 VIA EDGAR U.S. Securities and Exchange Commission Division of Corporation Finance Office of Life Sciences 100 F Street, N.E. Washington, D.C. 20549 Attn: Ada D. Sarmento Re: AIKIDO PHARMA INC. Amendment No. 1 to Registration Statement on Form S-3 Filed June 8, 2020 File No. 333-238172 Dear Ada: AIkido Pharm |
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| June 12, 2020 |
As filed with the Securities and Exchange Commission on June 12, 2020 Registration No. |
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| June 8, 2020 |
EX-10.1 4 ea122699ex10-1aikidopharma.htm MASTER LICENSE AGREEMENT, DATED AS OF APRIL 13, 2020, BY AND BETWEEN AIKIDO PHARMA, INC. AND THE UNIVERSITY OF MARYLAND, BALTIMORE Exhibit 10.1 INFORMATION IN THE MARKED SECTIONS OF THIS MASTER LICENSE AGREEMENT HAS BEEN OMITTED BECAUSE IT IS NOT MATERIAL AND WOULD LIKELY CAUSE COMPETITIVE HARM IF PUBLICLY FILED. MASTER LICENSE AGREEMENT between University |
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| June 8, 2020 |
As filed with the Securities and Exchange Commission on June 8, 2020 Registration No. |
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| June 8, 2020 |
AIkido Pharma Inc. One Rockefeller Plaza, 11th Floor New York, New York 10020 June 8, 2020 VIA EDGAR U.S. Securities and Exchange Commission Division of Corporation Finance Office of Life Sciences 100 F Street, N.E. Washington, D.C. 20549 Attn: Ada D. Sarmento Re: AIKIDO PHARMA INC. Registration Statement on Form S-3 Filed May 11, 2020 File No. 333-238172 Dear Ada: AIkido Pharma Inc. (the “Company |
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| June 8, 2020 |
EX-4.4 2 ea122699ex4-4aikidopharma.htm FORM OF INDENTURE Exhibit 4.4 AIKIDO PHARMA INC., as ISSUER and [ ], as INDENTURE TRUSTEE INDENTURE Dated as of [ ] TABLE OF CONTENTS Page ARTICLE I DEFINITIONS AND INCORPORATION BY REFERENCE 1 Section 1.01 Definitions 1 Section 1.02 Other Definitions 4 Section 1.03 Incorporation by Reference of Trust Indenture Act 4 Section 1.04 Rules of Construction 4 ARTIC |
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| May 14, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark one) ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2020 ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number 000-05576 AIKIDO PHARMA |
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| May 11, 2020 |
As filed with the Securities and Exchange Commission on May 11, 2020 Registration No. |
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| May 1, 2020 |
Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 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): April 28, 2020 AIKIDO PHARMA INC. (Exact name of registrant as specified in its charter) Delaware 000-05576 52-0849320 (State or other jurisdiction of incorporation) (Commission File |
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| April 24, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* Aikido Pharma Inc. (Name of Issuer) Common Stock, $0.0001 par value (Title of Class of Securities) 008875106 (CUSIP Number) April 14, 2020 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to |
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| April 24, 2020 |
AIKI / AIkido Pharma Inc. / CVI Investments, Inc. - SC 13G Passive Investment CUSIP No: 008875106 SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G (Rule 13d-102) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO § 240.13d-1(b), (c) AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO § 240.13d-2. (Amendment No. )* AIkido Pharma Inc. (Name of Issuer) Common Stock, $0.0001 par value per share (Title of Class of Securities) 008875106 (CUSIP Number) A |
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| April 23, 2020 |
AIKI / AIkido Pharma Inc. / INTRACOASTAL CAPITAL, LLC - SCHEDULE 13G Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* AIkido Pharma Inc. (Name of Issuer) Common Stock, $0.0001 par value per share (Title of Class of Securities) 008875106 (CUSIP Number) April 14, 2020 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pu |
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| April 20, 2020 |
AIkido Pharma Inc. Sets Record Date for Hoth Distribution Exhibit 99.1 AIkido Pharma Inc. Sets Record Date for Hoth Distribution NEW YORK, NY April 20, 2020 /PRNewswire/ AIkido Pharma Inc. (Nasdaq: AIKI) (“AIkido” or the “Company”) today announced that the record date for the previously announced distribution to our stockholders of shares of Hoth Therapeutics, Inc. (“Hoth”) is April 30, 2020, and the Company is currently working to determine the date of |
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| April 20, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 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): April 13, 2020 AIKIDO PHARMA INC. (Exact name of registrant as specified in its charter) Delaware 000-05576 52-0849320 (State or other jurisdiction of incorporation) (Commission File |
