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| CIK | 771999 |
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 DSS, 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 14, 2025 |
Certificate of Incorporation * Exhibit 3.1 |
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| August 14, 2025 |
Fifth Amended and Restated Bylaws * Exhibit 3.3 FIFTH AMENDED AND RESTATED BY-LAWS OF DOCUMENT SECURITY SYSTEMS, INC. (A New York Corporation) ARTICLE 1 - CORPORATE OFFICES (1.1) Location. The principal office of the Corporation shall be located at: 200 Canal View Boulevard Suite 300 Rochester, New York 14623 (1.2) Change of Location. The Board of Directors (the “Board”) of Document Security Systems, Inc. (the “Corporation”) may rel |
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| August 14, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2025 ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 001-32146 Commission file number DSS, INC. (Exact name of registrant as specified in its cha |
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| July 30, 2025 |
Debt Conversion Agreement, dated July 21, 2025, by and between DSS, Inc. and Impact Biomedical Inc. |
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| July 30, 2025 |
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 21, 2025 DSS, INC. (Exact name of registrant as specified in its charter) New York 001-32146 16-1229730 (State or other jurisdiction of incorporation) (Commission File Number) (I |
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| July 1, 2025 |
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): June 27, 2025 DSS, INC. (Exact name of registrant as specified in its charter) New York 001-32146 16-1229730 (State or other jurisdiction of incorporation) (Commission File Number) (I |
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| July 1, 2025 |
Exhibit 16.1 July 1, 2025 Securities and Exchange Commission 100 F Street, N.E. Washington, DC 20549 Commissioners: We have read the statements made by DSS, Inc. under Item 4.01 of its Form 8-K, dated July 1, 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 DSS, Inc. contained therein. Sincerely, /s/ Gra |
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| May 15, 2025 |
Certificate of Incorporation * Exhibit 3.1 |
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| May 15, 2025 |
Fifth Amended and Restated Bylaws * Exhibit 3.3 FIFTH AMENDED AND RESTATED BY-LAWS OF DOCUMENT SECURITY SYSTEMS, INC. (A New York Corporation) ARTICLE 1 - CORPORATE OFFICES (1.1) Location. The principal office of the Corporation shall be located at: 200 Canal View Boulevard Suite 300 Rochester, New York 14623 (1.2) Change of Location. The Board of Directors (the “Board”) of Document Security Systems, Inc. (the “Corporation”) may rel |
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| May 15, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2025 ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 001-32146 Commission file number DSS, INC. (Exact name of registrant as specified in its ch |
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| March 31, 2025 |
Subsidiaries of Document Security Systems, Inc.* Exhibit 21.1 SUBSIDIARIES OF REGISTRANT Name State of Incorporation DSS, Inc. New York American Pacific Financial Texas Alset Energy, Inc. Texas Alset Innovations, Inc. Texas Alset OpenBiz, Inc. Texas Alset Solar, Inc. Nevada Alset Title Company Inc Texas Alset, Inc. Texas American Home REIT, Inc. Maryland AMRE Asset Management, Inc. - AAMI Nevada BioLife Sugar, Inc. Nevada Decentralized Sharing S |
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| March 31, 2025 |
2020 Employee, Director and Consultant Equity Incentive Plan * Exhibit 10.18 APPENDIX A DOCUMENT SECURITY SYSTEMS, INC. 2020 EMPLOYEE, DIRECTOR AND CONSULTANT EQUITY INCENTIVE PLAN 1. DEFINITIONS. Unless otherwise specified or unless the context otherwise requires, the following terms, as used in this Document Security Systems, Inc. 2020 Employee, Director and Consultant Equity Incentive Plan, have the following meanings: Administrator means the Board of Dire |
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| March 31, 2025 |
Exhibit 10.53 DSS, INC. CLAWBACK POLICY Introduction The Board of Directors (“Board”) of DSS, Inc. (the “Company”) believes that it is in the best interests of the Company and its stockholders to adopt this policy which provides for the recoupment of certain executive compensation in the event of an accounting restatement resulting from material noncompliance with financial reporting requirements |
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| March 31, 2025 |
Description of Securities Registered Pursuant to Section 12 of the Securities Exchange Act of 1934* Exhibit 4.1 Description of Securities Registered Pursuant to Section 12 of the Securities Exchange Act of 1934, as amended General Our authorized capital stock consists of 200,000,000 shares of common stock, $0.02 par value per share, 62,086,099 of which were issued and outstanding as of March 20, 2020. The following description of our common stock summarizes the material terms and provisions of t |
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| March 31, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-K ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 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 001-32146 DSS, INC. (Exact name of r |
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| February 6, 2025 |
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): January 31, 2025 DSS, INC. (Exact name of registrant as specified in its charter) New York 001-32146 16-1229730 (State or other jurisdiction of incorporation) (Commission File Number) |
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| December 30, 2024 |
Form of Share Subscription Agreement Exhibit 10.1 STOCK PURCHASE AGREEMENT This STOCK PURCHASE AGREEMENT (this “Agreement”) is made as of December [], 2024 by and among DSS, Inc., a New York corporation (the “Seller”), and [](the “Buyer”). RECITALS WHEREAS, Seller and Buyer are executing and delivering this Agreement in reliance upon the exemption from securities registration afforded by Section 4(a)(2) of the Securities Act of 1933, |
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| December 30, 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): December 27, 2024 DSS, INC. (Exact name of registrant as specified in its charter) New York 001-32146 16-1229730 (State or other jurisdiction of incorporation) (Commission File Number |
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| December 16, 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): December 10, 2024 DSS, INC. (Exact name of registrant as specified in its charter) New York 001-32146 16-1229730 (State or other jurisdiction of incorporation) (Commission File Number |
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| December 16, 2024 |
Form of Securities Purchase Agreement Exhibit 10.1 STOCK PURCHASE AGREEMENT This STOCK PURCHASE AGREEMENT (this “Agreement”) is made as of December 10, 2024 by and among DSS, Inc., a New York corporation (the “Seller”), and [] (the “Buyer”). RECITALS WHEREAS, Seller and Buyer are executing and delivering this Agreement in reliance upon the exemption from securities registration afforded by Section 4(a)(2) of the Securities Act of 1933 |
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| December 12, 2024 |
DSS / DSS, Inc. / Chan Heng Fai Ambrose Activist Investment SC 13D/A 1 formsc13da.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D/A Under the Securities Exchange Act of 1934 (Amendment No. 19) DSS, INC. (Name of Issuer) Common Stock, par value $0.02 per share (Title of Class of Securities) 26253C201 (CUSIP Number) Heng Fai Ambrose Chan c/o Alset International Limited 9 Temasek Boulevard #16-04, Suntec Tower Two Sing |
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| December 9, 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): December 4, 2024 DSS, INC. (Exact name of registrant as specified in its charter) New York 001-32146 16-1229730 (State or other jurisdiction of incorporation) (Commission File Number) |
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| November 13, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2024 ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 001-32146 Commission file number DSS, INC. (Exact name of registrant as specified in it |
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| November 13, 2024 |
Exhibit 10.1 SECURITIES PURCHASE AGREEMENT This SECURITIES PURCHASE AGREEMENT (this “Agreement”) is made as of July 1, 2023 (the “Effective Date”) by and between Decentralized Sharing Systems, Inc., a Nevada Corporation, (the “Seller”), and Sharing Services Global Corporation, a Nevada Corporation (the “Buyer”). RECITALS WHEREAS, Seller and Buyer are executing and delivering this Agreement in reli |
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| November 13, 2024 |
Fifth Amended and Restated Bylaws * Exhibit 3.2 FIFTH AMENDED AND RESTATED BY-LAWS OF DOCUMENT SECURITY SYSTEMS, INC. (A New York Corporation) ARTICLE 1 - CORPORATE OFFICES (1.1) Location. The principal office of the Corporation shall be located at: 200 Canal View Boulevard Suite 300 Rochester, New York 14623 (1.2) Change of Location. The Board of Directors (the “Board”) of Document Security Systems, Inc. (the “Corporation”) may rel |
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| November 13, 2024 |
Amendment 1 to Fifth Amended and Restated Bylaws Exhibit 3.3 AMENDMENT NO. 1 TO FIFTH AMENDED AND RESTATED BY-LAWS OF DSS, INC. (F.K.A. DOCUMENT SECURITY SYSTEMS, INC.) (A New York Corporation) The Fourth Amended and Restated By-Laws (the “By-laws”) of DSS, Inc. (f.k.a. Document Security Systems, Inc.) (the “Corporation”) are hereby amended as follows: Article 5, Section 5.6 of the By-Laws is deleted in its entirety and replaced with the followi |
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| November 13, 2024 |
Exhibit 10.2 |
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| November 13, 2024 |
Certificate of Incorporation * Exhibit 3.1 |
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| November 1, 2024 |
November 1, 2024 VIA EDGAR AND FACSIMILE United States Securities and Exchange Commission Division of Corporation Finance Office of Manufacturing 100 F. |
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| October 31, 2024 |
As filed with the Securities and Exchange Commission on October 31, 2024 As filed with the Securities and Exchange Commission on October 31, 2024 Registration No. |
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| October 31, 2024 |
EX-FILING FEES 4 ex107.htm CALCULATION OF FILING FEE TABLES Exhibit 107 Calculation of Filing Fee Tables Form S-3 (Form Type) DSS, INC. (Exact Name of Registrant as Specified in its Charter) Table 1: Newly Registered Securities Security Type Security Class Title Fee Calculation Rule Amount Registered Proposed Maximum Offering Price Per Unit Maximum Aggregate Offering Price Fee Rate Amount of Regis |
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| October 30, 2024 |
DSS, Inc. 275 Wiregrass Pkwy Henrietta, NY 14586 Tel: (585) 325-3610 DSS, Inc. 275 Wiregrass Pkwy Henrietta, NY 14586 Tel: (585) 325-3610 October 30, 2024 VIA EDGAR United States Securities and Exchange Commission Division of Corporation Finance Office of Manufacturing 100 F. Street, N.E. Washington, D.C. 20549 Attention: Heather Clark Re: Re: DSS, Inc. Registration Statement on Form S-3 File No. 333-281974 Withdrawal Request for Acceleration Ladies and Gentlemen: |
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| October 29, 2024 |
October 29, 2024 VIA EDGAR AND FACSIMILE United States Securities and Exchange Commission Division of Corporation Finance Office of Manufacturing 100 F. |
