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SEC Filings
All companies that sell securities in the United States must register with the Securities and Exchange Commission (SEC) and file reports on a regular basis.
These reports include company annual reports (10K, 10Q), news updates (8K), investor presentations (found in 8Ks), insider trades (form 4), ownership reports (13D, and 13G), and reports related to the specific securities sold, such as registration statements and prospectus. This page shows recent SEC filings related to SRAX, 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.
| April 30, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark one) ☒ Quarterly Report Under Section 13 or 15(d) of the Securities Exchange Act of 1934 For the Quarterly Period Ended June 30, 2023 or ☐ Transition Report Under Section 13 or 15(d) of the Securities Exchange Act of 1934 Commission File Number 001-37916 SRAX, Inc. (Exact name of registrant as specified in its |
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| March 7, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark one) ☒ Quarterly Report Under Section 13 or 15(d) of the Securities Exchange Act of 1934 For the Quarterly Period Ended March 31, 2023 or ☐ Transition Report Under Section 13 or 15(d) of the Securities Exchange Act of 1934 Commission File Number 001-37916 SRAX, Inc. (Exact name of registrant as specified in its |
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| September 20, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K (Mark One) ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended DECEMBER 31, 2022 or ☐ TRANSITION REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 001-37916 SRAX, INC. (Exact na |
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| May 13, 2024 |
Entry into a Material Definitive Agreement, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) May 12, 2024 (May 7, 2024) Commission File Number 001-37916 SRAX, Inc. (Exact name of registrant as specified in its charter) Delaware 45-2925231 (State or other jurisdiction of incorporation or orga |
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| May 13, 2024 |
Certificate of Designation of the Series C Preferred Stock Exhibit 5.03 CERTIFICATE OF DESIGNATIONS, VOTING POWER, PREFERENCES AND RIGHTS OF THE SERIES C PREFERRED STOCK CONVERTIBLE PREFERRED STOCK OF SRAX, INC. The undersigned, Chris Miglino, Chief Executive Officer of SRAX, Inc. (the “Corporation”), a corporation organized and existing under the Delaware General Corporation Law (the “DGCL”), hereby does certify: That pursuant to the authority expressly |
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| May 13, 2024 |
Exhibit 1.01 AGREEMENT AND PLAN OF MERGER THIS AGREEMENT AND PLAN OF MERGER (this “Agreement”), dated as of May 6, 2024, is entered into by and among SRAX, INC., a Delaware corporation (“Public Company”); DNA MERGER SUB, INC., a Delaware corporation and a wholly owned subsidiary of Public Company (the “Merger Sub”); and DNA HOLDINGS VENTURE, INC., a Puerto Rico corporation (“Merger Partner,” and t |
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| May 13, 2024 |
SRAX Signs Agreement to Merge with DNA Holdings Exhibit 99.1 SRAX Signs Agreement to Merge with DNA Holdings Westlake Village, CA - SRAX Inc. (OTC: SRAX), a financial technology company that unlocks data and insights for publicly traded companies through its SaaS platform Sequire, announced today it has entered into a definitive merger agreement with DNA Holdings Venture Inc. pursuant to which the shareholders of DNA will become the majority ow |
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| April 3, 2024 |
Form of Securities Purchase Agreement dated March 29, 2024 Exhibit 10.01 PURCHASE AGREEMENT This PURCHASE AGREEMENT (the “Agreement”), dated as of March 29, 2024 is by and among SRAX, Inc., a Delaware corporation (the “Company”), and, (the “Buyer”). RECITALS A. The Company and the Buyer is 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, as amende |
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| April 3, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) April 2, 2024 (March 29, 2024) Commission File Number 001-37916 SRAX, Inc. (Exact name of registrant as specified in its charter) Delaware 45-2925231 (State or other jurisdiction of incorporation or |
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| April 3, 2024 |
Form of Original Issue Discount Convertible Debenture dated March 29, 2024 Exhibit 4.01 NEITHER THIS SECURITY NOR THE SECURITIES INTO WHICH THIS SECURITY IS CONVERTIBLE HAVE BEEN REGISTERED WITH THE SECURITIES AND EXCHANGE COMMISSION OR THE SECURITIES COMMISSION OF ANY STATE IN RELIANCE UPON AN EXEMPTION FROM REGISTRATION UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE “SECURITIES ACT”), AND, ACCORDINGLY, MAY NOT BE OFFERED OR SOLD EXCEPT PURSUANT TO AN EFFECTIVE REGIS |
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| April 2, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) April 1, 2024 (April 1, 2024) Commission File Number 001-37916 SRAX, Inc. (Exact name of registrant as specified in its charter) Delaware 45-2925231 (State or other jurisdiction of incorporation or o |
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| April 2, 2024 |
Amended and Restated Certificate of Designation Series B Preferred Stock Exhibit 3.1 AMENDED AND RESTATED CERTIFICATE OF DESIGNATION, PREFERENCE AND RIGHTS OF SERIES B CONVERTIBLE PREFERRED STOCK OF SRAX, INC PURSUANT TO SECTION 242 OF THE DELAWARE GENERAL CORPORATION LAW The undersigned, Christopher Miglino, does hereby certify that: 1. He is the Chief Executive Officer of SRAX, Inc., a Delaware corporation (the “Corporation”). 2. The Corporation is authorized to issu |
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| March 6, 2024 |
Form of Original Issue Discount Convertible Debenture dated March 5, 2024 Exhibit 4.01 NEITHER THIS SECURITY NOR THE SECURITIES INTO WHICH THIS SECURITY IS CONVERTIBLE HAVE BEEN REGISTERED WITH THE SECURITIES AND EXCHANGE COMMISSION OR THE SECURITIES COMMISSION OF ANY STATE IN RELIANCE UPON AN EXEMPTION FROM REGISTRATION UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE “SECURITIES ACT”), AND, ACCORDINGLY, MAY NOT BE OFFERED OR SOLD EXCEPT PURSUANT TO AN EFFECTIVE REGIS |
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| March 6, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) March 5, 2024 (February 29, 2024) Commission File Number 001-37916 SRAX, Inc. (Exact name of registrant as specified in its charter) Delaware 45-2925231 (State or other jurisdiction of incorporation |
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| March 6, 2024 |
Form of Securities Purchase Agreement dated March 5, 2024 Exhibit 10.01 PURCHASE AGREEMENT This PURCHASE AGREEMENT (the “Agreement”), dated as of February 29, 2024 is by and among SRAX, Inc., a Delaware corporation (the “Company”), and, (the “Buyer”). RECITALS A. The Company and the Buyer is 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, as ame |
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| February 14, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G (Rule 13d-102) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULES 13d-1(b), (c), AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(b) (Amendment No. 3)1 SRAX, Inc. (Name of Issuer) Class A Common Stock, par value $0.001 per share (Title of Class of Securities) 78472M106 (CUSIP Number) Decem |
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| February 13, 2024 |
SRAX / SRAX, Inc. / BANK OF AMERICA CORP /DE/ Passive Investment SC 13G/A 1 doc1.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G/A Under the Securities Exchange Act of 1934 (Amendment No. 01)* SRAX, Inc. (Name of Issuer) Common Stock (Title of Class of Securities) 78472M106 (CUSIP Number) December 31, 2023 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to |
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| February 13, 2024 |
BANK OF AMERICA CORPORATION LIMITED POWER OF ATTORNEY EX-99 2 bacpoa.htm BANK OF AMERICA CORPORATION LIMITED POWER OF ATTORNEY BANK OF AMERICA CORPORATION, a Delaware corporation (the "Corporation"), does hereby make, constitute, and appoint each of Szabina Biro, Hannah Chae, Andres Ortiz Custodio, Kamil Dziedzic, Krishnan Harihanran, Kelvin Kwok, Frank Lui, James Todd, Michelle Wong, and Monica Yako as an attorney-in-fact for the Corporation acting |
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| November 6, 2023 |
Form of Stock Purchase Warrant dated November 2, 2023 Exhibit 4.02 NEITHER THIS SECURITY NOR THE SECURITIES FOR WHICH THIS SECURITY IS EXERCISABLE HAVE BEEN REGISTERED WITH THE SECURITIES AND EXCHANGE COMMISSION OR THE SECURITIES COMMISSION OF ANY STATE IN RELIANCE UPON AN EXEMPTION FROM REGISTRATION UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE “SECURITIES ACT”), AND, ACCORDINGLY, MAY NOT BE OFFERED OR SOLD EXCEPT PURSUANT TO AN EFFECTIVE REGIST |
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| November 6, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) November 6, 2023 (October 31, 2020) Commission File Number 001-37916 SRAX, Inc. (Exact name of registrant as specified in its charter) Delaware 45-2925231 (State or other jurisdiction of incorporatio |
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| November 6, 2023 |
Form of Securities Purchase Agreement dated November 6, 2023 exhibit 10.01 PURCHASE AGREEMENT This PURCHASE AGREEMENT (the “Agreement”), dated as of October , 2023, is by and among SRAX, Inc., a Delaware corporation (the “Company”), and (the “Buyer”). RECITALS A. The Company and the Buyer is 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, as amende |
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| November 6, 2023 |
Form of Original Issue Discount Convertible Debenture dated November 2, 2023 Exhibit 4.01 NEITHER THIS SECURITY NOR THE SECURITIES INTO WHICH THIS SECURITY IS CONVERTIBLE HAVE BEEN REGISTERED WITH THE SECURITIES AND EXCHANGE COMMISSION OR THE SECURITIES COMMISSION OF ANY STATE IN RELIANCE UPON AN EXEMPTION FROM REGISTRATION UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE “SECURITIES ACT”), AND, ACCORDINGLY, MAY NOT BE OFFERED OR SOLD EXCEPT PURSUANT TO AN EFFECTIVE REGIS |
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| October 31, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark one) ☒ Quarterly Report Under Section 13 or 15(d) of the Securities Exchange Act of 1934 For the Quarterly Period Ended September 30, 2022 or ☐ Transition Report Under Section 13 or 15(d) of the Securities Exchange Act of 1934 Commission File Number 001-37916 SRAX, Inc. (Exact name of registrant as specified in |
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| September 19, 2023 |
Exhibit 10.1 OMNIBUS AMENDMENT AGREEMENT THIS OMNIBUS AMENDMENT AGREEMENT (this “Amendment”), dated and effective as of September 11, 2023 is entered into by and among (i) SRAX, Inc., a corporation incorporated under the laws of the State of Delaware (the “Company”); (ii) ATW Opportunities Master Fund II, L.P., a limited partnership organized and existing under the laws of the State of Delaware (“ |
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| September 19, 2023 |
Entry into a Material Definitive Agreement, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) September 14, 2023 SRAX, INC. |
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| September 8, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) September 1, 2023 SRAX, INC. |
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| August 28, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark one) ☒ Quarterly Report Under Section 13 or 15(d) of the Securities Exchange Act of 1934 For the Quarterly Period Ended June 30, 2022 or ☐ Transition Report Under Section 13 or 15(d) of the Securities Exchange Act of 1934 Commission File Number 001-37916 SRAX, Inc. (Exact name of registrant as specified in its |
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| July 17, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) July 17, 2023 SRAX, INC. |
