Current Report Filing (8-k)
May 05 2020 - 5:21PM
Edgar (US Regulatory)
UNITED
STATES
SECURITIES
AND EXCHANGE COMMISSION
Washington,
DC 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) May 5, 2020 (May 4, 2020)
SRAX,
INC.
(Exact
name of registrant as specified in its charter)
Delaware
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001-37916
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45-2925231
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(State
or other jurisdiction of
incorporation
or organization)
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(Commission
File
Number)
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(I.R.S.
Employer
Identification
No.)
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456
Seaton Street, Los Angeles, CA
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90013
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(Address
of principal executive offices)
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(Zip
Code)
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Registrant’s
telephone number, including area code:
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(323)
694-9800
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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):
[ ]
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Written
communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)
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[ ]
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Soliciting
material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)
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[ ]
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Pre-commencement
communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))
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[ ]
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Pre-commencement
communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))
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Title
of Class
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Trading
Symbol
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Name
of Each Exchange on Which Registered
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Class
A Common stock
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SRAX
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NASDAQ
Capital Market
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Indicate
by check mark whether the registrant is an emerging growth company as defined in 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 [ ]
If
an emerging growth company, indicate by checkmark 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
2.02 Results of Operations and Financial Condition
On
May 4, 2020, SRAX, Inc. (the “Company”) reported certain financial results and operational results for (i) the year
ended December 31, 2019 and (ii) the three months ended March 31, 2020. The press release is attached as Exhibit 99.01 and is
incorporated herein by reference.
On
May 4, 2020, the Company held an earnings call related the foregoing results. A copy of the transcript of the call is attached
hereto as Exhibit 99.02.
The
information furnished under Items 2.02, including the accompanying Exhibits 99.01 and 99.02 shall not be deemed to be “filed”
for the purposes of Section 18 of the Securities Exchange Act of 1934 (the “Exchange Act”), or otherwise subject to
the liability of such section, nor shall such information be deemed to be incorporated by reference in any subsequent filing by
the Company under the Securities Act of 1933 or the Exchange Act, regardless of the general incorporation language of such filing,
except as specifically stated in such filing.
Item
9.01 Financial Statements and Exhibits.
SIGNATURES
Pursuant
to the requirements of the Securities Exchange Act of 1934, the Registrant has duly caused this Report on Form 8-K to be signed
on its behalf by the undersigned hereunto duly authorized.
Date:
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May
5, 2020
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SRAX, Inc.
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/s/
Christopher Miglino
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By:
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Christopher
Miglino
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Chief
Executive Officer
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INDEX
OF EXHIBITS
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