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| October 22, 2024 |
DSS, INC. 275 Wiregrass Pkwy West Henrietta, NY 14586 DSS, INC. 275 Wiregrass Pkwy West Henrietta, NY 14586 Securities and Exchange Commission 100 F Street N.E. Washington, D.C. 20549 Office of Manufacturing Division of Corporation Finance Attention: Ms. Heather Clark October 22, 2024 Re: DSS, Inc. 10-K/A for the Year ended December 31, 2023 File No. 0001-32146 Ladies and Gentlemen: DSS, Inc. (the “Company”) is hereby submitting an Amendment to the C |
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| October 22, 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 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 Statemen |
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| October 22, 2024 |
Exhibit 10.53 DSS, INC. CLAWBACK POLICY Introduction The Board of Directors (“Board”) of DSS, Inc. (the “Company”) believes that it is in the best interests of the Company and its stockholders to adopt this policy which provides for the recoupment of certain executive compensation in the event of an accounting restatement resulting from material noncompliance with financial reporting requirements |
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| October 22, 2024 |
Description of Securities Registered Pursuant to Section 12 of the Securities Exchange Act of 1934* Exhibit 4.1 Description of Securities Registered Pursuant to Section 12 of the Securities Exchange Act of 1934, as amended General Our authorized capital stock consists of 200,000,000 shares of common stock, $0.02 par value per share, 62,086,099 of which were issued and outstanding as of March 20, 2020. The following description of our common stock summarizes the material terms and provisions of t |
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| October 22, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-K/A ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2023 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 001-32146 DSS, INC. (Exact name of |
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| October 22, 2024 |
Subsidiaries of Document Security Systems, Inc.* Exhibit 21.1 SUBSIDIARIES OF REGISTRANT Name State of Incorporation DSS, Inc. New York American Pacific Bancorp Texas Alset Energy, Inc. Texas Alset Innovations, Inc. Texas Alset OpenBiz, Inc. Texas Alset Solar, Inc. Nevada Alset Title Company Inc Texas Alset, Inc. Texas American Home REIT, Inc. Maryland AMRE Asset Management, Inc. - AAMI Nevada BioLife Sugar, Inc. Nevada Decentralized Sharing Sys |
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| October 22, 2024 |
2020 Employee, Director and Consultant Equity Incentive Plan * Exhibit 10.18 APPENDIX A DOCUMENT SECURITY SYSTEMS, INC. 2020 EMPLOYEE, DIRECTOR AND CONSULTANT EQUITY INCENTIVE PLAN 1. DEFINITIONS. Unless otherwise specified or unless the context otherwise requires, the following terms, as used in this Document Security Systems, Inc. 2020 Employee, Director and Consultant Equity Incentive Plan, have the following meanings: Administrator means the Board of Dire |
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| October 22, 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): October 18, 2024 DSS, INC. (Exact name of registrant as specified in its charter) New York 001-32146 16-1229730 (State or other jurisdiction of incorporation) (Commission File Number) |
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| September 12, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K/A 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 15, 2024 DSS, INC. (Exact name of registrant as specified in its charter) New York 001-32146 16-1229730 (State or other jurisdiction of incorporation) (Commission File Number |
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| September 6, 2024 |
Exhibit 107 Calculation of Filing Fee Tables Form S-3 (Form Type) DSS, INC. (Exact Name of Registrant as Specified in its Charter) Table 1: Newly Registered Securities Security Type Security Class Title 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 Equi |
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| September 6, 2024 |
As filed with the Securities and Exchange Commission on September 6, 2024 Registration No. |
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| August 21, 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 15, 2024 DSS, INC. (Exact name of registrant as specified in its charter) New York 001-32146 16-1229730 (State or other jurisdiction of incorporation) (Commission File Number) |
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| August 13, 2024 |
Fifth Amended and Restated Bylaws * Exhibit 3.2 FIFTH AMENDED AND RESTATED BY-LAWS OF DOCUMENT SECURITY SYSTEMS, INC. (A New York Corporation) ARTICLE 1 - CORPORATE OFFICES (1.1) Location. The principal office of the Corporation shall be located at: 200 Canal View Boulevard Suite 300 Rochester, New York 14623 (1.2) Change of Location. The Board of Directors (the “Board”) of Document Security Systems, Inc. (the “Corporation”) may rel |
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| August 13, 2024 |
Certificate of Incorporation * Exhibit 3.1 |
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| August 13, 2024 |
Exhibit 10.1 SECURITIES PURCHASE AGREEMENT This SECURITIES PURCHASE AGREEMENT (this “Agreement”) is made as of July 1, 2023 (the “Effective Date”) by and between Decentralized Sharing Systems, Inc., a Nevada Corporation, (the “Seller”), and Sharing Services Global Corporation, a Nevada Corporation (the “Buyer”). RECITALS WHEREAS, Seller and Buyer are executing and delivering this Agreement in reli |
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| August 13, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2024 ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 001-32146 Commission file number DSS, INC. (Exact name of registrant as specified in its cha |
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| August 13, 2024 |
Amendment 1 to Fifth Amended and Restated Bylaws Exhibit 3.3 AMENDMENT NO. 1 TO FIFTH AMENDED AND RESTATED BY-LAWS OF DSS, INC. (F.K.A. DOCUMENT SECURITY SYSTEMS, INC.) (A New York Corporation) The Fourth Amended and Restated By-Laws (the “By-laws”) of DSS, Inc. (f.k.a. Document Security Systems, Inc.) (the “Corporation”) are hereby amended as follows: Article 5, Section 5.6 of the By-Laws is deleted in its entirety and replaced with the followi |
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| August 13, 2024 |
Exhibit 10.2 |
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| May 14, 2024 |
Exhibit 10.2 |
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| May 14, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2024 ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 001-32146 Commission file number DSS, INC. (Exact name of registrant as specified in its ch |
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| May 14, 2024 |
Amendment 1 to Fifth Amended and Restated Bylaws Exhibit 3.3 AMENDMENT NO. 1 TO FIFTH AMENDED AND RESTATED BY-LAWS OF DSS, INC. (F.K.A. DOCUMENT SECURITY SYSTEMS, INC.) (A New York Corporation) The Fourth Amended and Restated By-Laws (the “By-laws”) of DSS, Inc. (f.k.a. Document Security Systems, Inc.) (the “Corporation”) are hereby amended as follows: Article 5, Section 5.6 of the By-Laws is deleted in its entirety and replaced with the followi |
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| May 14, 2024 |
Exhibit 10.1 SECURITIES PURCHASE AGREEMENT This SECURITIES PURCHASE AGREEMENT (this “Agreement”) is made as of July 1, 2023 (the “Effective Date”) by and between Decentralized Sharing Systems, Inc., a Nevada Corporation, (the “Seller”), and Sharing Services Global Corporation, a Nevada Corporation (the “Buyer”). RECITALS WHEREAS, Seller and Buyer are executing and delivering this Agreement in reli |
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| May 14, 2024 |
Certificate of Incorporation * Exhibit 3.1 |
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| May 14, 2024 |
Fifth Amended and Restated Bylaws * Exhibit 3.2 FIFTH AMENDED AND RESTATED BY-LAWS OF DOCUMENT SECURITY SYSTEMS, INC. (A New York Corporation) ARTICLE 1 - CORPORATE OFFICES (1.1) Location. The principal office of the Corporation shall be located at: 200 Canal View Boulevard Suite 300 Rochester, New York 14623 (1.2) Change of Location. The Board of Directors (the “Board”) of Document Security Systems, Inc. (the “Corporation”) may rel |
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| March 27, 2024 |
Exhibit 4.1 Description of Securities Registered Pursuant to Section 12 of the Securities Exchange Act of 1934, as amended General Our authorized capital stock consists of 200,000,000 shares of common stock, $0.02 par value per share, 62,086,099 of which were issued and outstanding as of March 20, 2020. The following description of our common stock summarizes the material terms and provisions of t |
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| March 27, 2024 |
Exhibit 10.53 DSS, INC. CLAWBACK POLICY Introduction The Board of Directors (“Board”) of DSS, Inc. (the “Company”) believes that it is in the best interests of the Company and its stockholders to adopt this policy which provides for the recoupment of certain executive compensation in the event of an accounting restatement resulting from material noncompliance with financial reporting requirements |
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| March 27, 2024 |
2020 Employee, Director and Consultant Equity Incentive Plan * Exhibit 10.18 APPENDIX A DOCUMENT SECURITY SYSTEMS, INC. 2020 EMPLOYEE, DIRECTOR AND CONSULTANT EQUITY INCENTIVE PLAN 1. DEFINITIONS. Unless otherwise specified or unless the context otherwise requires, the following terms, as used in this Document Security Systems, Inc. 2020 Employee, Director and Consultant Equity Incentive Plan, have the following meanings: Administrator means the Board of Dire |
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| March 27, 2024 |
Subsidiaries of Document Security Systems, Inc.* Exhibit 21.1 SUBSIDIARIES OF REGISTRANT Name State of Incorporation DSS, Inc. New York American Pacific Bancorp Texas Alset Energy, Inc. Texas Alset Innovations, Inc. Texas Alset OpenBiz, Inc. Texas Alset Solar, Inc. Nevada Alset Title Company Inc Texas Alset, Inc. Texas American Home REIT, Inc. Maryland AMRE Asset Management, Inc. - AAMI Nevada BioLife Sugar, Inc. Nevada Decentralized Sharing Sys |
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| March 27, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-K ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2023 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 001-32146 DSS, INC. (Exact name of r |
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| February 9, 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): February 8, 2024 DSS, INC. (Exact name of registrant as specified in its charter) New York 001-32146 16-1229730 (State or other jurisdiction of incorporation) (Commission File Number) |
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| January 22, 2024 |
Exhibit 10.1 AMENDED AND RESTATED PROMISSORY NOTE Borrower: IMPACT BIOMEDICAL, INC. 1400 Broadfield Blvd., Suite 130 Houston, Texas 77084 Lender: DSS, Inc. 275 Wiregrass Pkwy, W. Henrietta, NY 14586 Principal Amount: $12,859,328.60 Date of Original Note: March 31, 2023 Date Amended: January 18, 2024 Maturity Date: September 30, 2030 THIS AMENDED AND RESTATED PROMISSORY NOTE is effective this 18th |
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| January 22, 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): January 18, 2024 DSS, INC. (Exact name of registrant as specified in its charter) New York 001-32146 16-1229730 (State or other jurisdiction of incorporation) (Commission File Number) |