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| July 17, 2023 |
SRAX Creates Advisory Board With Companies Largest Shareholders Exhibit 99.1 SRAX Creates Advisory Board With Companies Largest Shareholders LOS ANGELES, DATE - SRAX, Inc. (OTC: SRAX), a financial technology company that unlocks data and insights for publicly traded companies through Sequire, its SaaS platform, announced today it has created an Advisory Baord that is comprised of 4 of the companies largest shareholders. “SRAX has some amazing investors and we |
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| July 17, 2023 |
Exhibit 16.1 |
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| July 7, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) July 7, 2023 SRAX, INC. |
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| May 8, 2023 |
Exhibit 16.1 May 5, 2023 Securities and Exchange Commission 100 F Street, N.E. Washington, DC 20549 Commissioners: We have read the statements made by SRAX, Inc. under Item 4.01 of its Form 8-K dated May 3, 2023. 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 SRAX, Inc. contained therein. Very truly yours, / |
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| May 8, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) May 2, 2023 SRAX, INC. |
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| March 21, 2023 |
SRAX Reassures Investors of Business Health Amid Delisting Notice Exhibit 99.1 SRAX Reassures Investors of Business Health Amid Delisting Notice Los Angeles, California—(Newsfile Corp. - March 9, 2023) - SRAX, Inc. (NASDAQ: SRAX), a financial technology company that provides data and insights to publicly traded companies through its SaaS platform Sequire, would like to reassure its investors that the company’s core business remains strong despite the recent deli |
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| March 21, 2023 |
Offer Letter entered with Alan Urban dated March 14, 2023 Exhibit 10.1 SRAX, Inc. 2629 Townsgate Road #214 Westlake Village, CA March 14, 2023 Alan Urban 4411 Westchester Dr. Woodland Hills, CA 91364 EMPLOYMENT OFFER LETTER Dear Alan, SRAX, Inc. (the “Company”) is pleased to offer you formal employment for the position of Chief Financial Officer beginning on March 14, 2023. Until an executive employment agreement is finalized, this offer letter, once ful |
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| March 21, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) March 14, 2023 SRAX, INC. |
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| March 21, 2023 | ||
| March 8, 2023 |
SRAX Receives Delisting Notice from NASDAQ Exhibit 99.1 SRAX Receives Delisting Notice from NASDAQ Los Angeles, March 8, 2023 - SRAX, Inc. (NASDAQ: SRAX), a financial technology company that unlocks data and insights for publicly traded companies through Sequire, its SaaS platform, announced that it received a delisting notice from NASDAQ after the close of the market on March 7, 2023. The delisting notice states that the company’s shares |
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| March 8, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) March 7, 2023 SRAX, INC. |
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| March 7, 2023 |
Exhibit 10.2 CONSENT, WAIVER AND RELEASE This CONSENT, WAIVER AND RELEASE is made and entered into as of March 1, 2023 (this “Agreement”), by and among SRAX, Inc., a Delaware corporation (“Borrower”), LD Micro, Inc., a Delaware corporation (“LD Micro”) and ATW Opportunities Master Fund II, LP (“Lender”). Capitalized terms used herein and not defined shall have the meanings given to them in the Cre |
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| March 7, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) March 3, 2023 SRAX, INC. |
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| March 7, 2023 |
Exhibit 2.1 Agreement and Plan of Merger by and among Freedom Holding Corp., in the capacity as the sole member of buyer Freedom U.S. Markets, LLC, as Buyer LDM Merger Sub, Inc. as Merger Sub LD Micro, INC., as the Company and SRAX, INC., in the capacity as the sole stockholder of the Company dated as of March 3, 2023 TABLE OF CONTENTS Article I Definitions 2 Article II The Merger 8 Section 2.01 T |
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| March 7, 2023 |
Sponsorship Agreement dated March 3, 2023 by and between SRAX, Inc. and LD Micro, Inc. Exhibit 10.1 Certain information identified by bracketed asterisks ([***]) has been omitted from this exhibit because it is both not material and would be competitively harmful if publicly disclosed. SPONSORSHIP AGREEMENT This Sponsorship Agreement (this “Agreement”) is made and entered into as of this 3rd day of March 2023 (the “Effective Date”), by and between LD Micro, Inc. (“LD Micro” or the “ |
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| March 7, 2023 |
SRAX Announces Sale of LD Micro to Freedom Holding Corp Exhibit 99.1 SRAX Announces Sale of LD Micro to Freedom Holding Corp Los Angeles, California—(Newsfile Corp. - March 6, 2023) - SRAX, Inc. (NASDAQ: SRAX), a leading financial technology company, has announced the successful sale of its wholly owned subsidiary LD Micro Inc. to Freedom Holding Corp (NASDAQ: FRHC) for $8,300,000. The sale of LD Micro, a conference that has historically attracted a hi |
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| February 14, 2023 |
BANK OF AMERICA CORPORATION LIMITED POWER OF ATTORNEY BANK OF AMERICA CORPORATION EX-99 2 boa-poa2.htm BANK OF AMERICA CORPORATION LIMITED POWER OF ATTORNEY BANK OF AMERICA CORPORATION, a Delaware corporation (the "Corporation"), does hereby make, constitute, and appoint each of Kelvin Kwok, Tolu Tade, Andres Ortiz Custodio, Frank Lui, James Todd, Zainab Tarteel, Hannah Chae and Monica Yako as an attorney-in-fact for the Corporation acting for the Corporation and in the Corpora |
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| February 14, 2023 |
SRAX / Social Reality, Inc. / BANK OF AMERICA CORP /DE/ Passive Investment SC 13G 1 doc1.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. N/A)* SRAX, INC. (Name of Issuer) Common Stock (Title of Class of Securities) 78472M106 (CUSIP Number) December 31, 2022 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to whi |
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| February 14, 2023 |
SRAX / Social Reality, Inc. / Whitefort Capital Master Fund, LP Passive Investment SC 13G/A 1 srax13ga1-021423.htm SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1)* SRAX, Inc. (Name of Issuer) Class A common stock, par value $0.001 per share (Title of Class of Securities) 78472M106 (CUSIP Number) December 31, 2022 (Date of Event which Requires Filing of this Statement) Check the appropriate box to |
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| February 10, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G (Rule 13d-102) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULES 13d-1(b), (c), AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(b) (Amendment No. 2)1 SRAX, Inc. (Name of Issuer) Class A Common Stock, par value $0.001 per share (Title of Class of Securities) 78472M106 (CUSIP Number) Decem |
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| February 9, 2023 |
Exhibit 10.1 BILL OF SALE AND ASSIGNMENT AND ASSUMPTION AGREEMENT THIS BILL OF SALE AND ASSIGNMENT AND ASSUMPTION AGREEMENT, dated as of February 3, 2023 (this “Agreement”), is entered into by and between SRAX, Inc., a Delaware corporation (the “Buyer”), and DNA Holdings, LLC, a limited liability company formed under the laws of the Commonwealth of Puerto Rico (the “Seller”). Reference is made to |
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| February 9, 2023 |
Lock Up Agreement dated February 3, 2023 by and between SRAX, Inc. and DNA Holdings, LLC Exhibit 10.2 Lock-Up Agreement February 3, 2023 Ladies and Gentlemen: On February 3, 2023 (the “Effective Date”), SRAX, Inc., a Delaware corporation (“SRAX”) entered into an Asset Purchase Agreement (the “APA”) with DNA Holdings, LLC, a limited liability company formed under the laws of the Commonwealth of Puerto Rico (“DNA”, together with SRAX, the “Parties”). In connection with the transactions |
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| February 9, 2023 |
Exhibit 10.3 Amendment and WAIVER Agreement This AMENDMENT AND WAIVER AGREEMENT (the “Agreement”) dated as of February 2, 2023 is entered into by and between SRAX, Inc., a Delaware Corporation (the “Company”) and the entities identified on the signature pages hereto (each, a “Holder” and, collectively, the “Holders”). WHEREAS, the Company issued that certain Original Issue Discount Senior Secured |
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| February 9, 2023 |
Certificate of Designation of the Series B Non-Voting Convertible Preferred Stock Exhibit 3.1 SRAX, inc. CERTIFICATE OF DESIGNATION OF PREFERENCES, RIGHTS AND LIMITATIONS OF SERIES B NON-VOTING CONVERTIBLE PREFERRED STOCK PURSUANT TO SECTION 151(g) OF THE Delaware GENERAL CORPORATION LAW The undersigned, Christopher Miglino, does hereby certify that: 1. He is the President and Secretary, respectively, of SRAX, Inc., a Delaware corporation (the “Corporation”). 2. The Corporation |
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| February 9, 2023 |
Asset Purchase Agreement dated February 3, 2023, by and between SRAX, Inc. and DNA Holdings, LLC Exhibit 2.1 ASSET PURCHASE AGREEMENT by and between SRAX, INC. and DNA HOLDINGS, LLC DATED AS OF FEBRUARY 3, 2023 Article 1. Purchase and Sale 1 Section 1.1 Purchased Assets 1 Section 1.2 Excluded Assets 1 Section 1.3 Assumed Liabilities 1 Section 1.4 Excluded Liabilities 1 Article 2. Purchase Price 2 Section 2.1 Purchase Price 2 Section 2.2 Payment of Purchase Price 2 Section 2.3 Post-Closing Adj |
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| February 9, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) February 3, 2023 SRAX, INC. |
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| January 4, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) January 4, 2023 (December 31, 2022) SRAX, INC. |
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| January 4, 2023 |
SRAX Reports Q1 2022 Financial Results Exhibit 99.01 SRAX Reports Q1 2022 Financial Results LOS ANGELES?(GLOBENEWSWIRE)?SRAX, Inc. (NASDAQ: SRAX), a financial technology company that unlocks data and insights for publicly traded companies through Sequire, its SaaS platform, is providing Q1 2022 financial results. SRAX reports year-over-year revenue growth of 53% and $0.13 fully diluted EPS for the quarter ended March 31, 2022 Three Mon |
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| January 3, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark one) ☒ Quarterly Report Under Section 13 or 15(d) of the Securities Exchange Act of 1934 For the Quarterly Period Ended March 31, 2022 or ☐ Transition Report Under Section 13 or 15(d) of the Securities Exchange Act of 1934 Commission File Number 001-36351 Commission File Number 001-37916 SRAX, Inc. (Exact name |
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| December 20, 2022 |
SRAX Receives Positive Nasdaq Listing Determination Exhibit 99.1 SRAX Receives Positive Nasdaq Listing Determination Los Angeles, California—(Newsfile Corp. – December 20, 2022) - SRAX, Inc. (NASDAQ: SRAX) (the “Company”), a financial technology company that unlocks data and insights for publicly traded companies through its SaaS platform, Sequire, today announced that the Nasdaq Hearings Panel has granted the Company’s request for continued listin |
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| December 20, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) December 20, 2022 (December 16, 2022) SRAX, INC. |
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| December 1, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (RULE 14a-101) SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Ru |
