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SRAX SRAX

Filed: 1 Apr 21, 5:27pm

 

 

 

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) April 1, 2021 (March 29, 2021)

 

SRAX, INC.

(Exact name of registrant as specified in its charter)

 

Delaware 001-37916 45-2925231
(State or other jurisdiction
of incorporation or organization)
 (Commission
File Number)
 (I.R.S. Employer
Identification No.)

 

2629 Townsgate Road #215, Westlake Village, CA 91361
(Address of principal executive offices) (Zip Code)

 

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):

 

[  ]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))

 

Title of Class Trading Symbol Name of Each Exchange on Which Registered
Class A Common stock SRAX NASDAQ Capital Market

 

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 March 29, 2021, SRAX, Inc. (the “Company”) reported certain financial results and operational results for (i) the year ended December 31, 2020 and (ii) the three months ended December 31, 2020. The press release is attached as Exhibit 99.01 and is incorporated herein by reference.

 

On March 29, 2021, 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.

 

Exhibit

No.

 

 

Description

99.01 Press Release Dated March 29, 2021
99.02 Conference Call Transcript

 

 
 

 

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:April 1, 2021SRAX, Inc.
    
   /s/ Christopher Miglino
  By:Christopher Miglino
   Chief Executive Officer

 

 
 

 

INDEX OF EXHIBITS

 

Exhibit

No.

 

 

Description

99.01 

Press Release Dated March 29, 2021

99.02 Conference Call Transcript