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| January 8, 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): January 4, 2024 DSS, INC. (Exact name of registrant as specified in its charter) New York 001-32146 16-1229730 (State or other jurisdiction of incorporation) (Commission File Number) |
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| January 8, 2024 |
Exhibit 3.1 Certificate of Amendment to the Certificate of Incorporation Of DSS, INC. The undersigned, being the Chief Executive Officer of DSS, Inc. (the “Corporation”), a corporation organized and existing under Business Corporation Law of the State of New York (the “NYBCL”), hereby certifies as follows, pursuant to Sections 502 and 805 of the NYBCL: 1. The name of the Corporation is DSS, Inc. T |
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| December 18, 2023 |
Exhibit 10.1 |
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| December 18, 2023 |
Exhibit 10.3 |
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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 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): December 12, 2023 DSS, INC. (Exact name of registrant as specified in its charter) New York 001-32146 16-1229730 (State or other jurisdiction of incorporation) (Commission File Number |
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| December 18, 2023 |
Exhibit 10.2 |
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| December 13, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14C INFORMATION Information Statement Pursuant to Section 14(c) of the Securities Exchange Act of 1934 Check the appropriate box: ☐ Preliminary Information Statement ☐ Confidential, for use of the Commission only (as permitted by Rule 14c-5(d)(2)) ☒ Definitive Information Statement DSS, INC. (Name of Registrant As Spe |
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| December 1, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14C INFORMATION Information Statement Pursuant to Section 14(c) of the Securities Exchange Act of 1934 Check the appropriate box: ☒ Preliminary Information Statement ☐ Confidential, for use of the Commission only (as permitted by Rule 14c-5(d)(2)) ☐ Definitive Information Statement DSS, INC. (Name of Registrant As Spe |
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| November 14, 2023 |
Exhibit 10.1 SECURITIES PURCHASE AGREEMENT This SECURITIES PURCHASE AGREEMENT (this “Agreement”) is made as of July 1, 2023 (the “Effective Date”) by and between Decentralized Sharing Systems, Inc., a Nevada Corporation, (the “Seller”), and Sharing Services Global Corporation, a Nevada Corporation (the “Buyer”). RECITALS WHEREAS, Seller and Buyer are executing and delivering this Agreement in reli |
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| November 14, 2023 |
Amendment 1 to Fifth Amended and Restated Bylaws Exhibit 3.3 AMENDMENT NO. 1 TO FIFTH AMENDED AND RESTATED BY-LAWS OF DSS, INC. (F.K.A. DOCUMENT SECURITY SYSTEMS, INC.) (A New York Corporation) The Fourth Amended and Restated By-Laws (the “By-laws”) of DSS, Inc. (f.k.a. Document Security Systems, Inc.) (the “Corporation”) are hereby amended as follows: Article 5, Section 5.6 of the By-Laws is deleted in its entirety and replaced with the followi |
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| November 14, 2023 |
Exhibit 10.2 |
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| November 14, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ☒ 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 . 001-32146 Commission file number DSS, INC. (Exact n |
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| November 14, 2023 |
Fifth Amended and Restated Bylaws * Exhibit 3.2 FIFTH AMENDED AND RESTATED BY-LAWS OF DOCUMENT SECURITY SYSTEMS, INC. (A New York Corporation) ARTICLE 1 - CORPORATE OFFICES (1.1) Location. The principal office of the Corporation shall be located at: 200 Canal View Boulevard Suite 300 Rochester, New York 14623 (1.2) Change of Location. The Board of Directors (the “Board”) of Document Security Systems, Inc. (the “Corporation”) may rel |
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| November 14, 2023 |
Certificate of Incorporation * Exhibit 3.1 |
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| October 27, 2023 |
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 25, 2023 DSS, INC. (Exact name of registrant as specified in its charter) New York 001-32146 16-1229730 (State or other jurisdiction of incorporation) (Commission File Number) |
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| October 26, 2023 |
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 20, 2023 DSS, INC. (Exact name of registrant as specified in its charter) New York 001-32146 16-1229730 (State or other jurisdiction of incorporation) (Commission File Number) |
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| October 26, 2023 |
DSS Inc. Receives Notice of Non-Compliance with NYSE American Trading Share Price Listing Rule Exhibit 99.1 DSS Inc. Receives Notice of Non-Compliance with NYSE American Trading Share Price Listing Rule Company intends to cure the deficiency and return to compliance with NYSE American standard NEW YORK, Oct. 26, 2023 (GLOBE NEWSWIRE) — DSS, Inc.(NYSE American: DSS) announced today that the Company received a letter (the “Letter”) from the staff of NYSE American LLC (the “Exchange”) stating |
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| October 3, 2023 |
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 2, 2023 DSS, INC. (Exact name of registrant as specified in its charter) New York 001-32146 16-1229730 (State or other jurisdiction of incorporation) (Commission File Number) |
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| September 12, 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 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 Statemen |
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| September 6, 2023 |
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, 2023 DSS, INC. (Exact name of registrant as specified in its charter) New York 001-32146 16-1229730 (State or other jurisdiction of incorporation) (Commission File Number) |
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| August 14, 2023 |
Fifth Amended and Restated Bylaws * Exhibit 3.2 FIFTH AMENDED AND RESTATED BY-LAWS OF DOCUMENT SECURITY SYSTEMS, INC. (A New York Corporation) ARTICLE 1 - CORPORATE OFFICES (1.1) Location. The principal office of the Corporation shall be located at: 200 Canal View Boulevard Suite 300 Rochester, New York 14623 (1.2) Change of Location. The Board of Directors (the “Board”) of Document Security Systems, Inc. (the “Corporation”) may rel |
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| August 14, 2023 |
Certificate of Incorporation * Exhibit 3.1 |
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| August 14, 2023 |
Exhibit 10.1 SECURITIES PURCHASE AGREEMENT This SECURITIES PURCHASE AGREEMENT (this “Agreement”) is made as of July 1, 2023 (the “Effective Date”) by and between Decentralized Sharing Systems, Inc., a Nevada Corporation, (the “Seller”), and Sharing Services Global Corporation, a Nevada Corporation (the “Buyer”). RECITALS WHEREAS, Seller and Buyer are executing and delivering this Agreement in reli |
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| August 14, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ☒ 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. 001-32146 Commission file number DSS, INC. (Exact name of |
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| August 14, 2023 |
Exhibit 10.2 SECURITIES PURCHASE AGREEMENT This SECURITIES PURCHASE AGREEMENT (this “Agreement”) is made as of July 1, 2023 (the “Effective Date”) by and between Decentralized Sharing Systems, Inc., a Nevada Corporation, (the “Seller”), and Sharing Services Global Corporation, a Nevada Corporation (the “Buyer”). RECITALS WHEREAS, Seller and Buyer are executing and delivering this Agreement in reli |
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| May 15, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ☒ 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 . 001-32146 Commission file number DSS, INC. (Exact name |
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| May 11, 2023 |
SHRG / Sharing Services Global Corp / DOCUMENT SECURITY SYSTEMS INC Activist Investment SC 13D/A 1 formsc13da.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 9) SHARING SERVICES GLOBAL CORPORATION (Name of Issuer) Common Stock, $0.0001 Par Value (Title of Class of Securities) 819536103 (CUSIP Number) Todd Macko c/o DSS, Inc. 275 Wiregrass Pkwy West Henrietta, New York 14568 (585) 325-361 |
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| April 18, 2023 |
Exhibit 10.1 |
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| April 18, 2023 |
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 17, 2023 DSS, INC. (Exact name of registrant as specified in its charter) New York 001-32146 16-1229730 (State or other jurisdiction of incorporation) (Commission File Number) ( |
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| March 31, 2023 |
Description of Securities Registered Pursuant to Section 12 of the Securities Exchange Act of 1934* Exhibit 4.1 Description of Securities Registered Pursuant to Section 12 of the Securities Exchange Act of 1934, as amended General Our authorized capital stock consists of 200,000,000 shares of common stock, $0.02 par value per share, 62,086,099 of which were issued and outstanding as of March 20, 2020. The following description of our common stock summarizes the material terms and provisions of t |
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| March 31, 2023 |
Exhibit 1 |
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| March 31, 2023 |
Subsidiaries of Document Security Systems, Inc.* Exhibit 21.1 SUBSIDIARIES OF REGISTRANT Name State of Incorporation DSS, Inc. New York APB - American Pacific Bancorp Texas Alset Energy, Inc. Texas Alset Innovations, Inc. Texas Alset OpenBiz, Inc. Texas Alset Solar, Inc. Nevada Alset Title Company Inc Texas Alset, Inc. Texas American Home REIT, Inc. Maryland AMRE Asset Management, Inc. - AAMI Nevada BioLife Sugar, Inc. Nevada Decentralized Shari |
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| March 31, 2023 |
2020 Employee, Director and Consultant Equity Incentive Plan * Exhibit 10.18 APPENDIX A DOCUMENT SECURITY SYSTEMS, INC. 2020 EMPLOYEE, DIRECTOR AND CONSULTANT EQUITY INCENTIVE PLAN 1. DEFINITIONS. Unless otherwise specified or unless the context otherwise requires, the following terms, as used in this Document Security Systems, Inc. 2020 Employee, Director and Consultant Equity Incentive Plan, have the following meanings: Administrator means the Board of Dire |
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| March 31, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-K ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2022 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 001-32146 DSS, INC. (Exact name of r |
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| February 17, 2023 |
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 10, 2023 DSS, INC. (Exact name of registrant as specified in its charter) New York 001-32146 16-1229730 (State or other jurisdiction of incorporation) (Commission File Number |
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| January 20, 2023 |
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 20, 2023 DSS, INC. (Exact name of registrant as specified in its charter) New York 001-32146 16-1229730 (State or other jurisdiction of incorporation) (Commission File Number) |