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| November 18, 2022 |
SRAX ANNOUNCES RECEIPT OF Q3 ANTICIPATED NASDAQ NOTICE OF ADDITIONAL DELINQUENCY Exhibit 99.01 SRAX ANNOUNCES RECEIPT OF Q3 ANTICIPATED NASDAQ NOTICE OF ADDITIONAL DELINQUENCY LOS ANGELES, Nov. 18, 2022 (GLOBE NEWSWIRE) - SRAX, Inc. (the “Company”) (NASDAQ: SRAX), a financial technology company that unlocks data and insights for publicly traded companies, today announced that, as expected, on November 16, 2022, the Company received notice from the Listing Qualifications Staff |
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| November 18, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) November 18, 2022 (November 16, 2022) SRAX, INC. |
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| October 31, 2022 |
SRAX Engages Marcum as New Auditors Exhibit 99.01 SRAX Engages Marcum as New Auditors LOS ANGELES, October 31, 2022 — SRAX, Inc. (NASDAQ: SRAX), a financial technology company that unlocks data and insights for publicly traded companies through Sequire, its SaaS platform, has engaged the services of Marcum LLP, the national accounting and advisory services firm. “Marcum is one of the top-ranked accounting firms in the country and we |
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| October 31, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) October 31, 2022 (October 27, 2022) SRAX, INC. |
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| October 20, 2022 |
SRAX Announces Receipt of Nasdaq Listing Determination; Company to Request Hearing and Further Stay Exhibit 99.01 SRAX Announces Receipt of Nasdaq Listing Determination; Company to Request Hearing and Further Stay WESTLAKE VILLAGE, CA, October 20, 2022 (GLOBE NEWSWIRE) ? SRAX, Inc. (NASDAQ: SRAX), a financial technology company that unlocks data and insights for publicly traded companies, today announced that on October 14, 2022, the Company received notice from the Nasdaq Listing Qualifications |
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| October 20, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) October 20, 2022 (October 14, 2022) SRAX, INC. |
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| October 12, 2022 |
Form of Contingent Value Right Agreement dated June 13, 2022 Exhibit 10.37 CONTINGENT VALUE RIGHT This contingent value right agreement (?Agreement?) is dated as of June 13, 2022 (?Effective Date?), by and among SRAX, Inc. (the ?Seller?) and [] (the ?Purchaser?). W I T N E S S E T H: WHEREAS, the Purchaser desires to purchase from the Seller and the Seller desires to sell to the Purchaser: a contingent value right that entitles Purchaser to receive the proc |
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| October 12, 2022 |
Form of Safe entered into with BIGtoken on February 11, 2022 Exhibit 10.39 THIS INSTRUMENT AND ANY SECURITIES ISSUABLE PURSUANT HERETO HAVE NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE ?SECURITIES ACT?), OR UNDER THE SECURITIES LAWS OF CERTAIN STATES. THESE SECURITIES MAY NOT BE OFFERED, SOLD OR OTHERWISE TRANSFERRED, PLEDGED OR HYPOTHECATED EXCEPT AS PERMITTED IN THIS SAFE AND UNDER THE ACT AND APPLICABLE STATE SECURITIES LAWS PURS |
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| October 12, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K (Mark One) ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended DECEMBER 31, 2021 or ☐ TRANSITION REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 001-37916 SRAX, INC. (Exact na |
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| October 12, 2022 |
Form of Bridge Note dated July 1, 2022 Exhibit 10.38 NEITHER THIS NOTE NOR THE SECURITIES THAT ARE ISSUABLE TO THE COMPANY UPON CONVERSION HEREOF (COLLECTIVELY, THE ?SECURITIES?) HAVE BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE ?1933 ACT?), OR THE SECURITIES LAWS OF ANY STATE OR OTHER JURISDICTION. NEITHER THE SECURITIES NOR ANY INTEREST OR PARTICIPATION THEREIN MAY BE OFFERED FOR SALE, SOLD, TRANSFERRED OR ASSIGN |
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| October 12, 2022 |
Exhibit 21.01 List of Subsidiaries 1. LD Micro, Inc. |
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| August 24, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) August 23 2022 SRAX, INC. |
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| August 23, 2022 |
SRAX ANNOUNCES RECEIPT OF ANTICIPATED NASDAQ NOTICE OF ADDITIONAL DELINQUENCY Exhibit 99.01 SRAX ANNOUNCES RECEIPT OF ANTICIPATED NASDAQ NOTICE OF ADDITIONAL DELINQUENCY Los Angeles, August 22, 2022 - SRAX, Inc. (?Company?) (Nasdaq: SRAX) today announced, as expected, that on August 17, 2022, the Company received an additional delinquency notification letter from the Listing Qualifications Staff (the Staff) of The Nasdaq Stock Market LLC due to the Company?s continued non-c |
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| August 23, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) August 23, 2022 (August 17, 2022) SRAX, INC. |
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| August 12, 2022 |
Form of Guaranty Agreement from August 2022 Senior Secured Revolving Credit Facility Exhibit 10.02 GUARANTY AGREEMENT This GUARANTY AGREEMENT is dated as of August 8, 2022 (as amended, restated or modified from time to time, the ?Guaranty?), and is made by LD MICRO, INC., a Delaware corporation (the ?Guarantor?), in favor of [ATW OPPORTUNITIES MASTER FUND II, LP], a limited partnership organized and existing under the laws of Delaware (the ?Lender?). WHEREAS, pursuant to a Senior |
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| August 12, 2022 |
Form of Registration Rights Agreement from August 2022 Senior Secured Revolving Credit Facility Exhibit 10.09 REGISTRATION RIGHTS AGREEMENT This Registration Rights Agreement (this ?Agreement?) is made and entered into as of August 8, 2022, between SRAX, Inc., a Delaware corporation (the ?Company?), and ATW Opportunities Master Fund II, LP (the ?Holder?). This Agreement is made pursuant to the Senior Secured Revolving Credit Facility Agreement, dated as of August 8, 2022 between the Company |
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| August 12, 2022 |
Form of Fee Letter from August 2022 Senior Secured Revolving Credit Facility Exhibit 10.08 FEE LETTER August 8, 2022 SRAX, Inc. 2629 Townsgate Road #215 Westlake Village, CA 91361 Re: Senior Secured Revolving Credit Facility Agreement, dated August 8, 2022 (as amended from time to time, the ?Credit Agreement?) by and among SRAX, Inc. (?Borrower?), LD Micro, Inc. (?Guarantor?), and [ATW Opportunities Master Fund II, LP] (?Lender?) Ladies and Gentlemen: This fee letter agree |
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| August 12, 2022 |
Form of Patent Security Agreement from August 2022 Senior Secured Revolving Credit Facility Exhibit 10.05 PATENT Security Agreement This Patent Security Agreement, dated as of August 8, 2022, is made by each of the entities listed on the signature pages hereof (each a ?Grantor? and, collectively, the ?Grantors?), in favor of ATW OPPORTUNITIES MASTER FUND II, LP (together with its successors and permitted assigns, the ?Lender?). W I T N E S S E T H: Whereas, pursuant to the Senior Secured |
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| August 12, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) August 12, 2022 (August 8, 2022) SRAX, INC. |
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| August 12, 2022 |
Form of Credit Agreement from August 2022 Senior Secured Revolving Credit Facility Exhibit 10.01 SENIOR SECURED REVOLVING CREDIT FACILITY AGREEMENT IN THE MAXIMUM AMOUNT OF US$9,450,000 BY AND AMONG SRAX, INC., as Borrower, LD MICRO, INC., as Guarantor , AND ATW OPPORTUNITIES MASTER FUND II, LP, as Lender Effective as of August 8, 2022 SENIOR SECURED REVOLVING CREDIT FACILITY AGREEMENT This SENIOR SECURED REVOLVING CREDIT FACILITY AGREEMENT (as amended, restated, modified or sup |
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| August 12, 2022 |
Form of Security Agreement (LD Micro) from August 2022 Senior Secured Credit Facility Exhibit 10.04 SECURITY AGREEMENT This SECURITY AGREEMENT (the ?Security Agreement?) dated as of August 8, 2022, is executed by and between LD Micro, Inc., a Delaware corporation (the ?Debtor?), and [ATW OPPORTUNITIES MASTER FUND II, LP] (the ?Secured Party?). R E C I T A L S: WHEREAS, pursuant to a Senior Secured Revolving Credit Facility Agreement dated as of even date herewith (the ?Credit Agree |
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| August 12, 2022 |
Form of Revolving Note from August 2022 Senior Secured Revolving Credit Facility Exhibit 4.01 BY ACCEPTING THIS OBLIGATION, THE LENDER REPRESENTS AND WARRANTS THAT IT IS NOT A UNITED STATES PERSON (OTHER THAN AN EXEMPT RECIPIENT DESCRIBED IN SEC 6049(B)(4) OF THE INTERNAL REVENUE CODE AND REGULATIONS THEREUNDER) AND THAT IT IS NOT ACTING FOR OR ON BEHALF OF A UNITED STATES PERSON (OTHER THAN AN EXEMPT RECIPIENT DESCRIBED IN SEC. 6049(B)(4) OF THE INTERNAL REVENUE CODE AND THE |
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| August 12, 2022 |
Form of Trademark Security Agreement from August 2022 Senior Secured Revolving Credit Facility Exhibit 10.06 TRADEMARK Security Agreement This Trademark Security Agreement, dated as of August 8, 2022, is made by each of the entities listed on the signature pages hereof (each a ?Grantor? and, collectively, the ?Grantors?), in favor of ATW OPPORTUNITIES MASTER FUND II, LP (together with its successors and permitted assigns, the ?Lender?). W I T N E S S E T H: Whereas, pursuant to the Senior S |
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| August 12, 2022 |
Form of Security Agreement (SRAX) from August 2022 Senior Secured Revolving Credit Facility Exhibit 10.03 SECURITY AGREEMENT This SECURITY AGREEMENT (the ?Security Agreement?) dated as of August 8, 2022 is executed by SRAX, INC., a Delaware corporation (the ?Debtor?), with its chief executive offices located at 2629 Townsgate Road, Suite 215, Westlake Village, Ca., 91362, and [ATW OPPORTUNITIES MASTER FUND II, LP] (the ?Secured Party?). R E C I T A L S: WHEREAS, Debtor desires to borrow |
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| August 12, 2022 |
Form of Pledge and Escrow Agreement from August 2022 Senior Secured Revolving Credit Facility Exhibit 10.07 PLEDGE AND ESCROW AGREEMENT THIS PLEDGE AND ESCROW AGREEMENT (?Agreement?) is made and entered into as of August 8, 2022 by and between SRAX, INC., a Delaware corporation (the ?Pledgor?), and ATW OPPORTUNITIES MASTER FUND II, LP, a Delaware limited partnership (the ?Secured Party?), with the joinder of LUCOSKY BROOKMAN LLP (?Escrow Agent?). RECITALS WHEREAS, the Secured Party has mad |
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| July 7, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) July 7, 2022 (June 30, 2022) SRAX, INC. |
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| July 7, 2022 | ||
| June 7, 2022 |
Exhibit 99.02 1 00:00:08.610 ?> 00:00:16.529 Hello everyone, welcome to the tracks full year 2021 conference call We appreciate you joining us today i?m Morgan Vice President of community. 2 00:00:17.789 ?> 00:00:19.920 Sequire Host: This is our safe harbor statement, which I will read. 3 00:00:20.490 ?> 00:00:31.260 Sequire Host: This presentation contains certain forward looking statements that |
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| June 7, 2022 |
Exhibit 99.01 |
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| June 7, 2022 |
Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) June 7, 2022 (June 6, 2022) SRAX, INC. |
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| May 17, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 12b-25 SEC FILE NUMBER 001-37916 CUSIP NUMBER NOTIFICATION OF LATE FILING 78472M106 (Check one): ? Form 10-K ? Form 20-F ? Form 11-K ? Form 10-Q ? Form 10-D ? Form N-CEN ? Form N-CSR For Period Ended: March 31, 2022 ? Transition Report on Form 10-K ? Transition Report on Form 20-F ? Transition Report on Form 11-K ? Transi |
