Current Report Filing (8-k)
August 20 2020 - 6:02AM
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) August 19, 2020 (August 14, 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: (323) 694-9800
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
August 14, 2020, SRAX, Inc. (the “Company”) filed its quarterly report on Form 10-Q for the quarter ended June 30,
2020, and on August 17, 2020, disclosed certain financial results and operational results for the quarter ended June 30, 2020
in a press release. The press release is attached as Exhibit 99.01 and is incorporated herein by reference.
The
information furnished under Items 2.02, including the accompanying Exhibit 99.01 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
7.01 Regulation FD Disclosure
On
August 17, 2020, the Company held an earnings call. A video and audio of the earnings call, along with the slides presented
are contained under the Multimedia tab of the Company’s website at the following link: https://srax.com/newsroom#multimedia.
The
information contained in this Item 7.01 to this Current Report on Form 8-K and the exhibit attached hereto pertaining to this
item shall not be deemed to be “filed” for purposes of Section 18 of the Exchange Act, or otherwise subject to the
liabilities of that section, nor shall such information or such exhibits be deemed incorporated by reference in any filing under
the Securities Act of 1933, as amended, or the Exchange Act, except as shall be expressly set forth by specific reference in such
a filing. The information set forth in the exhibits to this Form 8-K relating to this item 7.01 shall not be deemed an admission
as to the materiality of any information in this report that is required to be disclosed solely to satisfy the requirements of
Regulation FD
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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August
19, 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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