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| December 9, 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): December 6, 2022 DSS, INC. (Exact name of registrant as specified in its charter) New York 001-32146 16-1229730 (State or other jurisdiction of incorporation) (Commission File Number) |
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| November 14, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ☒ 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 . 001-32146 Commission file number DSS, INC. (Exact n |
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| November 14, 2022 |
Letter from Turner, Stone & Company, LLP. EX-16.1 2 ex16-1.htm Exhibit 16.1 November 14, 2022 Office of the Chief Accountant Securities and Exchange Commission 100 F Street NE Washington, DC 20549 We have read the statements under item 4.01 in the Form 8-K dated November 14, 2022 of DSS, Inc. to be filed with the Securities and Exchange Commission and we concur with such statements made regarding our firm. /s/ Turner, Stone & Company, L.L |
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| November 14, 2022 |
Exhibit 3.1 |
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| November 14, 2022 |
Changes in Registrant's Certifying Accountant, 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): July 1, 2022 DSS, INC. (Exact name of registrant as specified in its charter) New York 001-32146 16-1229730 (State or other jurisdiction of incorporation) (Commission File Number) (IR |
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| November 14, 2022 |
Exhibit 3.2 |
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| October 21, 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 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 Statemen |
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| September 14, 2022 |
Exhibit 3.2 |
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| September 14, 2022 |
Exhibit 3.1 |
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| September 14, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ? 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 . 001-32146 Commission file number DSS, INC. (Exact name o |
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| August 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): August 23, 2022 DSS, INC. (Exact name of registrant as specified in its charter) New York 001-32146 16-1229730 (State or other jurisdiction of incorporation) (Commission File Number) |
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| August 30, 2022 |
DSS Receives New York Stock Exchange Notice Regarding Late Form 10-Q Filing Exhibit 99.1 DSS Receives New York Stock Exchange Notice Regarding Late Form 10-Q Filing Rochester, NY August 30, 2022 (GLOBE NEWSWIRE) ? DSS, Inc. (NYSE American: DSS), a multinational company operating businesses within nine divisions and strategically acquiring and developing assets to enrich the value of its shareholders through calculated IPO spinoffs and a parametric share distribution strat |
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| August 17, 2022 |
Description of Securities Registered Pursuant to Section 12 of the Securities Exchange Act of 1934* Exhibit 4.1 Description of Securities Registered Pursuant to Section 12 of the Securities Exchange Act of 1934, as amended General Our authorized capital stock consists of 200,000,000 shares of common stock, $0.02 par value per share, 62,086,099 of which were issued and outstanding as of March 20, 2020. The following description of our common stock summarizes the material terms and provisions of t |
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| August 17, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-K/A ? ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2021 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 001-32146 DSS, INC. (Exact name of |
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| August 17, 2022 |
Term Sheet dated March 12, 2020* Exhibit 10.23 PRIVATE & CONFIDENTIAL LEGALLY BINDING TERM SHEET ON SHARE EXCHANGE TRANSACTION AMONG DSS SECURITY SYSTEMS INC., DSS BIOHEALTH SECURITY INC., GLOBAL BIOMEDICAL PTE LTD AND IMPACT BIOMEDICAL INC. This term sheet sets out the legally binding terms for transactions among the Parties as defined hereunder (?Term Sheet?). PARTIES 1) Document Security Systems, Inc., a New York corporation, |
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| August 17, 2022 |
2020 Employee, Director and Consultant Equity Incentive Plan * Exhibit 10.18 APPENDIX A DOCUMENT SECURITY SYSTEMS, INC. 2020 EMPLOYEE, DIRECTOR AND CONSULTANT EQUITY INCENTIVE PLAN 1. DEFINITIONS. Unless otherwise specified or unless the context otherwise requires, the following terms, as used in this Document Security Systems, Inc. 2020 Employee, Director and Consultant Equity Incentive Plan, have the following meanings: Administrator means the Board of Dire |
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| August 17, 2022 |
Subsidiaries of Document Security Systems, Inc.* Exhibit 21.1 SUBSIDIARIES OF REGISTRANT Name State of Incorporation DSS, Inc. New York APB - American Pacific Bancorp Texas Alset Energy, Inc. Texas Alset Innovations, Inc. Texas Alset OpenBiz, Inc. Texas Alset Solar, Inc. Nevada Alset Title Company Inc Texas Alset, Inc. Texas American Home REIT, Inc. Maryland AMRE Maryland AMRE Asset Management, Inc. - AAMI Nevada BioLife Sugar, Inc. Nevada Decen |
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| August 16, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 12b-25 SEC File Number: 001-32146 CUSIP Number: 26253C102 NOTIFICATION OF LATE FILING (Check one) ? Form 10-K ? Form 20-F ? Form 11-K ? Form 10-Q ? Form 10-D ? Form N-SAR ? Form N-CSR For period ended June 30, 2022 ? Transition Report on Form 10-K ? Transition Report on Form 20-F ? Transition Report on Form 11-K ? Transition Report on Form 10-Q ? Transition Report on Form N-SAR For the transition period ended Nothing in this form shall be construed to imply that the Commission has verified any information contained herein. |
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| August 12, 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 DSS, INC. (Exact name of registrant as specified in its charter) New York 001-32146 16-1229730 (State or other jurisdiction of incorporation) (Commission File Number) ( |
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| July 15, 2022 |
Exhibit 10.1 ASSIGNMENT AND ASSUMPTION AGREEMENT THIS ASSIGNMENT AND ASSUMPTION AGREEMENT (this ?Agreement?) dated as of February 25, 2022 is entered into by and between Alset International Limited, a Republic of Singapore limited company, (the ?Assignor?) and DSS, Inc., a New York corporation (?Assignee?). W I T N E S S E T H: WHEREAS, reference is made to the Convertible Promissory Note Agreemen |
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| July 15, 2022 |
Exhibit 10.2 THIS SECURITY HAS NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE ?ACT?), OR ANY APPLICABLE STATE SECURITIES LAWS. IT MAY NOT BE SOLD, OFFERED FOR SALE, PLEDGED OR HYPOTHECATED IN THE ABSENCE OF A REGISTRATION STATEMENT IN EFFECT WITH RESPECT TO THE SECURITY UNDER SUCH ACT OR AN OPINION OF COUNSEL SATISFACTORY TO THE ISSUER THAT SUCH REGISTRATION IS NOT REQUIRED. |
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| July 15, 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): July 12, 2022 DSS, INC. (Exact name of registrant as specified in its charter) New York 001-32146 16-1229730 (State or other jurisdiction of incorporation) (Commission File Number) (I |
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| July 15, 2022 |
Exhibit 10.3 AMENDMENT NO. 1 TO ASSIGNMENT AND ASSUMPTION AGREEMENT This Amendment No. 1 to the Assignment and Assumption Agreement (this ?Amendment?) dated this 12th day of July, 2022 (the ?Effective Date?), by and between Alset International Limited, a Republic of Singapore limited company, (the ?Assignor?) and DSS, Inc., a New York corporation (the ?Assignee?). WHEREAS, the Assignor and the Ass |
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| July 15, 2022 |
Exhibit 99.1 AGREEMENT TO FILE JOINT SCHEDULE 13D Pursuant to Rule 13d-1(k)(1) under the Securities Exchange Act of 1934, as amended, the undersigned hereby consent to the joint filing on their behalf of a single Schedule 13D and any amendments thereto, with respect to the beneficial ownership by each of the undersigned of shares of the common stock of DSS, INC., a New York corporation. The unders |
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| July 15, 2022 |
DSS / DSS, Inc. Common Stock / Chan Heng Fai Ambrose Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D/A Under the Securities Exchange Act of 1934 (Amendment No. 18) DSS, INC. (Name of Issuer) Common Stock, par value $0.02 per share (Title of Class of Securities) 26253C102 (CUSIP Number) Heng Fai Ambrose Chan c/o Alset International Limited 7 Temasek Boulevard #29-01B, Suntec Tower One Singapore 038987 011 65 6333 |
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| July 14, 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): July 8, 2022 DSS, INC. (Exact name of registrant as specified in its charter) New York 001-32146 16-1229730 (State or other jurisdiction of incorporation) (Commission File Number) (IR |
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| July 12, 2022 |
DSS / DSS, Inc. Common Stock / Chan Heng Fai Ambrose Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D/A Under the Securities Exchange Act of 1934 (Amendment No. 17) DSS, INC. (Name of Issuer) Common Stock, par value $0.02 per share (Title of Class of Securities) 26253C102 (CUSIP Number) Heng Fai Ambrose Chan c/o Alset International Limited 7 Temasek Boulevard #29-01B, Suntec Tower One Singapore 038987 011 65 6333 |
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| July 8, 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): July 7, 2022 DSS, INC. (Exact name of registrant as specified in its charter) New York 001-32146 16-1229730 (State or other jurisdiction of incorporation) (Commission File Number) (IR |
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| June 3, 2022 |
Exhibit 3.1 CERTIFICATE OF AMENDMENT OF CERTIFICATE OF INCORPORATION OF DSS, INC. UNDER SECTION 805 OF THE BUSINESS CORPORATION LAW The undersigned, being the Chief Executive Officer of DSS, Inc. (the ?Corporation?), a corporation organized and existing under Business Corporation Law of the State of New York (the ?NYBCL?), hereby certifies as follows, pursuant to 805 of the NYBCL: FIRST The name o |
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| June 3, 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 2, 2022 DSS, INC. (Exact name of registrant as specified in its charter) New York 001-32146 16-1229730 (State or other jurisdiction of incorporation) (Commission File Number) (IR |
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| June 3, 2022 |
Exhibit 3.2 AMENDMENT NO. 1 TO FIFTH AMENDED AND RESTATED BY-LAWS OF DSS, INC. (F.K.A. DOCUMENT SECURITY SYSTEMS, INC.) (A New York Corporation) The Fourth Amended and Restated By-Laws (the ?By-laws?) of DSS, Inc. (f.k.a. Document Security Systems, Inc.) (the ?Corporation?) are hereby amended as follows: Article 5, Section 5.6 of the By-Laws is deleted in its entirety and replaced with the followi |
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| June 1, 2022 |
DSS / DSS, Inc. Common Stock / Chan Heng Fai Ambrose Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D/A Under the Securities Exchange Act of 1934 (Amendment No. 16) DSS, INC. (Name of Issuer) Common Stock, par value $0.02 per share (Title of Class of Securities) 26253C102 (CUSIP Number) Heng Fai Ambrose Chan c/o Alset International Limited 7 Temasek Boulevard #29-01B, Suntec Tower One Singapore 038987 011 65 6333 |
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| June 1, 2022 |
