Current Report Filing (8-k)
November 05 2018 - 5:06PM
Edgar (US Regulatory)
UNITED
STATES
SECURITIES
AND EXCHANGE COMMISSION
WASHINGTON,
D.C. 20549
FORM
8-K
CURRENT
REPORT
PURSUANT
TO SECTION 13 OR 15(D) OF
THE SECURITIES EXCHANGE ACT OF 1934
Date
of Report (Date of earliest event reported): November 5, 2018
Stem
Holdings, Inc.
(Exact
Name of Registrant as Specified in its Charter)
Nevada
|
|
000-55751
|
|
61-1794883
|
(State
or Other Jurisdiction
|
|
(Commission
|
|
(IRS
Employer
|
of
Incorporation)
|
|
File
No.)
|
|
Identification
No.)
|
20283
State Road 7, Boca Raton, FL
|
|
33498
|
(Address
of Principal Executive Offices)
|
|
(Zip
Code)
|
Registrant’s
telephone number, including area code: (561) 237-2931
Check
the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant
under any of the following provisions (see General Instruction A.2. below):
|
[ ]
|
Written
communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)
|
|
|
|
|
[ ]
|
Soliciting
material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)
|
|
|
|
|
[ ]
|
Pre-commencement
communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))
|
|
|
|
|
[ ]
|
Pre-commencement
communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))
|
Indicate
by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 or Rule
12b-2 of the Securities Exchange Act of 1934.
Emerging growth company [ ]
If
an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for
complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. [ ]
Item 8.01.
Other Events.
On
November 5, 2018, Stem Holdings, Inc. (the “Company”) issued a press release announcing that it has commenced a private
offering of up to 10,000 special warrants of the Company (the “CD Special Warrants”) for aggregate gross proceeds
of up to $10,000,000. In accordance with Rule 135c of the Securities Act of 1933, as amended (the “Securities Act”),
a copy of this press release is being filed as Exhibit 99.1 to this Current Report on Form 8-K. Accordingly, this notice is not
intended to and does not constitute an offer to sell nor a solicitation for an offer to purchase any securities of the Company.
The
CD Special Warrants have not been registered under the Securities Act or any state securities laws and may not be offered or sold
in the United States absent registration or an applicable exemption from the registration requirements of the Securities Act and
any applicable state securities laws.
Item 9.01.
Financial Statements and Exhibits.
(d)
Exhibits.
SIGNATURES
Pursuant
to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf
by the undersigned hereunto duly authorized.
Stem Holdings, Inc.
|
|
|
|
|
By:
|
/s/
Adam Berk
|
|
Name:
|
Adam
Berk
|
|
Title:
|
CEO
|
|
Dated:
November 5, 2018
Stem (CE) (USOTC:STMH)
Historical Stock Chart
From Mar 2024 to Apr 2024
Stem (CE) (USOTC:STMH)
Historical Stock Chart
From Apr 2023 to Apr 2024