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| April 27, 2022 |
SRAX Provides Update on Filing of 2021 Annual Report Exhibit 99.01 SRAX Provides Update on Filing of 2021 Annual Report SRAX, Inc.(NASDAQ: SRAX), a financial technology company that unlocks data and insights for publicly traded companies through Sequire, its SaaS platform, was delayed from filling its 10-K due to certain accounting matters related to its former subsidiary. The company believes said items have been resolved and is now in the process |
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| April 27, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) April 27, 2022 (April 19, 2022) SRAX, INC. |
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| April 5, 2022 |
Exhibit 99.01 |
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| April 5, 2022 |
Exhibit 99.02 1 00:00:04.859 -> 00:00:06.180 Hello everyone, welcome to. 2 00:00:07.680 -> 00:00:10.950 Business update this is our safe harbor statement. 3 00:00:11.550 -> 00:00:22.740 This presentation contains certain forward looking statements that are based upon current expectations and involves certain risks and uncertainties, within the meaning of the US private securities litigation reform |
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| April 5, 2022 |
Other Events, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) April 5, 2022 (April 4, 2022) SRAX, INC. |
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| March 31, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 12b-25 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 12b-25 SEC File Number 001-37916 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: December 31, 2021 ? Transition Report on Form 10-K ? Transition Report on Form 20-F ? Transition Report on Form 11-K ? Transition Report on Form |
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| February 4, 2022 |
SRAX / Social Reality, Inc. / Percy Rockdale LLC Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G (Rule 13d-102) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULES 13d-1(b), (c), AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(b) (Amendment No. 1)1 SRAX, Inc. (Name of Issuer) Class A Common Stock, par value $0.001 per share (Title of Class of Securities) 78472M106 (CUSIP Number) Decem |
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| February 4, 2022 |
SRAX / Social Reality, Inc. / Hudson Bay Capital Management LP - SRAX 13G/A Passive Investment SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G/A Under the Securities Exchange Act of 1934 (Amendment No. 1)* SRAX, Inc. (Name of Issuer) Class A Common Stock, par value $0.001 per share (Title of Class of Securities) 78472M106 (CUSIP Number) December 31, 2021 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to |
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| February 3, 2022 |
SRAX / Social Reality, Inc. / Whitefort Capital Master Fund, LP Passive Investment SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* SRAX, Inc. (Name of Issuer) Class A common stock, par value $0.001 per share (Title of Class of Securities) 78472M106 (CUSIP Number) January 24, 2022 (Date of Event which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to whi |
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| February 2, 2022 |
Stockholder Notice NOTICE REQUIRED BY SECTION 204(g) of the DELAWARE GENERAL CORPORATION LAW Exhibit 99.01 Stockholder Notice NOTICE REQUIRED BY SECTION 204(g) of the DELAWARE GENERAL CORPORATION LAW To SRAX Stockholders: Our company, SRAX, Inc. (the ?Company?) has determined that pursuant to the issuance of 50,000 shares of Series A Non-Voting Preferred Stock (the ?Series A Stock?) on December 23, 2021, the Company had issued in excess of the 36,412,417 Series A Shares authorized by our |
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| February 2, 2022 |
Certificate of Validation and Certificate of Increase filed on January 31, 2022 Exhibit 3.01(i) CERTIFICATE OF VALIDATION OF CERTIFICATE OF INCREASE OF CERTIFICATE OF DESIGNATION OF PREFERENCES, RIGHTS AND LIMITATIONS OF SERIES A NON-VOTING PREFERRED STOCK OF SRAX, INC. PURSUANT TO SECTION 204(E) OF THE DELAWARE GENERAL CORPORATION LAW SRAX, Inc. a corporation organized and existing under the laws of the State of Delaware (the ?Company?), hereby certifies as follows: FIRST: I |
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| February 2, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) February 2, 2022 (January 31, 2022) SRAX, INC. |
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| January 10, 2022 |
SRAX, Inc. 2629 Townsgate Road #215 Westlake Village, CA 91361 CORRESP 1 filename1.htm SRAX, Inc. 2629 Townsgate Road #215 Westlake Village, CA 91361 January 10, 2022 VIA EDGAR United States Securities and Exchange Commission Division of Corporation Finance 100 F Street, N.E. Washington, D.C. 20549 Attn: Janice Adeloye RE: SRAX, Inc. Amendment No. 1 to Registration Statement on Form S-3 Filed January 10, 2022 File No. 333-261962 To Whom it May Concern: In acc |
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| January 10, 2022 |
Exhibit 4.4 SRAX, INC., Issuer AND [TRUSTEE], Trustee INDENTURE Dated as of [?], 20 Debt Securities TABLE OF CONTENTS PAGE ARTICLE 1 DEFINITIONS 1 Section 1.01 Definitions of Terms 1 ARTICLE 2 ISSUE, DESCRIPTION, TERMS, EXECUTION, REGISTRATION AND EXCHANGE OF SECURITIES 5 Section 2.01 Designation and Terms of Securities 5 Section 2.02 Form of Securities and Trustee?s Certificate 7 Section 2.03 Den |
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| January 10, 2022 |
As filed with the Securities and Exchange Commission on January 10, 2022 Registration No. |
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| December 30, 2021 |
SRAX, INC. UNAUDITED PRO FORMA CONDENSED CONSOLIDATED FINANCIAL STATEMENTS EX-99.01 3 ex99-01.htm Exhibit 99.01 SRAX, INC. UNAUDITED PRO FORMA CONDENSED CONSOLIDATED FINANCIAL STATEMENTS On November 30, 2021, our subsidiary BIGtoken, Inc. (“FPVD”) completed a merger (BritePool Merger) with BritePool, Inc. (BritePool). As a result of the BritePool Merger, SRAX’s (SRAX) ownership interest in FPVD was reduced from 65.9% to 36.45% of the outstanding common stock of FVPD (“FP |
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| December 30, 2021 |
EX-4.4 2 ex4-4.htm Exhibit 4.4 SRAX, INC., Issuer AND [TRUSTEE], Trustee INDENTURE Dated as of [●], 20 Debt Securities TABLE OF CONTENTS PAGE ARTICLE 1 DEFINITIONS 1 Section 1.01 Definitions of Terms 1 ARTICLE 2 ISSUE, DESCRIPTION, TERMS, EXECUTION, REGISTRATION AND EXCHANGE OF SECURITIES 5 Section 2.01 Designation and Terms of Securities 5 Section 2.02 Form of Securities and Trustee’s Certificate |
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| December 30, 2021 |
Entry into a Material Definitive Agreement, Other Events, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) December 30, 2021 (December 29, 2021) SRAX, INC. |
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| December 30, 2021 |
S-3 1 forms-3.htm As filed with the Securities and Exchange Commission on December 30, 2021 Registration No. UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM S-3 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 SRAX, Inc. (Exact name of registrant as specified in its charter) Delaware (State or other jurisdiction of incorporation or organization) 45-2925231 (I.R. |
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| December 30, 2021 |
Exchange Agreement with FPVD dated December 29, 2021 Exhibit 10.01 EXCHANGE AGREEMENT This EXCHANGE AGREEMENT (the ?Agreement?) is made as of the day of December, 2021 by and between BIGtoken, Inc., a Florida corporation, with its address at 2629 Townsgate Rd., Suite 215, Westlake Village, CA 91361 (the ?Company?), and SRAX, Inc., (including its successors and assigns, ?SRAX?), with its address at 2629 Townsgate Road, Suite 215, Westlake Village, CA |
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| November 16, 2021 |
SRAX Reports 219% Year-Over-Year Revenue Growth for Third Quarter 2021 Exhibit 99.01 SRAX Reports 219% Year-Over-Year Revenue Growth for Third Quarter 2021 November 15, 2021 03:00 PM Eastern Standard Time LOS ANGELES?(BUSINESS WIRE)?SRAX, Inc. (NASDAQ: SRAX), a financial technology company that unlocks data and insights for publicly traded companies through Sequire, its SaaS platform, is providing unaudited financial results for Q3, today, November 15th, 2021. Third |
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| November 16, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) November 16, 2021 (November 15, 2021) SRAX, INC. |
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| November 15, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2021 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 001-37916 SRAX, |
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| October 8, 2021 |
EX-99.1 2 ex991to13g1286600610082021.htm Exhibit 99.1 JOINT FILING AGREEMENT In accordance with Rule 13d-1(k)(1)(iii) under the Securities Exchange Act of 1934, as amended, the persons named below agree to the joint filing on behalf of each of them of a Statement on Schedule 13G dated October 8, 2021 (including amendments thereto) with respect to the shares of Class A Common Stock, par value $0.00 |
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| October 8, 2021 |
SRAX / Social Reality, Inc. / Percy Rockdale LLC Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G (Rule 13d-102) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULES 13d-1(b), (c), AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(b) (Amendment No. )1 SRAX, Inc. (Name of Issuer) Class A Common Stock, par value $0.001 per share (Title of Class of Securities) 78472M106 (CUSIP Number) Septem |
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| September 24, 2021 |
Exhibit 3.01 SRAX, INC. CERTIFICATE OF DESIGNATION OF PREFERENCES, RIGHTS AND LIMITATIONS OF SERIES A NON-VOTING PREFERRED STOCK PURSUANT TO SECTION ?151(G) OF THE DELAWARE GENERAL CORPORATION LAW Pursuant to Section 151 of the Delaware General Corporation Law (?DGCL?), the undersigned does hereby certify, on behalf of SRAX, Inc., a Delaware corporation, that the following resolution was duly adop |
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| September 24, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) September 24, 2021 (September 20, 2021) SRAX, INC. |
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| August 16, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2021 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 001-37916 SRAX, INC. |
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| June 29, 2021 |
Submission of Matters to a Vote of Security Holders UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) June 29, 2021 SRAX, INC. |
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| May 27, 2021 |
FPVD / Force Protection Video Equipment Corp. / SRAX, Inc. Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. )* Force Protection Video Equipment Corp. (Name of Issuer) Common Stock (Title of Class of Securities) 34520J207 (CUSIP Number) Christopher Miglino C/O SRAX, Inc. 2629 Townsgate Road #215 Westlake Village, CA 91361 (323) 694-9800 (Name, Address and Telephone |
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| May 27, 2021 |
Submission of Matters to a Vote of Security Holders UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K/A (Amendment No. |
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| May 24, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) [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 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 001-37916 SRAX, |
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| May 18, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) May 18, 2021 (May 17, 2021) SRAX, INC. |
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| May 18, 2021 |