Unregistered Sales of Equity Securities 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 25, 2022 DSS, INC. (Exact name of registrant as specified in its charter) New York 001-32146 16-1229730 (State or other jurisdiction of incorporation) (Commission File Number) (IR |
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| May 18, 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 17, 2022 DSS, INC. (Exact name of registrant as specified in its charter) New York 001-32146 16-1229730 (State or other jurisdiction of incorporation) (Commission File Number) (IR |
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| May 16, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ? 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 . 001-32146 Commission file number DSS, INC. (Exact name |
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| May 9, 2022 |
DEFA14A 1 formdefa14a.htm 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) |
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| April 26, 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 (Amendment No. 1) 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)) ? Defi |
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| April 20, 2022 |
DSS / DSS, Inc. Common Stock / Chan Heng Fai Ambrose Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D/A Under the Securities Exchange Act of 1934 (Amendment No. 15) DSS, INC. (Name of Issuer) Common Stock, par value $0.02 per share (Title of Class of Securities) 26253C102 (CUSIP Number) Heng Fai Ambrose Chan c/o Alset International Limited 7 Temasek Boulevard #29-01B, Suntec Tower One Singapore 038987 011 65 6333 |
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| April 15, 2022 |
DEF 14A 1 formdef-14a.htm 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 (Amendment No. ) Filed by 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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| April 4, 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 (Amendment No. 1) Filed by 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)) ? Definit |
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| March 31, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-K ? ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2021 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 001-32146 DSS, INC. (Exact name of r |
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| March 31, 2022 |
Subsidiaries of Document Security Systems, Inc.* Exhibit 21.1 SUBSIDIARIES OF REGISTRANT Name State of Incorporation DSS, Inc. New York APB - American Pacific Bancorp Texas Alset Energy, Inc. Texas Alset Innovations, Inc. Texas Alset OpenBiz, Inc. Texas Alset Solar, Inc. Nevada Alset Title Company Inc Texas Alset, Inc. Texas American Home REIT, Inc. Maryland AMRE Maryland AMRE Asset Management, Inc. - AAMI Nevada BioLife Sugar, Inc. Nevada Decen |
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| March 31, 2022 |
Term Sheet dated March 12, 2020* Exhibit 10.23 PRIVATE & CONFIDENTIAL LEGALLY BINDING TERM SHEET ON SHARE EXCHANGE TRANSACTION AMONG DSS SECURITY SYSTEMS INC., DSS BIOHEALTH SECURITY INC., GLOBAL BIOMEDICAL PTE LTD AND IMPACT BIOMEDICAL INC. This term sheet sets out the legally binding terms for transactions among the Parties as defined hereunder (?Term Sheet?). PARTIES 1) Document Security Systems, Inc., a New York corporation, |
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| March 31, 2022 |
Description of Securities Registered Pursuant to Section 12 of the Securities Exchange Act of 1934* Exhibit 4.1 Description of Securities Registered Pursuant to Section 12 of the Securities Exchange Act of 1934, as amended General Our authorized capital stock consists of 200,000,000 shares of common stock, $0.02 par value per share, 62,086,099 of which were issued and outstanding as of March 20, 2020. The following description of our common stock summarizes the material terms and provisions of t |
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| March 31, 2022 |
2020 Employee, Director and Consultant Equity Incentive Plan * Exhibit 10.18 APPENDIX A DOCUMENT SECURITY SYSTEMS, INC. 2020 EMPLOYEE, DIRECTOR AND CONSULTANT EQUITY INCENTIVE PLAN 1. DEFINITIONS. Unless otherwise specified or unless the context otherwise requires, the following terms, as used in this Document Security Systems, Inc. 2020 Employee, Director and Consultant Equity Incentive Plan, have the following meanings: Administrator means the Board of Dire |
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| March 15, 2022 |
DSS / DSS, Inc. Common Stock / Chan Heng Fai Ambrose Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D/A Under the Securities Exchange Act of 1934 (Amendment No. 14) DSS, INC. (Name of Issuer) Common Stock, par value $0.02 per share (Title of Class of Securities) 26253C102 (CUSIP Number) Heng Fai Ambrose Chan c/o Alset International Limited 7 Temasek Boulevard #29-01B, Suntec Tower One Singapore 038987 011 65 6333 |
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| March 10, 2022 |
Exhibit 99.2 DOCUMENT SECURITY SYSTEMS, INC. AND SUBSIDIARIES Consolidated Statements of Operations and Comprehensive Loss (unaudited) DSS, Inc Sharing Services Global Corporation For the Nine Months Ended September 30, 2021 For the Six Months Ended September 30, 2021 Proforma Adjustment (Note 1) Consolidated Revenue: Printed products $ 10,652,000 $ - (151,509 ) $ 10,500,491 Rental income 184,000 |
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| March 10, 2022 |
DSS, INC. AND SUBSIDIARIES Consolidated Balance Sheets As of September 30, 2021 Exhibit 99.1 DSS, INC. AND SUBSIDIARIES Consolidated Balance Sheets As of September 30, 2021 Pre-Acquisition DSS (Purchaser) Record 12.23.2021 Investment Post-Acquisition DSS (Purchaser) Sharing Service Global Corp (Target) Proforma Adjustment (Note 1) Proforma Adjustment (Note 2) Consolidated ASSETS Current assets: Cash and cash equivalents $ 69,137,000 $ (3,000,000 ) $ 66,137,000 $ 28,841,283 $ |
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| March 10, 2022 |
DSS, INC. AND SUBSIDIARIES Consolidated Balance Sheets As of December 31, 2020 Exhibit 99.3 DSS, INC. AND SUBSIDIARIES Consolidated Balance Sheets As of December 31, 2020 ASSETS Pre-Acquisition DSS (Purchaser) December 31, 2020 Record 12.23.2021 Investment Post-Acquisition DSS (Purchaser) December 31, 2020 Sharing Service Global Corp (Target) March 31, 2021 Proforma Adjustment (Note 1) Proforma Adjustment (Note 2) Consolidated Current assets: Cash and cash equivalents $ 5,22 |
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| March 10, 2022 |
Exhibit 99.4 DOCUMENT SECURITY SYSTEMS, INC. AND SUBSIDIARIES Consolidated Statements of Operations and Comprehensive Income (Loss) (unaudited) DSS, Inc Sharing Services Global Corporation Fiscal year ended December 31, 2020 Fiscal year ended March 31, 2021 Proforma Adjustment (Note 1) Consolidated Revenue: Printed products $ 13,000,000 $ - - $ 13,000,000 Technology sales, services and licensing 2 |
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| March 10, 2022 |
Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K/A (Amendment No. 1) 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 29, 2021 DSS, INC. (Exact name of registrant as specified in charter) New York 001-32146 16-1229730 (State or other jurisdiction (Commission (IRS Employer |
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| March 1, 2022 |
Exhibit 10.4 AGREEMENT TO TERMINATE STOCK PURCHASE AGREEMENT Effective as of February 28, 2022 (the ?Effective Date?), DSS, Inc. (the ?Buyer?), and Alset EHome International Inc. (the ?Seller?) enter into and agree as provided in this Agreement to Terminate Stock Purchase Agreement (the ?Termination Agreement?). RECITALS: A. Buyer and Seller are parties to a Stock Purchase Agreement dated into Jan |
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| March 1, 2022 |
Exhibit 10.2 STOCK PURCHASE AGREEMENT This STOCK PURCHASE AGREEMENT (this ?Agreement?) is made as of February 28 2022 by and among DSS, Inc., a New York Corporation, or its designated subsidiary (collectively, the ?Buyer?), and Alset EHome International Inc. and its subsidiaries (collectively, the ?Seller?). RECITALS WHEREAS, Seller and Buyer are executing and delivering this Agreement in reliance |
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| March 1, 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 28, 2022 DSS, INC. (Exact name of registrant as specified in its charter) New York 001-32146 16-1229730 (State or other jurisdiction of incorporation) (Commission File Number |
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| March 1, 2022 |
Exhibit 10.1 AMENDMENT TO STOCK PURCHASE AGREEMENT This AMENDMENT TO STOCK PURCHASE AGREEMENT (the ?Amendment?) is made as of February 28, 2022 by and between DSS, Inc., a New York Corporation, or its designated subsidiary (collectively, the ?Seller?), and Alset EHome International, Inc. and its subsidiaries (collectively, the ?Buyer?). Recitals WHEREAS, Buyer, Seller have entered into that certai |
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| March 1, 2022 |
Exhibit 10.3 AGREEMENT TO TERMINATE STOCK PURCHASE AGREEMENT Effective as of February 28, 2022 (the ?Effective Date?), DSS, Inc. (the ?Buyer?), and Alset EHome International Inc. (the ?Seller?) enter into and agree as provided in this Agreement to Terminate Stock Purchase Agreement (the ?Termination Agreement?). RECITALS: A. Buyer and Seller are parties to a Stock Purchase Agreement dated into Jan |
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| February 25, 2022 |
Exhibit 10.2 THIS SECURITY HAS NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE ?ACT?), OR ANY APPLICABLE STATE SECURITIES LAWS. IT MAY NOT BE SOLD, OFFERED FOR SALE, PLEDGED OR HYPOTHECATED IN THE ABSENCE OF A REGISTRATION STATEMENT IN EFFECT WITH RESPECT TO THE SECURITY UNDER SUCH ACT OR AN OPINION OF COUNSEL SATISFACTORY TO THE ISSUER THAT SUCH REGISTRATION IS NOT REQUIRED. |
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| February 25, 2022 |
Exhibit 10.1 ASSIGNMENT AND ASSUMPTION AGREEMENT THIS ASSIGNMENT AND ASSUMPTION AGREEMENT (this ?Agreement?) dated as of February 25, 2022 is entered into by and between Alset International Limited, a Republic of Singapore limited company, (the ?Assignor?) and DSS, Inc., a New York corporation (?Assignee?). W I T N E S S E T H: WHEREAS, reference is made to the Convertible Promissory Note Agreemen |
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| February 25, 2022 |
Entry into a Material Definitive Agreement, 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): February 25, 2022 DSS, INC. (Exact name of registrant as specified in its charter) New York 001-32146 16-1229730 (State or other jurisdiction of incorporation) (Commission File Number |
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| February 14, 2022 |
DSS / DSS, Inc. Common Stock / CVI Investments, Inc. - SCHEDULE 13G/A Passive Investment CUSIP No: 26253C102 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)* DSS, Inc. (Name of Issuer) Common Stock, $0.02 par value per share (Title of Class of Securities) 26253C102 (CUSIP Number) December 31 |
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| February 2, 2022 |
SHRG / Sharing Services Global Corp / DOCUMENT SECURITY SYSTEMS INC Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 8) SHARING SERVICES GLOBAL CORPORATION (Name of Issuer) Class A Common Stock, $0.0001 Par Value (Title of Class of Securities) 819536103 (CUSIP Number) Jason Grady c/o DSS, Inc. 6 Framark Drive Victor, New York 14564 (585) 325-3610 (Name, Address and Telepho |
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| January 25, 2022 |
