Current Report Filing (8-k)
May 04 2021 - 8:31AM
Edgar (US Regulatory)
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): May 4, 2021
SUGARMADE,
INC.
(Exact
name of registrant as specified in its charter)
Delaware
|
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000-23446
|
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94-3008888
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(State
or other jurisdiction
of
incorporation)
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|
(Commission
File Number)
|
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(IRS
Employer
Identification
No.)
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750
Royal Oaks Dr., Suite 108
Monrovia,
CA
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91016
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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: (888) 982-1628
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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Securities
registered pursuant to Section 12(b) of the Act:
Title
of each class
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Trading
Symbol(s)
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Name
of each exchange on which registered
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N/A
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N/A
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N/A
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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 [ ]
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.
OTC
Markets Group, Inc. (“OTC Markets”) previously added a “caveat emptor” designation to the corporate profile
of Sugarmade, Inc. (the “Company”) on OTCMarkets.com as a result of promotional activities relating to the Company’s
securities. The Company was advised by OTC Markets that the caveat emptor designation would remain on its OTC Markets profile
for a minimum of 30 days, at which time the Company could request a review. The Company requested a review at the end of the 30-day
period, and has cooperated fully with OTC Markets during the review, including responding to all information requests from OTC
Markets. The Company is not aware of any promotional activities that have occurred since the beginning of OTC Markets’ review.
The Company continues to work diligently to have the caveat emptor designation removed in the most expeditious manner possible.
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.
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SUGARMADE,
INC.
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Date:
May 4, 2021
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By:
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/s/
Jimmy Chan
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Name:
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Jimmy
Chan
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Title:
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Chief
Executive Officer and Chief Financial Officer
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