Current Report Filing (8-k)
January 27 2023 - 04:31PM
Edgar (US Regulatory)
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AULT:CommonStock0.001ParValueMember 2023-01-27 2023-01-27
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AULT:Sec13.00SeriesDCumulativeRedeemablePerpetualPreferredStockParValue0.001PerShareMember
2023-01-27 2023-01-27 iso4217:USD xbrli:shares iso4217:USD
xbrli:shares
UNITED STATES
SECURITIES AND EXCHANGE
COMMISSION
Washington, D.C.
20549
____________________________________________________________
FORM
8-K
CURRENT REPORT
Pursuant to Section 13 or 15(d) of the Securities Exchange Act of
1934
___________________________________________________________________
Date of Report (Date of earliest event
reported): January
27, 2023
AULT ALLIANCE, INC.
(Exact name of registrant as specified in its charter)
|
Delaware |
|
001-12711 |
|
94-1721931 |
(State or other jurisdiction of
incorporation or organization) |
|
(Commission File Number) |
|
(I.R.S. Employer Identification
No.) |
11411 Southern Highlands Parkway,
Suite 240,
Las Vegas,
NV
89141
(Address of principal executive offices) (Zip Code)
(949)
444-5464
(Registrant's telephone number, including area code)
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:
o Written communications
pursuant to Rule 425 under the Securities Act (17 CFR 230.425)
o Soliciting material
pursuant to Rule 14a-12 under the Exchange Act (17 CFR
240.14a-12)
o Pre-commencement
communications pursuant to Rule 14d-2(b) under the Exchange Act (17
CFR 240.14d-2(b))
o Pre-commencement
communications pursuant to Rule 13e-4(c) under the Exchange Act (17
CFR 240.13e-4(c))
Securities registered pursuant to Section 12(b) of the Act:
|
Title of each class |
|
Trading
Symbol(s)
|
|
Name of each exchange on which registered |
|
Common Stock, $0.001 par value |
|
AULT |
|
NYSE American |
|
13.00% Series D Cumulative Redeemable Perpetual Preferred Stock,
par value $0.001 per share |
|
AULT PRD |
|
NYSE American |
Indicate by check mark whether the registrant is an emerging growth
company as defined in Rule 405 of the Securities Act of 1933
(§230.405 of this chapter) or Rule 12b-2 of the Securities Exchange
Act of 1934 (§240.12b-2 of this chapter).
Emerging growth company o
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. o
|
ITEM 5.03 |
AMENDMENTS TO ARTICLES OF INCORPORATION OR BYLAWS; CHANGE IN
FISCAL YEAR |
On January 23, 2023, Ault Alliance, Inc., a Delaware corporation
(the “Company”) filed a Certificate of Elimination with the
Secretary of State of the State of Delaware with respect to the
Company’s Series C convertible redeemable preferred stock
(“Series C Preferred Stock”) which, effective upon filing,
eliminated from the Company’s Certificate of Incorporation, as
amended, all matters set forth in the amended and restated
Certificate of Designations for the Series C Preferred Stock. A
copy of the Certificate of Elimination with respect to the
Company’s Series C Preferred Stock is attached as Exhibit 3.1 to
this report and is incorporated herein by reference.
|
ITEM 9.01 |
FINANCIAL STATEMENTS AND EXHIBITS |
SIGNATURE
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.
| |
AULT ALLIANCE, INC. |
| |
|
| |
|
| Dated: January 27,
2023 |
/s/ Henry Nisser |
|
| |
Henry Nisser |
| |
President and General
Counsel |
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