Exhibit 10.1 STOCK PURCHASE AGREEMENT This STOCK PURCHASE AGREEMENT (this ?Agreement?) is made as of January 25, 2022 by and among DSS, Inc., a New York Corporation, or its designated subsidiary (collectively, the ?Seller?), and Alset EHome International, Inc. and its subsidiaries (collectively, the ?Buyer?). RECITALS WHEREAS, Seller and Buyer are executing and delivering this Agreement in relianc |
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| January 25, 2022 |
Entry into a Material Definitive Agreement, 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): January 25, 2022 DSS, INC. (Exact name of registrant as specified in its charter) New York 001-32146 16-1229730 (State or other jurisdiction of incorporation) (Commission File Number) |
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| January 24, 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 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 Statemen |
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| January 19, 2022 |
Exhibit 10.2 STOCK PURCHASE AGREEMENT This STOCK PURCHASE AGREEMENT (this ?Agreement?) is made as of January 18, 2022 by and among DSS, Inc., a New York Corporation, or its designated subsidiary (collectively, the ?Buyer?), and Alset EHome International, Inc. and its subsidiaries (collectively, the ?Seller?). RECITALS WHEREAS, Seller and Buyer are executing and delivering this Agreement in relianc |
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| January 19, 2022 |
Exhibit 99.1 DSS Acquires 25.1% of Alset International Limited DSS adds True Partner Capital with $1.7B AUM into DSS Securities; greatly enhancing the portfolio of the finance and asset management division of DSS ROCHESTER, N.Y., Jan. 19, 2022 (GLOBE NEWSWIRE) - DSS, Inc. (?DSS? or the ?Company?) (NYSE American: DSS), a multinational company with nine operating business lines in diverse, high-grow |
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| January 19, 2022 |
EX-10.1 2 ex10-1.htm Exhibit 10.1 STOCK PURCHASE AGREEMENT This STOCK PURCHASE AGREEMENT (this “Agreement”) is made as of January 18, 2022 by and among DSS, Inc., a New York Corporation, (the “Buyer”), and Alset EHome International, Inc. (the “Seller”). RECITALS WHEREAS, Seller and Buyer are executing and delivering this Agreement in reliance upon the exemption from securities registration afforde |
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| January 19, 2022 |
Entry into a Material Definitive Agreement, 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): January 18, 2022 DSS, INC. (Exact name of registrant as specified in its charter) New York 001-32146 16-1229730 (State or other jurisdiction of incorporation) (Commission File Number) |
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| January 11, 2022 |
SHRG / Sharing Services Global Corp / DOCUMENT SECURITY SYSTEMS INC Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D/A Under the Securities Exchange Act of 1934 (Amendment No. 7) SHARING SERVICES GLOBAL CORPORATION (Name of Issuer) Class A Common Stock, $0.0001 Par Value (Title of Class of Securities) 819536103(CUSIP Number) Jason Grady c/o DSS, Inc. 6 Framark Drive Victor, New York 14564 (585) 325-3610 (Name, Address and Teleph |
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| January 4, 2022 |
SHRG / Sharing Services Global Corp / DOCUMENT SECURITY SYSTEMS INC Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 6) SHARING SERVICES GLOBAL CORPORATION (Name of Issuer) Class A Common Stock, $0.0001 Par Value (Title of Class of Securities) 819536103(CUSIP Number) Jason Grady c/o DSS, Inc. 6 Framark Drive Victor, New York 14564 (585) 325-3610 (Name, Address and Telephon |
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| December 29, 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): December 29, 2021 (December 23, 2021) DSS, INC. (Exact name of registrant as specified in its charter) New York 001-32146 16-1229730 (State or other jurisdiction of incorporation) (Co |
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| December 29, 2021 |
EX-10.2 3 ex10-2.htm Exhibit 10.2 THIS WARRANT AND THE SHARES OF COMMON STOCK WHICH MAY BE PURCHASED UPON THE EXERCISE OF THIS WARRANT HAVE BEEN ACQUIRED SOLELY FOR INVESTMENT AND HAVE NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE “ACT”), OR ANY STATE SECURITIES LAWS. SUCH SECURITIES MAY NOT BE SOLD, OFFERED FOR SALE, PLEDGED OR HYPOTHECATED IN THE ABSENCE OF SUCH REGISTRAT |
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| December 29, 2021 |
EX-10.1 2 ex10-1.htm Exhibit 10.1 STOCK PURCHASE AND SHARE SUBSCRIPTION AGREEMENT This Stock Purchase and Share Subscription Agreement (the “Agreement”) is made and entered into as of December 23, 2021 by and between Sharing Services Global Corporation, a Nevada corporation (the “Company”) and Decentralized Sharing Systems, Inc., a New York corporation (the “Investor”), or its designee. 1. Subscri |
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| December 3, 2021 |
Letter from Freed Maxick CPAs, P.C., dated December 3, 2021 Exhibit 16.1 December 3, 2021 Securities and Exchange Commission Washington, D.C. 20549 Commissioners: We have read DSS, Inc?s statements included under Item 4.01(a) of its Form 8-K filed on December 3, 2021 and we agree with such statements insofar as they relate to our firm. With respect to all other matters, we have no basis to agree or disagree with the statements made by the registrant. |
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| December 3, 2021 |
Changes in Registrant's Certifying Accountant, 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): December 2, 2021 DSS, INC. (Exact name of registrant as specified in its charter) New York 001-32146 16-1229730 (State or other jurisdiction of incorporation) (Commission File Number) |
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| November 19, 2021 |
Exhibit 99.1 American Pacific Bancorp, Inc. Reports and Financial Statements For the years ended December 31, 2020 and 2019 American Pacific Bancorp, Inc. Contents Pages Independent Auditor?s Report 1 Balance Sheets 2 Statements of Operations 3 Statements of Changes in Shareholders? Equity 4 Statements of Cash Flows 5 Notes to the Financial Statements 6-14 Expressed in US dollars (?$?) 1 Report of |
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| November 19, 2021 |
Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K/A (Amendment No. 1) 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 3, 2021 DSS INC. (Exact name of registrant as specified in its charter) New York 001-32146 16-1229730 (State or other jurisdiction of incorporation) (Com |
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| November 19, 2021 |
Exhibit 99.2 American Pacific Bancorp, Inc. Condensed Consolidated Financial Statements For the six months ended June 30, 2021 Contents Pages Condensed Consolidated Balance Sheets 1 Condensed Consolidated Statements of Operations 2 Condensed Consolidated Statements of Changes in Shareholders? Equity 3 - 4 Condensed Consolidated Statements of Cash Flows 5 Notes to the Unaudited Condensed Consolidat |
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| November 19, 2021 |
EX-99.3 5 ex99-3.htm Exhibit 99.3 DSS, Inc. and American Pacific Bancorp, Inc. Condensed Combined Balance Sheet (unaudited) As of December 31, 2020 Pre-Acquisition DSS, Inc. (Purchaser) Record Purchase Post-acquisition DSS, Inc. (Purchaser) American Pacific Bancorp, Inc. (Target) Proforma Adjustment (Note 1) Proforma Adjustment (Note 2) Consolidated Financials ASSETS Current Assets: Cash $ 5,183,0 |
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| November 18, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ? 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 . 001-32146 Commission file number DSS, INC. (Exact n |
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| November 16, 2021 |
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-SAR ? Form N-CSR For Period Ended: September 30, 2021 ? Transition Report on Form 10-K ? Transition Report on Form 20-F ? Transition Report on Form 11-K ? Transition Report on Form 10-Q ? Transition Report |
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| November 5, 2021 |
Exhibit 99.1 FOR IMMEDIATE RELEASE DSS Expands American Medical REIT with Acquisition of Three Established Acute Care Hospitals in Texas and Pennsylvania Rochester, N.Y., November 3, 2021 - DSS, Inc. (?DSS? or the ?Company?) (NYSE American: DSS), a multinational company operating business segments in blockchain security, direct marketing, healthcare, consumer packaging, real estate, renewable ener |
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| November 5, 2021 |
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 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 4, 2021 DSS, INC. (Exact name of registrant as specified in its charter) New York 001-32146 16-1229730 (State or other jurisdiction of incorporation) (Commission File Number) |
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| October 22, 2021 |
SHRG / Sharing Services Global Corp / DOCUMENT SECURITY SYSTEMS INC Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 5) SHARING SERVICES GLOBAL CORPORATION (Name of Issuer) Class A Common Stock, $0.0001 Par Value (Title of Class of Securities) 819536103 (CUSIP Number) Jason Grady c/o DSS, Inc. 6 Framark Drive Victor, New York 14564 (585) 325-3610 (Name, Address and Telepho |
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| October 1, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant [X] Filed by a Party other than the Registrant [ ] Check the appropriate box: [ ] Preliminary Proxy Statement [ ] Confidential, for the use of the Commission only (as permitted by Rule 14a-6(e)(2)) |
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| September 20, 2021 |
DSS / Document Security Systems, Inc. / Chan Heng Fai Ambrose Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D/A Under the Securities Exchange Act of 1934 (Amendment No. 13) DOCUMENT SECURITY SYSTEMS, INC. (Name of Issuer) Common Stock, par value $0.02 per share (Title of Class of Securities) 25614T200 (CUSIP Number) Heng Fai Ambrose Chan c/o Alset International Limited 7 Temasek Boulevard #29-01B, Suntec Tower One Singapo |
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| September 20, 2021 |
EX-99.1 2 ex99-1.htm Exhibit 99.1 AGREEMENT TO FILE JOINT SCHEDULE 13D Pursuant to Rule 13d-1(k)(1) under the Securities Exchange Act of 1934, as amended, the undersigned hereby consent to the joint filing on their behalf of a single Schedule 13D and any amendments thereto, with respect to the beneficial ownership by each of the undersigned of shares of the common stock of DOCUMENT SECURITY SYSTEM |
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| September 10, 2021 |
Exhibit 1.1 SUBSCRIPTION AGREEMENT This SUBSCRIPTION AGREEMENT (this ?Agreement?) is made as of September 3, 2021 by and among Document Security Systems, Inc., a New York Corporation, (the ?Company?), and Alset EHome International, Inc. (the ?Subscriber?). RECITALS WHEREAS, the Company and Subscriber are executing and delivering this Agreement in reliance upon the exemption from securities registr |
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| September 10, 2021 |
DSS Receives $15 Million Investment from Alset EHome International EX-99.2 5 ex99-2.htm Exhibit 99.2 DSS Receives $15 Million Investment from Alset EHome International ROCHESTER, N.Y., Sept. 08, 2021 (GLOBE NEWSWIRE) — Document Security Systems, Inc. (“DSS” or the “Company”) (NYSE American: DSS), a multinational company operating business segments in blockchain security, direct marketing, healthcare, consumer packaging, real estate, renewable energy, and securiti |
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| September 10, 2021 |
