Small Company Offering and Sale of Securities Without Registration (d)
August 30 2019 - 6:05AM
Edgar (US Regulatory)
o
NoneEntity Type | 0001538217 | SOCIAL REALITY, Inc. SOCIAL REALITY |
x
Corporation
o
Limited Partnership
o
Limited Liability Company
o
General Partnership
o
Business Trust
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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 1 | Street Address 2 |
| 456 SEATON STREET | |
| City | State/Province/Country | ZIP/Postal Code | Phone No. of Issuer |
| LOS ANGELES | CALIFORNIA | 90013 | (323) 694-9800 |
| Last Name | First Name | Middle Name |
| MIGLINO | CHRISTOPHER | |
| Street Address 1 | Street Address 2 |
| 456 SEATON STREET | |
| City | State/Province/Country | ZIP/Postal Code |
| LOS ANGELES | CALIFORNIA | 90013 |
| Relationship: |
x
| Executive Officer |
x
| Director |
o
| Promoter |
| Clarification of Response (if Necessary) |
| | |
| Last Name | First Name | Middle Name |
| MALONE | MICHAEL | |
| Street Address 1 | Street Address 2 |
| 456 SEATON STREET | |
| City | State/Province/Country | ZIP/Postal Code |
| LOS ANGELES | CALIFORNIA | 90013 |
| Relationship: |
x
| Executive Officer |
o
| Director |
o
| Promoter |
| Clarification of Response (if Necessary) |
| | |
| Last Name | First Name | Middle Name |
| CASSELLE | MALCOLM | |
| Street Address 1 | Street Address 2 |
| 456 SEATON STREET | |
| City | State/Province/Country | ZIP/Postal Code |
| LOS ANGELES | CALIFORNIA | 90013 |
| Relationship: |
o
| Executive Officer |
x
| Director |
o
| Promoter |
| Clarification of Response (if Necessary) |
| | |
| Last Name | First Name | Middle Name |
| NELSON | KRISTOFFER | |
| Street Address 1 | Street Address 2 |
| 456 SEATON STREET | |
| City | State/Province/Country | ZIP/Postal Code |
| LOS ANGELES | CALIFORNIA | 90013 |
| Relationship: |
o
| Executive Officer |
x
| Director |
o
| Promoter |
| Clarification of Response (if Necessary) |
| | |
| Last Name | First Name | Middle Name |
| SAVAS | MARC | |
| Street Address 1 | Street Address 2 |
| 456 SEATON STREET | |
| City | State/Province/Country | ZIP/Postal Code |
| LOS ANGELES | CALIFORNIA | 90013 |
| Relationship: |
o
| Executive Officer |
x
| Director |
o
| Promoter |
| Clarification of Response (if Necessary) |
| | |
| Last Name | First Name | Middle Name |
| DICLAUDIO | COLEEN | |
| Street Address 1 | Street Address 2 |
| 456 SEATON STREET | |
| City | State/Province/Country | ZIP/Postal Code |
| LOS ANGELES | CALIFORNIA | 90013 |
| Relationship: |
o
| Executive Officer |
x
| Director |
o
| Promoter |
| Clarification of Response (if Necessary) |
| | |
| Last Name | First Name | Middle Name |
| JORDAN | ROBERT | |
| Street Address 1 | Street Address 2 |
| 456 SEATON STREET | |
| City | State/Province/Country | ZIP/Postal Code |
| LOS ANGELES | CALIFORNIA | 90013 |
| Relationship: |
o
| Executive Officer |
x
| Director |
o
| Promoter |
| Clarification of Response (if Necessary) |
| | |
|
o
| Agriculture | | Health Care |
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| Retailing |
| | Banking & Financial Services | |
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| Biotechnology |
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| 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 | |
| Revenue Range | Aggregate 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) |
|
x
| New Notice | Date of First Sale | 2019-08-14 |
o
| First Sale Yet to Occur |
| 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) | |
| |
| Minimum investment accepted from any outside investor | $ 5000 USD |
| Recipient | Recipient 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 1 | Street Address 2 |
| 805 THIRD AVE. | 18TH FLOOR |
| City | State/Province/Country | ZIP/Postal Code |
| NEW YORK | NEW YORK | 10022 |
| State(s) of Solicitation |
o
| All States |
o
| Foreign/Non-US |
NEW YORK
TEXAS
|
| Recipient | Recipient CRD Number |
o
| None |
| WestPark Capital, Inc. | 39914 |
| (Associated) Broker or Dealer |
x
| None | (Associated) Broker or Dealer CRD Number |
x
| None |
| | |
| Street Address 1 | Street Address 2 |
| 1900 AVENUE OF THE STARS | 310 |
| City | State/Province/Country | ZIP/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 |
|
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 |
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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