Current Report Filing (8-k)
January 24 2022 - 1:32PM
Edgar (US Regulatory)
0001282224
false
0001282224
2022-01-21
2022-01-21
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
21, 2022
DOLPHIN
ENTERTAINMENT, INC.
(Exact name of registrant as specified in its charter)
Florida
|
001-38331
|
86-0787790
|
(State
or other jurisdiction
|
(Commission
|
(IRS
Employer
|
of
incorporation)
|
File
Number)
|
Identification
No.)
|
150
Alhambra Circle, Suite 1200,
Coral Gables, Florida
33134
(Address of principal executive offices) (Zip Code)
Registrant's telephone number, including area
code (305) 774
-0407
Not Applicable
(Former Name or Former Address, if Changed Since
Last Report)
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))
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, $0.015 par value per share
|
|
DLPN
|
|
The Nasdaq
Capital Market
|
Indicate by check mark whether the registrant is an emerging growth
company as defined in Rule 405 of the Securities Act of 1933 (17 CFR §230.405) or Rule 12b-2 of the Securities Exchange Act of 1934
(17 CFR §240.12b-2).
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 January
21, 2022, Dolphin Entertainment, Inc. (the “Company”) filed a prospectus supplement with the Securities and Exchange Commission
to the Company’s Shelf Registration Statement on Form S-3 (File No. 333-259132) registering shares of the Company’s common
stock, par value $0.015 per share (the “Shares”), issuable pursuant to its purchase agreement dated December 29, 2021 with
Lincoln Park Capital Fund, LLC. K&L Gates, LLP, counsel to the Company, has issued a legal opinion relating to the Shares issuable
under the purchase agreement with Lincoln Park Capital Fund, LLC. A copy of such legal opinion, including the consent included therein,
is attached as Exhibit 5.1 hereto.
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.
|
|
|
|
|
|
|
|
|
|
|
DOLPHIN ENTERTAINMENT, INC.
|
|
|
|
|
Date: January 24, 2022
|
|
|
|
By:
|
|
/s/ Mirta A. Negrini
|
|
|
|
|
|
|
Mirta A. Negrini
|
|
|
|
|
|
|
Chief Financial and Operating Officer
|
Dolphin Entertainment (NASDAQ:DLPN)
Historical Stock Chart
From Mar 2024 to Apr 2024
Dolphin Entertainment (NASDAQ:DLPN)
Historical Stock Chart
From Apr 2023 to Apr 2024