DSS Invests $40 Million into American Pacific Bancorp EX-99.1 4 ex99-1.htm Exhibit 99.1 DSS Invests $40 Million into American Pacific Bancorp ROCHESTER, N.Y., Sept. 09, 2021 (GLOBE NEWSWIRE) — Document Security Systems, Inc. (“DSS” or the “Company”) (NYSE American: DSS), a multinational company operating business segments in blockchain security, direct marketing, healthcare, consumer packaging, real estate, renewable energy, and securitized digital a |
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| September 10, 2021 |
Stock Purchase Agreement dated September 9, 2021 EX-1.2 3 ex1-2.htm Exhibit 1.2 CLASS A COMMON STOCK PURCHASE AGREEMENT Dated as of September 8, 2021 among American Pacific Bancorp Inc. and Document Security Systems Inc. CLASS A COMMON STOCK PURCHASE AGREEMENT This CLASS A COMMON STOCK PURCHASE AGREEMENT (this “Agreement”), dated as of September 8, 2021, is made by and among American Pacific Bancorp Inc., a Texas corporation (the “Company”) and |
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| September 10, 2021 |
Entry into a Material Definitive Agreement, 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): September 3, 2021 DOCUMENT SECURITY SYSTEMS, INC. (Exact name of registrant as specified in its charter) New York 001-32146 16-1229730 (State or other jurisdiction of incorporation) ( |
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| August 24, 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): August 19, 2021 DOCUMENT SECURITY SYSTEMS, INC. (Exact name of registrant as specified in its charter) New York 001-32146 16-1229730 (State or other jurisdiction of incorporation) (Co |
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| August 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): August 17, 2021 DOCUMENT SECURITY SYSTEMS, INC. (Exact name of registrant as specified in its charter) New York 001-32146 16-1229730 (State or other jurisdiction of incorporation) (Co |
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| August 23, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ☒ 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 . 001-32146 Commission file number DOCUMENT SECURITY SYSTE |
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| August 23, 2021 |
Exhibit 10.3 |
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| August 16, 2021 |
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-SAR ? Form N-CSR For Period Ended: June 30, 2021 ? Transition Report on Form 10-K ? Transition Report on Form 20-F ? Transition Report on Form 11-K ? Transition Report on Form 10-Q ? Transition Report on Fo |
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| August 13, 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 6, 2021 DOCUMENT SECURITY SYSTEMS, INC. (Exact name of registrant as specified in its charter) New York 001-32146 16-1229730 (State or other jurisdiction of incorporation) (Commi |
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| June 25, 2021 |
DSS / Document Security Systems, Inc. / CVI Investments, Inc. - SC 13G Passive Investment CUSIP No: 25614T309 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. )* Document Security Systems, Inc. (Name of Issuer) Common Stock, $0.02 par value per share (Title of Class of Securities) 25614T309 (CUSI |
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| June 25, 2021 |
DSS / Document Security Systems, Inc. / Chan Heng Fai Ambrose Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D/A Under the Securities Exchange Act of 1934 (Amendment No. 12) DOCUMENT SECURITY SYSTEMS, INC. (Name of Issuer) Common Stock, par value $0.02 per share (Title of Class of Securities) 25614T200 (CUSIP Number) Heng Fai Ambrose Chan c/o Alset International Limited 7 Temasek Boulevard #29-01B, Suntec Tower One Singapo |
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| June 17, 2021 |
Exhibit 1.1 UNDERWRITING AGREEMENT between DOCUMENT SECURITY SYSTEMS, INC. and AEGIS CAPITAL CORP., as Representative of the Several Underwriters DOCUMENT SECURITY SYSTEMS, INC. UNDERWRITING AGREEMENT New York, New York June 14, 2021 Aegis Capital Corp. As Representative of the several Underwriters named on Schedule 1 attached hereto 810 Seventh Avenue, 18th Floor New York, New York 10019 Ladies a |
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| June 17, 2021 |
Document Security Systems, Inc. Prices $43.5 Million Public Offering of Common Stock Exhibit 99.1 Document Security Systems, Inc. Prices $43.5 Million Public Offering of Common Stock Document Security Systems, Inc. (NYSE American: DSS) (the ?Company?), a multinational company operating businesses focusing on brand protection technology, blockchain security, direct marketing, healthcare, consumer packaging, real estate, renewable energy, and securitized digital assets, today announ |
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| June 17, 2021 |
Exhibit 99.2 Document Security Systems, Inc. Closes $50.025 Million Public Offering of Common Stock Including Exercise of the Over-Allotment ROCHESTER, N.Y., June 17, 2021 (GLOBE NEWSWIRE) Document Security Systems, Inc. (NYSE American: DSS) (the ?Company?), a multinational company operating businesses focusing on brand protection technology, blockchain security, direct marketing, healthcare, cons |
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| June 17, 2021 |
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): June 14, 2021 DOCUMENT SECURITY SYSTEMS, INC. (Exact name of registrant as specified in its charter) New York 001-32146 16-1229730 (State or other jurisdiction of incorporation) (Comm |
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| June 16, 2021 |
Document Security Systems, Inc. 29,000,000 Shares of Common Stock Filed Pursuant to Rule 424(b)(5) Registration No. 333-256446 PROSPECTUS SUPPLEMENT (To Prospectus dated June 7, 2021) Document Security Systems, Inc. 29,000,000 Shares of Common Stock We are offering 29,000,000 shares of our common stock pursuant to this prospectus supplement and the accompanying prospectus. Our common stock is listed on the NYSE American LLC under the symbol ?DSS.? The aggregate |
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| June 14, 2021 |
SUBJECT TO COMPLETION, DATED JUNE 14, 2021 The information in this preliminary prospectus supplement is not complete and may be changed. |
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| June 7, 2021 |
Document Security Systems, Inc. 6 Framark Dr. Victor, NY 14564 Document Security Systems, Inc. 6 Framark Dr. Victor, NY 14564 June 7, 2021 Securities and Exchange Commission Division of Corporation Finance 100 F Street N.E. Washington, D.C. 20549 Attention: Ms. Heather Clark Re: Document Security Systems, Inc. Registration Statement on Form S-3 Filed May 24, 2021 File No. 333-2456446 Ladies and Gentlemen: Pursuant to Rule 461 promulgated under the Securities |
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| June 7, 2021 |
Document Security Systems, Inc. 6 Framark Dr. Victor, NY 14564 CORRESP 1 filename1.htm Document Security Systems, Inc. 6 Framark Dr. Victor, NY 14564 June 7, 2021 Securities and Exchange Commission Division of Corporation Finance 100 F Street N.E. Washington, D.C. 20549 Attention: Ms. Heather Clark Re: Document Security Systems, Inc. Registration Statement on Form S-3 Filed May 24, 2021 File No. 333-256446 Ladies and Gentlemen: Pursuant to Rule 461 promulgate |
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| June 3, 2021 |
Document Security Systems, Inc. 6 Framark Dr. Victor, NY 14564 Document Security Systems, Inc. 6 Framark Dr. Victor, NY 14564 June 4, 2021 Securities and Exchange Commission Division of Corporation Finance 100 F Street N.E. Washington, D.C. 20549 Attention: Ms. Heather Clark Re: Document Security Systems, Inc. Registration Statement on Form S-3 Filed May 24, 2021 File No. 333-256446 Ladies and Gentlemen: Pursuant to Rule 461 promulgated under the Securities A |
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| June 3, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D/A Under the Securities Exchange Act of 1934 (Amendment No. 11) DOCUMENT SECURITY SYSTEMS, INC. (Name of Issuer) Common Stock, par value $0.02 per share (Title of Class of Securities) 25614T200 (CUSIP Number) Heng Fai Ambrose Chan c/o Singapore eDevelopment Limited 7 Temasek Boulevard #29-01B, Suntec Tower One Sing |
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| June 1, 2021 |
Unregistered Sales of Equity Securities 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 26, 2021 DOCUMENT SECURITY SYSTEMS, INC. (Exact name of registrant as specified in its charter) New York 001-32146 16-1229730 (State or other jurisdiction of incorporation) (Commi |
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| May 24, 2021 |
Specimen Common Stock Certificate of the Registrant EX-4.1 2 ex4-1.htm Exhibit 4.1 |
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| May 24, 2021 |
As filed with the Securities and Exchange Commission on May 24, 2021 Registration No. |
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| May 24, 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 24, 2021 DOCUMENT SECURITY SYSTEMS, INC. (Exact name of registrant as specified in its charter) New York 001-32146 16-1229730 (State or other jurisdiction of incorporation) (Commi |
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| May 24, 2021 |
Exhibit 99.1 EXPLANATORY NOTE Document Security Systems, Inc. (?DSS,? the ?Company,? ?we,? ?us,? ?our?) is filing this exhibit to reflect changes to the presentation of our financial information as set forth in our Annual Report on Form 10-K for the fiscal year ended December 31, 2020 (the ?2020 Form 10-K?), as filed with the Securities and Exchange Commission (the ?SEC?) on March 31, 2021, in ord |
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| May 21, 2021 |
Securities Purchase Agreement dated May 14, 2021 Exhibit 10.1 SECURITIES PURCHASE AGREEMENT This SECURITIES PURCHASE AGREEMENT (this ?Agreement?), is dated as of May 14, 2021, entered into by and among Puradigm LLC, a Nevada limited liability company (the ?Company?), and DSS PureAir, Inc., a Texas corporation (the ?Investor?). WITNESSETH: WHEREAS, the Company and Investor are executing and delivering this Agreement in reliance upon the exemption |
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| May 21, 2021 |
Exhibit 99.1 DSS Launches DSS PureAir, Inc. and Makes Investment into Innovative Proactive Air and Surface Purification Solutions Technology from Puradigm LLC A study done by the University of Florida using the SARS-CoV-2 virus showed a significant decrease in infectivity of the virus immediately after exposure to Puradigm?s technology The SARS-CoV-2 virus was undetectable after 24 hours of exposu |
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| May 21, 2021 |
Entry into a Material Definitive Agreement, 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 17, 2021 DOCUMENT SECURITY SYSTEMS, INC. (Exact name of registrant as specified in its charter) New York 001-32146 16-1229730 (State or other jurisdiction of incorporation) (Commi |
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| May 21, 2021 |
Secured Convertible Note dated May 14, 2021 Exhibit 10.2 THE SECURITIES REPRESENTED HEREBY HAVE NOT BEEN REGISTERED UNDER THE UNITED STATES SECURITIES ACT OF 1933, AS AMENDED (THE ?SECURITIES ACT?). THESE SECURITIES MAY BE OFFERED, SOLD, PLEDGED OR OTHERWISE TRANSFERRED ONLY (A) TO THE COMPANY, (B) OUTSIDE THE UNITED STATES IN COMPLIANCE WITH RULE 904 OF REGULATION S UNDER THE SECURITIES ACT, (C) PURSUANT TO AN EFFECTIVE REGISTRATION STATEM |
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| May 14, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q [X] 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 . 001-32146 Commission file number DOCUMENT SECURITY |
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| May 11, 2021 |