SRAX Reports Continued Revenue Growth in Q1 2021 and Increases Full-Year Guidance SRAX Reports Continued Revenue Growth in Q1 2021 and Increases Full-Year Guidance May 17, 2021 04:00 PM Eastern Daylight Time LOS ANGELES?(BUSINESS WIRE)?SRAX, Inc. |
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| May 18, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 12b-25 SEC FILE NUMBER 001-37916 CUSIP NUMBER NOTIFICATION OF LATE FILING 78472M106 (Check one): [ ] Form 10-K [ ] Form 20-F [ ] Form 11-K [X] Form 10-Q [ ] Form 10-D [ ] Form N-CEN [ ] Form N-CSR For Period Ended: March 31, 2021 [ ] Transition Report on Form 10-K [ ] Transition Report on Form 20-F [ ] Transition Report o |
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| April 30, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (RULE 14a-101) SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant [X] Filed by a party other than the Registrant [ ] Check the appropriate box: [ ] Preliminary Proxy Statement [ ] Confidential, for Use of the Commission Only (as permitt |
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| April 30, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (RULE 14a-101) SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant [X] Filed by a party other than the Registrant [ ] Check the appropriate box: [ ] Preliminary Proxy Statement [ ] Confidential, for Use of the Commission Only (as permitt |
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| April 1, 2021 |
SRAX REPORTS Positive Net Income for Q4 2020 and Increases Guidance Exhibit 99.01 SRAX REPORTS Positive Net Income for Q4 2020 and Increases Guidance LOS ANGELES?(BUSINESS WIRE)?SRAX, Inc. (NASDAQ: SRAX), a Fourth Quarter 2020 and Recent Operational Highlights and Guidance ? Revenue for Q4 of $4.5M up 316% year-over-year, 74% sequentially quarter-over-quarter, exceeding previous guidance. ? Full-year revenue guidance increased from $17M - $18M to $23M - $25M ? Seq |
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| April 1, 2021 |
EX-99.02 3 ex99-02.htm Exhibit 99.02 |
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| April 1, 2021 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) April 1, 2021 (March 29, 2021) SRAX, INC. |
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| March 31, 2021 |
Exhibit 21.01 List of Subsidiaries 1. LD Micro, Inc., a California Corporation 2. Force Protection Video Equipment Corporation, Inc., a Florida Corporation |
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| March 31, 2021 |
Exhibit 23.01 Independent Registered Public Accounting Firm?s Consent We consent to the incorporation by reference in the Registration Statement of SRAX, Inc. on Form S-8 (File No. 333-206792) and its Registration Statements on Form S-3 (File Nos. 333-229604, 333-235298, 333-225725, 333-215791, 333-221970, 333-218131,333-214646, 333-216644 and 333-240270) of our report dated March 31, 2021, with r |
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| March 31, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K (Mark One) [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 UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 001-37916 SRAX, INC. (Exac |
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| March 16, 2021 |
Brock Pierce Joins SRAX Board of Directors Exhibit 99.01 Brock Pierce Joins SRAX Board of Directors LOS ANGELES?(BUSINESS WIRE)?SRAX, Inc. (NASDAQ: SRAX), a financial technology company that unlocks data and insights for publicly traded companies, announced that Brock Pierce, the entrepreneur, philanthropist, and 2020 presidential candidate, has joined the SRAX board of directors. Mr. Pierce has co-founded, advised, and funded over 100 com |
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| March 16, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) March 16, 2021 (March 10, 2021) SRAX, INC. |
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| February 23, 2021 |
4,545,440 Shares of Class A Common Stock Underlying Warrants 424B5 1 form424b5.htm Filed Pursuant to Rule 424(b)(5) Registration No. 333-235298 PROSPECTUS SUPPLEMENT (To Prospectus dated December 12, 2019) 4,545,440 Shares of Class A Common Stock Underlying Warrants We are offering warrants to purchase up to 4,545,440 shares of our Class A common stock, $0.001 par value per share, at an exercise price of $7.50 per share (the “Warrants”). Each Warrant to pur |
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| February 23, 2021 |
Consent of Silvestre Law Group, P.C. (included in Exhibit 5.01) Exhibit 5.01 SILVESTRE LAW GROUP, P.C. 2629 Townsgate Road, Suite 215 Westlake Village, CA 91361 (818) 597-7552 Fax (805) 553-9783 February 21, 2021 SRAX, Inc. 2629 Townsgate Road #215 Westlake Village, CA 91361 We have acted as counsel to SRAX, Inc., a Delaware corporation (the ?Company?), in connection with its registration statement on Form S-3, as amended (File No. 333-235298) (the ?Registrati |
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| February 23, 2021 |
Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K/A Amendment No. |
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| February 22, 2021 |
Form of Letter Agreement dated February 21, 2021 Exhibit 10.01 SRAX, INC. February 21, 2021 Holder of Common Stock Purchase Warrant Re: Inducement Offer to Exercise Common Stock Purchase Warrants Dear Holder: SRAX, Inc. (the ?Company?) is pleased to offer to you the opportunity to exercise all of the Common Stock Purchase Warrants (with a $2.50 exercise price) of the Company (the ?Existing Warrants?) currently held by you (the ?Holder?). The Exi |
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| February 22, 2021 |
Form of New Warrant issued February 22, 2021 Exhibit 4.01 COMMON STOCK PURCHASE WARRANT srax, inc. Warrant Shares: Issue Date: February 22, 2021 THIS COMMON STOCK PURCHASE WARRANT (the ?Warrant?) certifies that, for value received, or its assigns (the ?Holder?) is entitled, upon the terms and subject to the limitations on exercise and the conditions hereinafter set forth, at any time on or after the Issue Date (the ?Initial Exercise Date?) a |
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| February 22, 2021 |
Entry into a Material Definitive Agreement, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) February 22, 2021 (February 21, 2021) SRAX, INC. |
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| February 22, 2021 |
Entry into a Material Definitive Agreement, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K/A Amendment No. |
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| February 22, 2021 |
Form of Letter Agreement dated February 21, 2021 Exhibit 10.01 SRAX, INC. February 21, 2021 Holder of Common Stock Purchase Warrant Re: Inducement Offer to Exercise Common Stock Purchase Warrants Dear Holder: SRAX, Inc. (the ?Company?) is pleased to offer to you the opportunity to exercise all of the Common Stock Purchase Warrants (with a $2.50 exercise price) of the Company (the ?Existing Warrants?) currently held by you (the ?Holder?). The Exi |
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| February 22, 2021 |
Form of New Warrant issued February 22, 2021 Exhibit 4.01 COMMON STOCK PURCHASE WARRANT srax, inc. Warrant Shares: Issue Date: February 22, 2021 THIS COMMON STOCK PURCHASE WARRANT (the ?Warrant?) certifies that, for value received, or its assigns (the ?Holder?) is entitled, upon the terms and subject to the limitations on exercise and the conditions hereinafter set forth, at any time on or after the Issue Date (the ?Initial Exercise Date?) a |
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| February 11, 2021 |
SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No.)* SRAX, Inc. (Name of Issuer) Class A Common Stock, par value $0.001 per share (Title of Class of Securities) 78472M106 (CUSIP Number) December 31, 2020 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to whi |
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| February 9, 2021 |
Completion of Acquisition or Disposition of Assets - UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) February 8, 2021 (February 4, 2021) SRAX, INC. |
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| January 6, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) January 6, 2021 (December 31, 2020) SRAX, INC. |
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| January 6, 2021 |
SRAX Extends Right to Receive BIGtoken Special Dividend through December 31, 2021 Exhibit 99.01 SRAX Extends Right to Receive BIGtoken Special Dividend through December 31, 2021 LOS ANGELES—(BUSINESS WIRE)—SRAX, Inc. (Nasdaq: SRAX), a financial technology company that unlocks data and insights for publicly traded companies through Sequire, its SaaS platform, has extended the expiration time for its special dividend right from December 31, 2020 to on or before 5:00 p.m., ET, on |
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| November 20, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (RULE 14a-101) SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant [X] Filed by a party other than the Registrant [ ] Check the appropriate box: [ ] Preliminary Proxy Statement [ ] Confidential, for Use of the Commission Only (as permitt |
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| November 18, 2020 |
SRAX REPORTS 161% YEAR-OVER-YEAR AND 124% QUARTER-OVER-QUARTER REVENUE GROWTH Exhibit 99.01 SRAX REPORTS 161% YEAR-OVER-YEAR AND 124% QUARTER-OVER-QUARTER REVENUE GROWTH Third Quarter 2020 and Recent Operational Highlights ● Revenue for Q3 of $2.6M up 161% year-over-year, 124% sequentially quarter-over-quarter ● Reduced operating expenses by 22% year-over-year for Q3 and 18% year-to-date ● EBITDA increase of $2.1M, or 53%, vs Q3 2019 ● Sequire segment EBITDA positive in Q3 |
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| November 18, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) November 18, 2020 (November 16, 2020) SRAX, INC. |
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| November 16, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) [X] QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 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 001-37916 S |
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| November 3, 2020 |
Unit Redemption Agreement dated October 30, 2020 between SRAX and Halyard MD, LLC EX-10.01 2 ex10-01.htm Exhibit 10.01 UNIT REDEMPTION AGREEMENT THIS UNIT REDEMPTION AGREEMENT dated as of October 30, 2020 (this “Agreement”) is entered into by and between Halyard MD, LLC, a Delaware limited liability company (the “Company”), SRAX, Inc., a Delaware corporation (the “Seller”) and, solely with respect to Section 5.11, Halyard MD OpCo, LLC, a Delaware limited liability company (the |
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| November 3, 2020 |
SRAX Sells Remaining MD Ownership Stake for $8M MD asset with Zero Basis on Balance Sheet Sold EX-99.1 4 ex99-1.htm Exhibit 99.1 SRAX Sells Remaining MD Ownership Stake for $8M MD asset with Zero Basis on Balance Sheet Sold LOS ANGELES—(BUSINESS WIRE)—SRAX, Inc. (NASDAQ: SRAX), a financial technology company that unlocks data and insights for publicly traded companies through Sequire, its SaaS platform, announced that it has sold its remaining interest in the SRAX MD asset. “Our SEQUIRE pla |
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| November 3, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) November 3, 2020 (October 30, 2020) SRAX, INC. |
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| November 3, 2020 |
Unit Redemption Agreement dated October 30, 2020 between SRAX and MD CoInvest, LLC EX-10.2 3 ex10-02.htm Exhibit 10.02 UNIT REDEMPTION AGREEMENT THIS UNIT REDEMPTION AGREEMENT dated as of October 30, 2020 (this “Agreement”) is entered into by and between MD CoInvest, LLC, a Delaware limited liability company (the “Company”), SRAX, Inc., a Delaware corporation (the “Seller”) and, solely with respect to Section 5.11, Halyard MD OpCo, LLC, a Delaware limited liability company (the |
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| October 13, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) October 13, 2020 (October 8, 2020) SRAX, INC. |
