Small Company Offering and Sale of Securities Without Registration (d)

Date : 08/30/2019 @ 10:05AM
Source : Edgar (US Regulatory)
Stock : SRAX Inc (SRAX)
Quote : 1.6  0.08 (5.26%) @ 12:16AM

Small Company Offering and Sale of Securities Without Registration (d)

o NoneEntity Type
0001538217
SOCIAL REALITY, Inc.
SOCIAL REALITY
 
x Corporation
o Limited Partnership
o Limited Liability Company
o General Partnership
o Business Trust
o Other
Name of Issuer
 SRAX, Inc.
Jurisdiction of Incorporation/Organization
DELAWARE
 
Year of Incorporation/Organization
  x Over Five Years Ago
  o Within Last Five Years (Specify Year)  
  o Yet to Be Formed 



2. Principal Place of Business and Contact Information
Name of Issuer 
 SRAX, Inc. 
Street Address 1Street Address 2
 456 SEATON STREET 
CityState/Province/CountryZIP/Postal CodePhone No. of Issuer
 LOS ANGELES CALIFORNIA 90013 (323) 694-9800 



3. Related Persons
Last NameFirst NameMiddle Name
MIGLINOCHRISTOPHER
Street Address 1Street Address 2
456 SEATON STREET
CityState/Province/CountryZIP/Postal Code
LOS ANGELESCALIFORNIA90013
Relationship: x Executive Officer x Director o Promoter
Clarification of Response (if Necessary)
 

Last NameFirst NameMiddle Name
MALONEMICHAEL
Street Address 1Street Address 2
456 SEATON STREET
CityState/Province/CountryZIP/Postal Code
LOS ANGELESCALIFORNIA90013
Relationship: x Executive Officer o Director o Promoter
Clarification of Response (if Necessary)
 

Last NameFirst NameMiddle Name
CASSELLEMALCOLM
Street Address 1Street Address 2
456 SEATON STREET
CityState/Province/CountryZIP/Postal Code
LOS ANGELESCALIFORNIA90013
Relationship: o Executive Officer x Director o Promoter
Clarification of Response (if Necessary)
 

Last NameFirst NameMiddle Name
NELSONKRISTOFFER
Street Address 1Street Address 2
456 SEATON STREET
CityState/Province/CountryZIP/Postal Code
LOS ANGELESCALIFORNIA90013
Relationship: o Executive Officer x Director o Promoter
Clarification of Response (if Necessary)
 

 
Last NameFirst NameMiddle Name
SAVASMARC
Street Address 1Street Address 2
456 SEATON STREET
CityState/Province/CountryZIP/Postal Code
LOS ANGELESCALIFORNIA90013
Relationship: o Executive Officer x Director o Promoter
Clarification of Response (if Necessary)
 

Last NameFirst NameMiddle Name
DICLAUDIOCOLEEN
Street Address 1Street Address 2
456 SEATON STREET
CityState/Province/CountryZIP/Postal Code
LOS ANGELESCALIFORNIA90013
Relationship: o Executive Officer x Director o Promoter
Clarification of Response (if Necessary)
 

Last NameFirst NameMiddle Name
JORDANROBERT
Street Address 1Street Address 2
456 SEATON STREET
CityState/Province/CountryZIP/Postal Code
LOS ANGELESCALIFORNIA90013
Relationship: o Executive Officer x Director o Promoter
Clarification of Response (if Necessary)
 

 


4. Industry Group
o Agriculture Health Care o Retailing
 Banking & Financial Services   o Biotechnology o Restaurants
  o Commercial Banking   o Health Insurance Technology
  o Insurance  o Hospitals & Physicians  o Computers
  o Investing  o Pharmaceuticals  o Telecommunications
  o Investment Banking  o Other Health Care  x Other Technology
  o Pooled Investment Fund

    Travel
  o Other Banking & Financial Services o Manufacturing  o Airlines & Airports
 Real Estate  o Lodging & Conventions
  o Commercial  o Tourism & Travel Services
  o Construction  o Other Travel
  o REITS & Finance o Other
  o Residential 
  o Other Real Estate 
o Business Services 
 Energy 
  o Coal Mining 
  o Electric Utilities 
  o Energy Conservation 
  o Environmental Services 
  o Oil & Gas 
  o Other Energy 