Exhibit 99.1 DSS Sells its DSS Digital Division to Proof Authentication Corporation Company focused on growing shareholder value through higher return opportunities ROCHESTER, N.Y., May 11, 2021 (GLOBE NEWSWIRE) ? Document Security Systems, Inc. (?DSS? or the ?Company?) (NYSE American: DSS), a multinational company operating businesses in blockchain security, direct marketing, healthcare, consumer |
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| May 11, 2021 |
exhibit 1.1 STOCK PURCHASE AGREEMENT between PROOF AUTHENTICATION CORPORATION and DOCUMENT SECURITY SYSTEMS, INC., Relating to the Purchase and Sale of 100% of the Shares of of DSS Digital Inc. Dated as of May 7, 2021 TABLE OF CONTENTS Page Article I Definitions 1 Section 1.1 Definitions 1 Section 1.2 Construction 13 Article II Purchase and Sale 14 Section 2.1 Purchase and Sale 14 Section 2.2 Clos |
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| May 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): May 7, 2021 DOCUMENT SECURITY SYSTEMS, INC. (Exact name of registrant as specified in its charter) New York 001-32146 16-1229730 (State or other jurisdiction of incorporation) (Commis |
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| April 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): April 5, 2021 DOCUMENT SECURITY SYSTEMS, INC. (Exact name of registrant as specified in its charter) New York 001-32146 16-1229730 (State or other jurisdiction of incorporation) (Comm |
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| April 9, 2021 |
Warrant to Purchase Shares of Sharing Services Global Corporation’s Class A Common Stock. * EX-1.3 4 ex1-3.htm Exhibit 1.3 |
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| April 9, 2021 |
Exhibit 1.2 |
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| April 9, 2021 |
Exhibit 1.1 |
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| April 1, 2021 |
Exhibit 99.1 FOR IMMEDIATE RELEASE DSS Releases Full Year 2020 Financial Results: Income From Continuing Operations Increased $5.7 Million in 2020 Generated positive income of $3.1M vs. a loss of $2.6M in 2019 Revenue up 12% to $17.4M in 2020 Stockholders’ Equity up 522% to $76.5M Rochester, N.Y., March 31, 2021 - Document Security Systems, Inc. (“DSS” or the “Company”) (NYSE American: DSS), a mul |
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| April 1, 2021 |
Results of Operations and Financial Condition, 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 31, 2021 DOCUMENT SECURITY SYSTEMS, INC. (Exact name of registrant as specified in its charter) New York 001-32146 16-1229730 (State or other jurisdiction of incorporation) (Com |
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| March 31, 2021 |
Term Sheet dated March 12, 2020* Exhibit 10.23 PRIVATE & CONFIDENTIAL LEGALLY BINDING TERM SHEET ON SHARE EXCHANGE TRANSACTION AMONG DSS SECURITY SYSTEMS INC., DSS BIOHEALTH SECURITY INC., GLOBAL BIOMEDICAL PTE LTD AND IMPACT BIOMEDICAL INC. This term sheet sets out the legally binding terms for transactions among the Parties as defined hereunder (?Term Sheet?). PARTIES 1) Document Security Systems, Inc., a New York corporation, |
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| March 31, 2021 |
Subsidiaries of Document Security Systems, Inc.* Exhibit 21.1 SUBSIDIARIES OF REGISTRANT Name State of Incorporation AMRE Asset Management Inc. - AAMI Nevada Alset, Inc Texas Alset Innovations, Inc Texas Alset Title Company Inc Texas AMRE Maryland Decentralized Sharing Systems, Inc. Nevada DSS, Inc New York DSS Administrative Group, Inc. New York DSS Asia Limited Hong Kong DSS BioHealth Security, Inc. Nevada DSS Blockchain Security, Inc. Nevada |
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| March 31, 2021 |
Description of Securities Registered Pursuant to Section 12 of the Securities Exchange Act of 1934* Exhibit 4.1 Description of Securities Registered Pursuant to Section 12 of the Securities Exchange Act of 1934, as amended General Our authorized capital stock consists of 200,000,000 shares of common stock, $0.02 par value per share, 62,086,099 of which were issued and outstanding as of March 20, 2020. The following description of our common stock summarizes the material terms and provisions of t |
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| March 31, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 10-K [X] ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2020 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 001-32146 DOCUMENT SECURITY SYST |
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| March 31, 2021 |
2020 Employee, Director and Consultant Equity Incentive Plan * Exhibit 10.18 APPENDIX A DOCUMENT SECURITY SYSTEMS, INC. 2020 EMPLOYEE, DIRECTOR AND CONSULTANT EQUITY INCENTIVE PLAN 1. DEFINITIONS. Unless otherwise specified or unless the context otherwise requires, the following terms, as used in this Document Security Systems, Inc. 2020 Employee, Director and Consultant Equity Incentive Plan, have the following meanings: Administrator means the Board of Dire |
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| February 10, 2021 |
Document Security Systems, Inc. Prices $34.5 Million Upsized Public Offering of Common Stock Exhibit 99.1 Document Security Systems, Inc. Prices $34.5 Million Upsized Public Offering of Common Stock February 04, 2021 ROCHESTER, N.Y., Feb. 04, 2021 (GLOBE NEWSWIRE) — Document Security Systems, Inc. (NYSE American: DSS) (the “Company”), a multinational company operating businesses focusing on brand protection technology, blockchain security, direct marketing, healthcare, real estate, and se |
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| February 10, 2021 |
Entry into a Material Definitive Agreement, 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): February 4, 2021 DOCUMENT SECURITY SYSTEMS, INC. (Exact name of registrant as specified in its charter) New York 001-32146 16-1229730 (State or other jurisdiction of incorporation) (C |
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| February 10, 2021 |
Document Security Systems, Inc. Closes $39.7 Million Upsized Public Offering of Common Stock Exhibit 99.2 Document Security Systems, Inc. Closes $39.7 Million Upsized Public Offering of Common Stock February 09, 2021 ROCHESTER, N.Y., Feb. 09, 2021 (GLOBE NEWSWIRE) — Document Security Systems, Inc. (NYSE American: DSS) (the “Company”), a multinational company operating businesses focusing on brand protection technology, blockchain security, direct marketing, healthcare, real estate, and se |
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| February 10, 2021 |
Exhibit 1.1 UNDERWRITING AGREEMENT between DOCUMENT SECURITY SYSTEMS, INC. and AEGIS CAPITAL CORP., as Representative of the Several Underwriters DOCUMENT SECURITY SYSTEMS, INC. UNDERWRITING AGREEMENT New York, New York February 4, 2021 Aegis Capital Corp. As Representative of the several Underwriters named on Schedule 1 attached hereto 810 Seventh Avenue, 18th Floor New York, New York 10019 Ladie |
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| February 8, 2021 |
Document Security Systems, Inc. 12,319,346 Shares of Common Stock Filed Pursuant to Rule 424(b)(5) Registration Nos. 333-230740 and 333-252757 PROSPECTUS SUPPLEMENT (To Prospectus dated May 8, 2019) Document Security Systems, Inc. 12,319,346 Shares of Common Stock We are offering 12,319,346 shares of our common stock pursuant to this prospectus supplement and the accompanying prospectus. Our common stock is listed on the NYSE American LLC under the symbol “DSS.” |
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| February 4, 2021 |
SUBJECT TO COMPLETION, DATED FEBRUARY 4, 2021 The information in this preliminary prospectus supplement is not complete and may be changed. |
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| February 4, 2021 |
As filed with the Securities and Exchange Commission on February 4, 2021 Registration No. |
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| January 22, 2021 |
Document Security Systems, Inc. Prices $24.0 Million Upsized Public Offering of Common Stock Exhibit 99.1 Document Security Systems, Inc. Prices $24.0 Million Upsized Public Offering of Common Stock Document Security Systems, Inc. (NYSE American: DSS) (the “Company”), a multinational company operating businesses focusing on brand protection technology, blockchain security, direct marketing, healthcare, real estate, and securitized digital assets, today announced the pricing of an upsized |
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| January 22, 2021 |
DOCUMENT SECURITY SYSTEMS, INC. Common Stock Filed Pursuant to Rule 424(b)(5) Registration Nos. 333-249857 and 333-252239 PROSPECTUS DOCUMENT SECURITY SYSTEMS, INC. $24,000,000 Common Stock We are offering 6,666,666 shares of our common stock in a firm commitment underwritten public offering. Our common stock is listed on the NYSE American LLC under the symbol “DSS.” The last reported sale price of our common stock on the NYSE American LLC o |
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| January 22, 2021 |
Document Security Systems, Inc. Closes $24.0 Million Upsized Public Offering of Common Stock Exhibit 99.2 Document Security Systems, Inc. Closes $24.0 Million Upsized Public Offering of Common Stock Document Security Systems, Inc. (NYSE American: DSS) (the “Company”), a multinational company operating businesses focusing on brand protection technology, blockchain security, direct marketing, healthcare, real estate, and securitized digital assets, today announced the closing of an upsized |
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| January 22, 2021 |
Exhibit 1.1 UNDERWRITING AGREEMENT between DOCUMENT SECURITY SYSTEMS, INC. and AEGIS CAPITAL CORP., as Representative of the Several Underwriters DOCUMENT SECURITY SYSTEMS, INC. UNDERWRITING AGREEMENT New York, New York January 19, 2021 Aegis Capital Corp. As Representative of the several Underwriters named on Schedule 1 attached hereto 810 Seventh Avenue, 18th Floor New York, New York 10019 Ladie |
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| January 22, 2021 |
Entry into a Material Definitive Agreement, 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): January 19, 2021 DOCUMENT SECURITY SYSTEMS, INC. (Exact name of registrant as specified in its charter) New York 001-32146 16-1229730 (State or other jurisdiction of incorporation) (C |
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| January 22, 2021 |
Exhibit 1.2 AMENDMENT NO. 1 TO UNDERWRITING AGREEMENT THIS AMENDMENT NO. 1 (this “Amendment”) to that certain Underwriting Agreement, dated January 19, 2021 (the “Underwriting Agreement”), by and between Document Security Systems, Inc., a New York corporation (the “Company”), and Aegis Capital Corp. (the “Representative”), as representative of the several underwriters named on Schedule 1 thereto, |
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| January 19, 2021 |
Document Security Systems, Inc. 200 Canal View Boulevard, Suite 104 Rochester, NY 14623 January 18, 2021 Securities and Exchange Commission Division of Corporation Finance 100 F Street N.E. Washington, D.C. 20549 Attention: Ms. Sherry Haywood Re: Document Security Systems, Inc. Registration Statement on Form S-1 Filed November 4, 2020 File No. 333-249857 Ladies and Gentlemen: On January 14, 2021, |
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| January 19, 2021 |
Aegis Capital Corp. 810 7th Avenue, 18th Floor New York, NY 10019 January 19, 2021 VIA EDGAR U.S. Securities and Exchange Commission Division of Corporation Finance 100 F. Street, NE Washington, D.C. 20549 Attention: Ms. Sherry Haywood Re: Document Security Systems, Inc. (the ?Company?) Registration Statement on Form S-1 Filed November 4, 2020 File No. 333-249857 (the ?Registration Statement?) Lad |