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| October 5, 2020 |
EX-10.01 2 ex10-1.htm Exhibit 10.01 Share Exchange Agreement This Share Exchange Agreement, dated as of September 30, 2020, is made by and among FORCE PROTECTION VIDEO EQUIPMENT CORP, a Florida corporation (the “Acquiror Company”), SRAX, INC., a Delaware company (the “Company”), and Paul Feldman, the owner of all of the Acquiror’s outstanding preferred stock, accounting for a majority of the votin |
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| October 5, 2020 |
Other Events, Entry into a Material Definitive Agreement - UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) September 30, 2020 (October 5, 2020) SRAX, INC. |
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| October 5, 2020 |
SRAX to Move BIGtoken Into its Own Public Company EX-99.01 3 ex99-01.htm Exhibit 99.01 SRAX to Move BIGtoken Into its Own Public Company LOS ANGELES-SRAX, Inc. (NASDAQ: SRAX), a financial technology company that unlocks data and insights for publicly traded companies, announced that its BIGtoken platform, which empowers consumers to earn money and control their own data, will become a separate publicly traded company. SRAX has entered into a defi |
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| September 11, 2020 |
Exhibit 10.01 Execution Version Agreement and Plan of Merger By and among SRAX, INC., as the Parent TOWNSGATE MERGER SUB 1, INC., as Merger Sub 1 LD MICRO, INC., as Merger Sub 2 LD MICRO, INC., as the Target and Christopher Lahiji, in the capacity as the sole stockholder of the target dated as of September 4, 2020 TABLE OF CONTENTS Article I Definitions 2 Article II The Merger 10 Section 2.01 The |
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| September 11, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) September 11, 2020 (September 4, 2020) SRAX, INC. |
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| September 11, 2020 |
Exhibit 99.01 SRAX to Acquire LD Micro The combined entities will focus on the rapid adoption of SRAX’s Sequire platform as well as hosting virtual and in-person events. Chris Lahiji to join SRAX’s board of directors. LOS ANGELES—SRAX, Inc. (NASDAQ: SRAX), a financial technology company that unlocks data and insights for publicly traded companies through Sequire, its SaaS platform, announced that |
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| September 11, 2020 |
Employment Agreement between SRAX and Christopher Lahiji Dated September 4, 2020 Exhibit 10.04 Execution Version EXECUTIVE EMPLOYMENT AGREEMENT THIS EXECUTIVE EMPLOYMENT AGREEMENT (this “Agreement”) is made and entered into by and between on the one hand SRAX, Inc., a Delaware corporation (the “Parent”), and its wholly owned subsidiary, LD Micro, Inc., a Delaware corporation (the “Company”), and on the other hand Christopher Lahiji (the “Executive”), as of the 4th day of Septe |
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| September 11, 2020 |
Voting Proxy Agreement dated September 4, 2020 between SRAX and Christopher Lahiji Exhibit 10.03 Execution Version VOTING PROXY AGREEMENT This PROXY AGREEMENT, dated as of September , 2020 (this “Proxy Agreement”), is between Christopher Lahiji (“Stockholder”) and Christopher Miglino, an individual or any successor (“Miglino”), in his capacity as Chief Executive Officer (“CEO”) of SRAX, Inc., a Delaware corporation (the “Company”). RECITALS WHEREAS, the Company, Townsgate Merger |
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| September 11, 2020 |
Lock-up agreement dated September 4, 2020 between SRAX and Christopher Lahiji Exhibit 10.02 Execution Version Lock-Up Agreement September , 2020 This Lock-Up Agreement (this “Agreement”) is executed by and between SRAX, Inc. (“Parent”), and the undersigned signatory in connection with the Agreement and Plan of Merger, dated as of September 4, 2020 (the “Merger Agreement”), by and among Parent, Townsgate Merger Sub 1, Inc., a Delaware corporation and wholly owned subsidiary |
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| August 20, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) August 19, 2020 (August 14, 2020) SRAX, INC. |
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| August 20, 2020 |
EX-99.1 2 ex99-01.htm Exhibit 99.01 SRAX Reports Q2 2020 Revenue Growth of 29% Year-over-Year and Accelerating Growth for Remainder of 2020 LOS ANGELES—(BUSINESS WIRE)—SRAX, Inc. (NASDAQ: SRAX), a digital marketing and consumer data management technology company, reported results for the three months ended June 30, 2020. Second Quarter 2020 and Recent Operational Highlights ● Revenue of $1.1M - up |
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| August 18, 2020 |
SRAX, Inc. 15,435,994 SHARES OF CLASS A COMMON STOCK Rule 424(b)(3) Registration No. 333-240270 PROSPECTUS SRAX, Inc. 15,435,994 SHARES OF CLASS A COMMON STOCK The selling stockholders named in this prospectus (“Selling Stockholders”) are offering up to 15,435,994 shares of our Class A common stock which are underlying the: (i) August 2019 Series B common stock purchase warrants (“Series B Warrants”), (ii) August 2019 placement agent warrants (“2019 |
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| August 14, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) [X] QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 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 001-37916 SRAX, |
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| August 7, 2020 |
SRAX, INC. August 7, 2020 Cara Wirth Staff Attorney Division of Corporate Finance United States Securities and Exchange Commission Washington, DC 20549 RE: SRAX, Inc. Registration Statement on Form S-3 Filed July 31, 2020 File No. 333-240270 Dear Ms. Wirth: Pursuant to your letter dated August 6, 2020, we have been informed that the above referenced registration statement will not be reviewed. Ple |
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| July 31, 2020 |
Form of Placement Agent Warrant from June 2020 Offering Exhibit 4.06 NEITHER THIS SECURITY NOR THE SECURITIES FOR WHICH THIS SECURITY IS EXERCISABLE HAVE BEEN REGISTERED WITH THE SECURITIES AND EXCHANGE COMMISSION OR THE SECURITIES COMMISSION OF ANY STATE IN RELIANCE UPON AN EXEMPTION FROM REGISTRATION UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE “SECURITIES ACT”), AND, ACCORDINGLY, MAY NOT BE OFFERED OR SOLD EXCEPT PURSUANT TO AN EFFECTIVE REGIST |
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| July 31, 2020 |
Consent of Silvestre Law Group, P.C. (included in Exhibit 5.01) EXHIBIT 5.01 SILVESTRE LAW GROUP, P.C. 31200 Via Colinas, Suite 200 Westlake Village, CA 91362 (818) 597-7552 Fax (805) 553-9367 July 31, 2020 SRAX, Inc. 456 Seaton Street Los Angeles, CA, 90013 Ladies and Gentlemen: We have acted as special counsel to SRAX, Inc., a Delaware corporation (the “Company”), in connection with the preparation and filing of this Registration Statement on Form S-3 (the “ |
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| July 31, 2020 |
As filed with the Securities and Exchange Commission on July 31, 2020 Registration No. |
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| June 30, 2020 |
Form of Security Agreement from June 2020 Offering Exhibit 10.03 EXHIBIT D SECURITY AGREEMENT This SECURITY AGREEMENT, dated as of June , 2020 (this “Agreement”), is among SRAX, Inc., a Delaware corporation (the “Company”), all of the Subsidiaries of the Company (such subsidiaries, the “Guarantors” and together with the Company, the “Debtors”) and the holders of the Company’s Original Issue Discount Senior Secured Convertible Debentures due June , |
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| June 30, 2020 |
Form of Original Issue Discount Senior Secured Convertible Debenture from June 2020 Offering Exhibit 4.01 EXHIBIT A NEITHER THIS SECURITY NOR THE SECURITIES INTO WHICH THIS SECURITY IS CONVERTIBLE HAVE BEEN REGISTERED WITH THE SECURITIES AND EXCHANGE COMMISSION OR THE SECURITIES COMMISSION OF ANY STATE IN RELIANCE UPON AN EXEMPTION FROM REGISTRATION UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE “SECURITIES ACT”), AND, ACCORDINGLY, MAY NOT BE OFFERED OR SOLD EXCEPT PURSUANT TO AN EFFEC |
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| June 30, 2020 |
Form of Securities Purchase Agreement from June 2020 Offering Exhibit 10.01 SECURITIES PURCHASE AGREEMENT This Securities Purchase Agreement (this “Agreement”) is dated as of June 25, 2020, between SRAX, Inc., a Delaware corporation (the “Company”), and each purchaser identified on the signature pages hereto (each, including its successors and assigns, a “Purchaser” and collectively, the “Purchasers”). WHEREAS, subject to the terms and conditions set forth i |
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| June 30, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) June 30, 2020 (June 25, 2020) SRAX, INC. |
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| June 30, 2020 |
SRAX Announces Closing of Private Placement Exhibit 99.02 SRAX Announces Closing of Private Placement LOS ANGELES—(BUSINESS WIRE)—SRAX, Inc. (NASDAQ: SRAX), a digital marketing and consumer data management technology company, announced the closing of its previously announced $13 million private placement of senior secured convertible debentures at a fixed conversion price of $2.69. The Company intends to use the proceeds to fund the rapid e |
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| June 30, 2020 |
Form of Registration Rights Agreement from June 2020 Offering Exhibit 10.02 EXHIBIT B REGISTRATION RIGHTS AGREEMENT This Registration Rights Agreement (this “Agreement”) is made and entered into as of June , 2020, between SRAX, Inc., a Delaware corporation (the “Company”), and each of the several purchasers signatory hereto (each such purchaser, a “Purchaser” and, collectively, the “Purchasers”). This Agreement is made pursuant to the Securities Purchase Agr |
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| June 30, 2020 |
SRAX Raises $13 Million to Fund Rapid Growth of Sequire Exhibit 99.01 SRAX Raises $13 Million to Fund Rapid Growth of Sequire LOS ANGELES—(BUSINESS WIRE)—SRAX, Inc. (NASDAQ: SRAX), a digital marketing and consumer data management technology company, announced it entered into definitive securities purchase agreements led by existing institutional investors for the purchase and sale of an aggregate of $13 million senior secured convertible debentures at |
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| June 30, 2020 |
Form of Warrant from June 2020 Offering Exhibit 4.02 NEITHER THIS SECURITY NOR THE SECURITIES FOR WHICH THIS SECURITY IS EXERCISABLE HAVE BEEN REGISTERED WITH THE SECURITIES AND EXCHANGE COMMISSION OR THE SECURITIES COMMISSION OF ANY STATE IN RELIANCE UPON AN EXEMPTION FROM REGISTRATION UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE “SECURITIES ACT”), AND, ACCORDINGLY, MAY NOT BE OFFERED OR SOLD EXCEPT PURSUANT TO AN EFFECTIVE REGIST |
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| May 13, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K/A Amendment No. 1 (Mark One) [X] ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2019 or [ ] TRANSITION REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 001-3791 |
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| May 5, 2020 |
Press Release Dated May 4, 2020 Exhibit 99.01 |
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| May 5, 2020 |
Results of Operations and Financial Condition, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) May 5, 2020 (May 4, 2020) SRAX, INC. |
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| May 5, 2020 |
SRAX, INC. Up to $3,150,000 Class A Common Stock Prospectus Supplement Filed Pursuant to Rule 424(b)(5) (To Prospectus Dated December 11, 2019) File No. |
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| May 5, 2020 |