5. Issuer Size
Revenue RangeAggregate Net Asset Value Range
o No Revenues o No Aggregate Net Asset Value
o $1 - $1,000,000 o $1 - $5,000,000
o $1,000,001 - $5,000,000 o $5,000,001 - $25,000,000
o $5,000,001 - $25,000,000 o $25,000,001 - $50,000,000
o $25,000,001 - $100,000,000 o $50,000,001 - $100,000,000
o Over $100,000,000 o Over $100,000,000
x Decline to Disclose o Decline to Disclose
o Not Applicable o Not Applicable


6. Federal Exemption(s) and Exclusion(s) Claimed (select all that apply)
o Rule 504(b)(1) (not (i), (ii) or (iii)) o Rule 505
o Rule 504 (b)(1)(i) x Rule 506(b)
o Rule 504 (b)(1)(ii) o Rule 506(c)
o Rule 504 (b)(1)(iii) o Securities Act Section 4(a)(5)
  o Investment Company Act Section 3(c)

7. Type of Filing
x New Notice Date of First Sale 2019-08-14 o First Sale Yet to Occur
o Amendment

8. Duration of Offering
Does the Issuer intend this offering to last more than one year? o Yes x No

9. Type(s) of Securities Offered (select all that apply)
o Pooled Investment Fund Interests o Equity
o Tenant-in-Common Securities o Debt
o Mineral Property Securities x Option, Warrant or Other Right to Acquire Another Security
x Security to be Acquired Upon Exercise of Option, Warrant or Other Right to Acquire Security x Other (describe)
 Private portion of offering includes Series B warrants and Series C warrants to purchase our Class A common stock


10. Business Combination Transaction
Is this offering being made in connection with a business combination transaction, such as a merger, acquisition or exchange offer? o Yes x No
 
Clarification of Response (if Necessary) 
  

11. Minimum Investment
Minimum investment accepted from any outside investor$ 5000 USD

12. Sales Compensation
RecipientRecipient CRD Number o None
 The Special Equities Group, LLC 15768
(Associated) Broker or Dealer o None(Associated) Broker or Dealer CRD Number o None
 Bradley Woods & Co., Ltd. 13660
Street Address 1Street Address 2
 805 THIRD AVE. 18TH FLOOR
City State/Province/CountryZIP/Postal Code
 NEW YORK NEW YORK 10022
State(s) of Solicitation o All States o Foreign/Non-US
 NEW YORK
 TEXAS
 

RecipientRecipient CRD Number o None
 WestPark Capital, Inc. 39914
(Associated) Broker or Dealer x None(Associated) Broker or Dealer CRD Number x None
    
Street Address 1Street Address 2
 1900 AVENUE OF THE STARS 310
City State/Province/CountryZIP/Postal Code
 LOS ANGELES CALIFORNIA 90067
State(s) of Solicitation o All States o Foreign/Non-US
 ARIZONA
 CALIFORNIA
 FLORIDA
 MASSACHUSETTS
 NEBRASKA
 NEW JERSEY
 NEW YORK
 WISCONSIN
 

 



13. Offering and Sales Amounts
Total Offering Amount $ 5490000 USD o Indefinite
Total Amount Sold $ 5490000 USD 
Total Remaining to be Sold $ 0 USD o Indefinite
 
Clarification of Response (if Necessary)
 Offering was a registered direct offering. The only private placement of securities were Series B Warrants to purchase up to 1,525,000 Shares and Series C Warrants to purchase up to 965,000 Shares


14. Investors
o Select if securities in the offering have been or may be sold to persons who do not qualify as accredited investors,
Number of such non-accredited investors who already have invested in the offering
 
  Regardless of whether securities in the offering have been or may be sold to persons who do not qualify as accredited investors, enter the total number of investors who already have invested in the offering: 55


15. Sales Commissions & Finders' Fees Expenses
Provide separately the amounts of sales commissions and finders' fees expenses, if any. If the amount of an expenditure is not known, provide an estimate and check the box next to the amount.
Sales Commissions$ 421300 USD o Estimate
Finders' Fees$ 0 USD o Estimate
 
Clarification of Response (if Necessary)
 Does not include $60,000 in legal reimbursement, 59,668 Placement Agent Warrants, and potential fees upon exercise of warrants issued in offering


16. Use of Proceeds
Provide the amount of the gross proceeds of the offering that has been or is proposed to be used for payments to any of the persons required to be named as executive officers, directors or promoters in response to Item 3 above. If the amount is unknown, provide an estimate and check the box next to the amount.
 $ 0 USD o

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