Consent of Silvestre Law Group, P.C. (contained in Exhibit 5.01) Exhibit 5.01 SILVESTRE LAW GROUP, P.C. 31200 Via Colinas, Suite 200 Westlake Village, CA 91362 (818) 597-7552 Fax (805) 553-9367 May 5, 2020 SRAX, Inc. 456 Seaton Street Los Angeles, CA 90013 Ladies and Gentlemen: We have acted as counsel to SRAX, Inc., a Delaware corporation (the “Company”), in connection with the offer and sale from time to time of up to $3,150,000 of shares (the “Shares”) of th |
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| May 5, 2020 |
C O R P O R A T E P A R T I C I P A N T S Exhibit 99.02 C O R P O R A T E P A R T I C I P A N T S Natalie Santos, Director of Marketing Christopher Miglino, Chief Executive Officer Michael Malone, Chief Financial Officer C O N F E R E N C E C A L L P A R T I C I P A N T S Lee Aulper, Amac Investor Todd Rustman, Clarity Capital P R E S E N T A T I O N Operator Welcome to the SRAX End of Year 2019 and First Quarter 2020 Results Conference C |
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| May 5, 2020 |
Entry into a Material Definitive Agreement, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) May 5, 2020 SRAX, INC. |
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| May 5, 2020 |
At Market Issuance Sales Agreement between SRAX, Inc. and B. Riley FBR, Inc. Exhibit 10.01 SRAX, INC. Class A Common Stock (par value $0.001 per share) At Market Issuance Sales Agreement May 5, 2020 B. Riley FBR, Inc. 299 Park Avenue, 21st Floor New York, NY 10171 Ladies and Gentlemen: SRAX, Inc., a Delaware corporation (the “Company”), confirms its agreement (this “Agreement”) with B. Riley FBR, Inc. (the “Agent”) as follows: 1. Issuance and Sale of Shares. The Company ag |
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| May 1, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K (Mark One) [X] ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2019 or [ ] TRANSITION REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 001-37916 SRAX, INC. (Exac |
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| May 1, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) [X] QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 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 001-37916 SRAX, |
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| April 23, 2020 |
Promissory Note dated April 17, 2020 by and between SRAX, Inc. and Cross River Bank Exhibit 10.01 |
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| April 23, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) April 23, 2020 (April 17, 2020) SRAX, INC. |
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| March 27, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) March 27, 2020 SRAX, INC. |
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| March 5, 2020 |
Form of Class A common stock purchase warrant issued in February 2020 Offering Exhibit 4.1 THIS WARRANT AND THE SECURITIES ISSUABLE UPON EXERCISE HEREOF HAVE NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE “1933 ACT”), OR APPLICABLE STATE SECURITIES LAWS AND MAY NOT BE OFFERED FOR SALE, SOLD, TRANSFERRED OR OTHERWISE DISPOSED OF IN THE ABSENCE OF AN EFFECTIVE REGISTRATION STATEMENT FOR SUCH SECURITIES UNDER THE 1933 ACT, OR AN OPINION OF COUNSEL, SATISF |
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| March 5, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) March 5, 2020 (February 28, 2020) SRAX, INC. |
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| March 5, 2020 |
SRAX Enters a Financing Agreement Exhibit 99.1 SRAX Enters a Financing Agreement Los Angeles, March 5, 2020 – SRAX, Inc. (NASDAQ: SRAX), a digital marketing and consumer data management technology company, today announced it entered into a secured term loan with an affiliate of B. Riley Financial, Inc. (“B. Riley”), a diversified financial services company which provides comprehensive business advisory and capital markets solution |
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| March 5, 2020 |
Form of Intellectual Property Security Agreement from February 2020 Offering Exhibit 10.2 INTELLECTUAL PROPERTY SECURITY AGREEMENT This INTELLECTUAL PROPERTY SECURITY AGREEMENT, dated as of February 28, 2020 (as amended, supplemented or otherwise modified from time to time, the “Intellectual Property Security Agreement”), is made by SRAX, Inc., a Delaware corporation, and all of its affiliated entities (“Borrower”), and BRF Finance Co., LLC and its successors and assigns ( |
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| March 5, 2020 |
Form of Term Loan and Security Agreement from February 2020 Offering Exhibit 10.1 TERM LOAN AND SECURITY AGREEMENT BETWEEN SRAX, INC., as Borrower AND BRF FINANCE CO., LLC, as Lender TABLE OF CONTENTS Page 1. RECITALS 1 2. DEFINITIONS 1 2.1 Defined Terms 1 2.2 Singular and Plural Terms 4 2.3 Accounting Principles 4 2.4 References and Other Terms 4 3. THE LOAN 4 3.1 Commitment and Loan Advances; Borrowing; Prepayments 4 3.2 Term Loan Advances Evidenced by the Note 5 |
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| February 14, 2020 |
SCRI / Social Reality Inc. / Frigate Ventures LP - SC 13G/A Passive Investment SC 13G/A SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 SCHEDULE 13G/A (Rule 13d-102) (Amendment No. |
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| December 31, 2019 |
SRAX Extends Right to Receive BIGtoken Special Dividend through December 31, 2020 Exhibit 99.01 SRAX Extends Right to Receive BIGtoken Special Dividend through December 31, 2020 LOS ANGELES, December 27, 2019 - SRAX, Inc. (Nasdaq: SRAX), a digital marketing and consumer data management technology company, has extended the expiration time for its special dividend right from December 31, 2019 to on or before5:00 p.m., ET, on December 31, 2020. Special Dividend, Dividend Right and |
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| December 31, 2019 |
Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): December 31, 2019 (December 27, 2019) SRAX, INC. |
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| December 20, 2019 |
SRAX, Inc. 1,090,862 SHARES OF CLASS A COMMON STOCK Rule 424(b)(3) Registration No. 333-229604 PROSPECTUS SRAX, Inc. 1,090,862 SHARES OF CLASS A COMMON STOCK The selling stockholders named in this prospectus (“Selling Stockholders”) are offering up to 1,090,863 shares of our Class A common stock which are underlying Series B purchase warrants (“Warrants”). The Warrants have an initial exercise price of $3.00 per share (subject to adjustment pursuan |
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| December 13, 2019 |
Consent of Silvestre Law Group, P.C. (included in Exhibit 5.01) EXHIBIT 5.01 SILVESTRE LAW GROUP, P.C. 31200 Via Colinas, Suite 200 Westlake Village, CA 91362 (818) 597-7552 Fax (805) 553-9367 December 13, 2019 SRAX, Inc. 456 Seaton Street Los Angeles, CA, 90013 Ladies and Gentlemen: We have acted as special counsel to SRAX, Inc., a Delaware corporation (the “Company”), in connection with the preparation and filing of this Amendment No. 1 to the Registration S |
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| December 13, 2019 |
SCRI / Social Reality Inc. S-3/A - - As filed with the Securities and Exchange Commission on December 13, 2019 Registration No. |
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| December 10, 2019 |
SCRI / Social Reality Inc. CORRESP - - SRAX, INC. December 10, 2019 Scott Anderegg Staff Attorney Division of Corporate Finance United States Securities and Exchange Commission Washington, DC 20549 RE: SRAX, Inc. Registration Statement on Form S-3 Filed November 27, 2019 File No. 333-235298 Dear Mr. Anderegg: Pursuant to your letter dated December 4, 2019, we were informed that the above referenced registration statement will not be re |
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| November 27, 2019 |
SCRI / Social Reality Inc. S-3 - - As filed with the Securities and Exchange Commission on November 27, 2019 Registration No. |
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| November 27, 2019 |
Consent of Silvestre Law Group, P.C. (included in Exhibit 5.01) SILVESTRE LAW GROUP, P.C. 31200 Via Colinas, Suite 200 Westlake Village, CA 91362 (818) 597-7552 Fax (818) 597-7551 November 27, 2019 SRAX, Inc. 456 Seaton Street Los Angeles, CA 90013 Ladies and Gentlemen: This opinion is being furnished to you in connection with the Registration Statement on Form S-3 (the “Registration Statement”), including the prospectus that is part of the Registration Statem |
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| November 15, 2019 |
Results of Operations and Financial Condition, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) November 15, 2019 (November 14, 2019) SRAX, INC. |
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| November 15, 2019 |
SRAX Reports Q3 2019 Vertical Sales Increase 17% Year-over-Year and Net Income of $1.4 Million SRAX Reports Q3 2019 Vertical Sales Increase 17% Year-over-Year and Net Income of $1. |
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| November 14, 2019 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) [X] QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2019 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 001-37916 S |
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| October 16, 2019 |
TRACKING STOCK POLICY EXHIBIT 99.01 TRACKING STOCK POLICY SRAX, INC. BOARD OF DIRECTORS TRACKING STOCK POLICY STATEMENT REGARDING BIGTOKEN PREFERRED TRACKING STOCK AND BIGTOKEN 1. General Policy The BIGToken Preferred Tracking Stock (“Preferred Stock”) is intended to initially reflect the direct and indirect economic rights of the BIGToken Group. From time to time additional assets and liabilities |
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| October 16, 2019 |
Certificate of Designation of BIGToken Preferred Tracking Stock Certificate of Designation EXHIBIT 3.05(i) CERTIFICATE OF DESIGNATION OF PREFERENCES, RIGHTS AND LIMITATIONS OF BIGTOKEN PREFERRED TRACKING STOCK PURSUANT TO SECTION 151 GENERAL CORPORATION LAW The undersigned, Christopher Miglino does hereby certify that: 1. He is the President and Secretary, respectively, of SRAX, Inc., a Delaware corporation (the “Corporation”). 2. The Corporation is authorized |
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| October 16, 2019 |
CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM EXHIBIT 23.01 CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM We consent to the inclusion in this Registration Statement of SRAX, Inc. (f/k/a Social Reality, Inc.) on Amendment No. 1 to Form S-1 (File No. 333-229606) of our report dated April 16, 2019, with respect to our audits of the consolidated financial statements of SRAX, Inc. |
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| October 16, 2019 |
SCRI / Social Reality Inc. S-1/A - - AMENDED REGISTRATION STATEMENT Registration Statement As filed with the Securities and Exchange Commission on October 16, 2019 Registration No. |
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| August 15, 2019 |
Certificate of Amendment to Certificate of Incorporation as Amended, effective 8/25/19 Certificate of Amendment to Certificate of Incorporation EXHIBIT 3.01(i) CERTIFICATE OF AMENDMENT OF CERTIFICATE OF INCORPORATION Social Reality, Inc., a corporation organized under the laws of the State of Delaware (hereinafter called the “Corporation”), does hereby certify as follows: 1. The name of the Corporation is Social Reality, Inc. 2. This Certificate of Amendment of the Certificate of In |
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| August 15, 2019 |
SRAX Reports Revenue Grew 53% Sequentially for Q2 2019 SEC EDGAR FILING DOCUMENT EXHIBIT 99.02 SRAX Reports Revenue Grew 53% Sequentially for Q2 2019 LOS ANGELES, August 14, 2019 - SRAX, Inc. (Nasdaq: SRAX), a digital marketing and consumer data management and distribution technology platform company, reported results for the three months ended June 30, 2019. “We continue to build our data assets through increasing adoption of our verticals and BIGtok |
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| August 15, 2019 |
SEC EDGAR FILING DOCUMENT UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) August 15, 2019 (August 13, 2019) SOCIAL REALITY, INC. |
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| August 15, 2019 |
Social Reality to Formally Change Its Name to SRAX Press Release EXHIBIT99.01 Social Reality to Formally Change Its Name to SRAX LOS ANGELES, CA – August 13, 2019 – SRAX, Inc. (NASDAQ: SRAX), a digital marketing and consumer data management technology company, will formally change its name from Social Reality, Inc. to SRAX, Inc. The name change is consistent with the company’s evolution from social media to consumer data management and technology. |
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| August 15, 2019 |
SCRI / Social Reality Inc. / Frigate Ventures LP - SC 13G Passive Investment SC 13G SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 SCHEDULE 13G (Rule 13d-102) (Amendment No. |
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| August 15, 2019 |
EX-99.1 EXHIBIT 99.1 JOINT FILING AGREEMENT In accordance with Rule 13d-1(k) under the Securities Exchange Act of 1934, as amended, the undersigned agree to the joint filing on behalf of each of them of a Statement on Schedule 13G (including any and all amendments thereto) with respect to the Common Stock, par value $0.001 per share, of Social Reality, Inc., a Delaware corporation, and further agr |
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| August 14, 2019 |
Prospectus Supplement Filed Pursuant to Rule 424(b)(5) Registration No. 333-214644 PROSPECTUS SUPPLEMENT (To Prospectus dated November 28, 2016) 1,525,000 Shares of Class A Common Stock and Warrants to Purchase 965,500 Shares of Class A Common Stock We are offering 1,525,000 shares of our Class A common stock, $0.001 par value per share, and Series A warrants (“Series A warrants”) to purchase up t |
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| August 14, 2019 |
Form of First Placement Agent Agreement from August 2019 Offering EX-10.02 7 sraxex10z02.htm FORM OF PLACEMENT AGENT AGREEMENT EXHIBIT 10.02 August 12, 2019 PERSONAL AND CONFIDENTIAL Social Reality, Inc. 456 Seaton Street Los Angeles, CA 90013 Dear Chris: This letter will confirm the understanding and agreement (the “Agreement”) between Bradley Woods & Co. Ltd. (“Broker”) and Social Reality, Inc. (the “Company”) as follows: 1. Engagement: The Company hereby enga |
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| August 14, 2019 |
Form of Securities Purchase Agreement from August 2019 Offering EX-10.01 6 sraxex10z01.htm FORM OF SECURITIES PURCHASE AGREEMENT EXHIBIT 10.01 SECURITIES PURCHASE AGREEMENT This Securities Purchase Agreement (this “Agreement”) is dated as of August 12, 2019, between Social Reality, Inc., a Delaware corporation (the “Company”), and each purchaser identified on the signature pages hereto (each, including its successors and assigns, a “Purchaser” and collectively |
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| August 14, 2019 |
SOCIAL REALITY ANNOUNCES $5.5 MILLION REGISTERED DIRECT OFFERING WITH EXISTING INVESTORS Press Release EXHIBIT 99.01 SOCIAL REALITY ANNOUNCES $5.5 MILLION REGISTERED DIRECT OFFERING WITH EXISTING INVESTORS LOS ANGELES, August 12, 2019 –Social Reality, Inc. (Nasdaq: SRAX), a digital marketing and consumer data management and distribution technology platform company, today announced that it has entered into definitive agreements with existing investors for the purchase of 1,525,000 shar |
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| August 14, 2019 |
Form of Second Placement Agent Agreement from August 2019 Offering Form of Placement Agent Agreement EXHIBIT 10.03 PLACEMENT AGENT AGREEMENT Mr. Christopher Miglino August 9, 2019 CEO Social Reality, Inc. 465 Seaton Street Los Angeles, CA 90013 Dear Mr. Miglino: The purpose of this amended and restated letter agreement (the “Agreement”) is to set forth the terms and conditions pursuant to which WestPark Capital, Inc. (“WPC”) shall introduce Social Reality, Inc. a |
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| August 14, 2019 |
Form of Placement Agent Warrant from August 2019 Offering Form of Placement Agent Warrant EXHIBIT 4.03 NEITHER THIS SECURITY NOR THE SECURITIES INTO WHICH THIS SECURITY IS EXERCISABLE HAVE BEEN REGISTERED WITH THE SECURITIES AND EXCHANGE COMMISSION OR THE SECURITIES COMMISSION OF ANY STATE IN RELIANCE UPON AN EXEMPTION FROM REGISTRATION UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE “SECURITIES ACT”), AND, ACCORDINGLY, MAY NOT BE OFFERED OR SOLD EXCEP |
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| August 14, 2019 |
Form of Series A Common Stock Warrant from August 2019 Offering Form of Series A Warrant EXHIBIT 4.01 COMMON STOCK PURCHASE WARRANT SOCIAL REALITY, INC. Warrant Shares: Initial Exercise Date: August , 2019 THIS COMMON STOCK PURCHASE WARRANT (the “Warrant”) certifies that, for value received, or its assigns (the “Holder”) is entitled, upon the terms and subject to the limitations on exercise and the conditions hereinafter set forth, at any time on or after (the |
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| August 14, 2019 |
Consent of Silvestre Law Group, P.C. (included in Exhibit 5.01) Opinion EXHIBIT 5.01 SILVESTRE LAW GROUP, P.C. 31200 Via Colinas, Suite 200 Westlake Village, CA 91362 (818) 597-7552 Fax (805) 553-9783 August 14, 2019 Social Reality, Inc. 456 Seaton Street Los Angeles, CA 90013 We have acted as counsel to Social Reality, Inc., a Delaware corporation (the “Company”), in connection with its registration statement on Form S-3, as amended (File No. 333-214644) (the |
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| August 14, 2019 |
SCRI / Social Reality Inc. 10-Q - Quarterly Report - QUARTERLY REPORT 10-Q 1 srax10q.htm QUARTERLY REPORT UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 ——————— FORM 10-Q ——————— (Mark One) þ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2019 or ¨ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15 (d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period |
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| August 14, 2019 |
Current Report UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) August 14, 2019 (August 12, 2019) SOCIAL REALITY, INC. |
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| August 14, 2019 |
Form of Series B and Series C Common Stock Warrant from August 2019 Offering EX-4.02 3 sraxex4z02.htm FORM OF SERIES B AND SERIES C WARRANT EXHIBIT 4.02 NEITHER THIS SECURITY NOR THE SECURITIES FOR WHICH THIS SECURITY IS EXERCISABLE HAVE BEEN REGISTERED WITH THE SECURITIES AND EXCHANGE COMMISSION OR THE SECURITIES COMMISSION OF ANY STATE IN RELIANCE UPON AN EXEMPTION FROM REGISTRATION UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE “SECURITIES ACT”), AND, ACCORDINGLY, MA |
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| August 7, 2019 |
SCRI / Social Reality Inc. 10-Q/A - Quarterly Report - QUARTERLY REPORT Amended Quarterly Report UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| August 7, 2019 |
SCRI / Social Reality Inc. 10-Q/A - Quarterly Report - QUARTERLY REPORT Amended Quarterly Report UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| August 7, 2019 |
SCRI / Social Reality Inc. 10-Q/A - Quarterly Report - AMENDED QUARTERLY REPORT Amended Quarterly Report UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| June 28, 2019 |
Submission of Matters to a Vote of Security Holders Current Report UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) June 28, 2019 (June 26, 2019) SOCIAL REALITY, INC. |
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| May 16, 2019 |
Form of Securities Purchase Agreement Securities Purchase Agreement EXHIBIT 10.01 SECURITIES PURCHASE AGREEMENT This Securities Purchase Agreement (this “Agreement”) is dated as of May 13, 2019, between Social Reality, Inc., a Delaware corporation (the “Company”), and the purchaser identified on the signature page hereto (the “Purchaser”). WHEREAS, subject to the terms and conditions set forth in this Agreement and pursuant to Section |
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| May 16, 2019 |
EX-99.01 3 sraxex99z01.htm PRESS RELEASE EXHIBIT 99.01 SRAX Reports Vertical Sales Growth of 132% for Q119 - BIGtoken Registered User Growth Fuels Monetization of Data - LOS ANGELES, May 15, 2019 - Social Reality, Inc. (Nasdaq: SRAX), a digital marketing and consumer data management and distribution technology platform company, reported results for the three months ended March 31, 2019. “We contin |
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| May 16, 2019 |
Current Report UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) May 16, 2019 (May 13, 2019) SOCIAL REALITY, INC. |
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| May 15, 2019 |
SCRI / Social Reality Inc. 10-Q Quarterly Report QUARTERLY REPORT Quarterly Report UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 ——————— FORM 10-Q ——————— (Mark One) þ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2019 or ¨ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15 (d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commissio |
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| April 30, 2019 |
SCRI / Social Reality Inc. DEFA14A DEFA14A DEFA14A UNITED STATES SECURITIES AND EXCHANGE COMMSSION Washington, D.C. 20549 SCHEDULE 14A (RULE 14a-101) SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant þ Filed by a party other than the Registrant o Check the appropriate box: o Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as permitte |
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| April 30, 2019 |
SCRI / Social Reality Inc. DEF 14A DEFINITIVE PROXY STATEMENT SCHEDULE 14A INFORMATION UNITED STATES SECURITIES AND EXCHANGE COMMSSION Washington, D. |
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| April 17, 2019 |
SRAX REPORTS NET INCOME OF $8.7 MILLION FOR FULL YEAR 2018 Press Release EXHIBIT 99.01 SRAX REPORTS NET INCOME OF $8.7 MILLION FOR FULL YEAR 2018 LOS ANGELES, April 17, 2019 - Social Reality, Inc. (Nasdaq: SRAX), a digital marketing and consumer data management and distribution technology platform company, reported results for the three months and year ended December 31, 2018. “To build for long-term growth, in 2018, we focused on enhancing our sales and |
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| April 17, 2019 |
Financial Statements and Exhibits, Results of Operations and Financial Condition Current Report UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) April 17, 2019 SOCIAL REALITY, INC. |
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| April 16, 2019 |
SCRI / Social Reality Inc. ANNUAL REPORT (Annual Report) Social Reality Annual Report UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D. |
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| April 16, 2019 |
CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM Consent EXHIBIT 23.01 CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM We have issued our report dated April 16, 2019 on the 2018 and 2017 consolidated financial statements included in the Annual Report of Social Reality, Inc. on Form 10-K for each of the years in the two-year period ended December 31, 2018. We hereby consent to the incorporation by reference of said report in the Registra |
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| April 16, 2019 |
Subsidiaries EXHIBIT 21.01 Social Reality Inc. subsidiaries as December 31, 2018 · BIGToken Inc. · Steel Media Inc. · Five Delta Inc. |
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| April 10, 2019 |
SOCIAL REALITY ANNOUNCES $6.6 MILLION REGISTERED DIRECT OFFERING Press Release EXHIBIT 99.01 SOCIAL REALITY ANNOUNCES $6.6 MILLION REGISTERED DIRECT OFFERING LOS ANGELES, April 8, 2019 –Social Reality, Inc. (Nasdaq: SRAX), a digital marketing and consumer data management and distribution technology platform company, today announced that it has entered into definitive agreements with investors for the purchase of 1,650,000 shares of its Class A common stock, at |
