Form 8-K - Current report
August 26 2024 - 3:30PM
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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): August 26, 2024
AULT ALLIANCE, INC.
(Exact name of registrant as specified in its charter)
Delaware |
|
001-12711 |
|
94-1721931 |
(State or other jurisdiction of
incorporation or organization) |
|
(Commission File Number) |
|
(I.R.S. Employer Identification No.) |
11411 Southern Highlands Parkway, Suite 240,
Las Vegas, NV 89141
(Address of principal executive offices) (Zip Code)
(949) 444-5464
(Registrant's telephone number, including area
code)
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:
| o | Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425) |
| o | Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12) |
| o | Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b)) |
| o | Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c)) |
Securities registered pursuant to Section 12(b)
of the Act:
Title of each class |
|
Trading
Symbol(s) |
|
Name of each exchange on which registered |
Common Stock, $0.001 par value |
|
AULT |
|
NYSE American |
13.00% Series D Cumulative Redeemable Perpetual Preferred Stock, par value $0.001 per share |
|
AULT PRD |
|
NYSE American |
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. o
| ITEM 5.07 | SUBMISSION OF MATTERS TO A VOTE OF SECURITY HOLDERS |
On August 26, 2024, Ault Alliance,
Inc. (the “Company”) held a Special Meeting of Stockholders (the “Meeting”). As of August 5, 2024,
the record date for the Meeting, the Company had outstanding and entitled to vote (i) 38,846,318 shares of Class A common stock, $0.001
par value (“Common Stock”), and (ii) 44,300 shares of its outstanding Series C Preferred Convertible Stock, which together
constitute all of the outstanding voting capital stock of the Company.
At the Meeting, the stockholders voted
on one proposal, which is described in more detail in the Company’s definitive proxy statement on Schedule 14A filed with the U.S.
Securities and Exchange Commission on August 6, 2024. At the Meeting, stockholders approved the proposal that was presented for a vote.
The table below sets forth the number of votes cast for and against, and the number of abstentions or broker non-votes, for the matter
voted upon by the Company’s stockholders.
Proposal One: Approval of, pursuant to Rule 713(a)
of the NYSE American, of the conversion of the Company’s 10% OID Convertible Promissory Note (the “Note”) in
the principal amount of $5,390,000 into the Company’s Common Stock, which Note was issued pursuant to the Note Purchase Agreement
dated July 18, 2024.
For |
|
Against |
|
Abstain |
|
Broker Non-Votes |
16,626,682 |
|
2,541,216 |
|
46,470 |
|
0 |
| ITEM 9.01 | FINANCIAL STATEMENTS AND EXHIBITS |
Exhibit No. |
|
Description |
|
|
|
101 |
|
Pursuant to Rule 406 of Regulation S-T, the cover page is formatted in Inline XBRL (Inline eXtensible Business Reporting Language). |
104 |
|
Cover Page Interactive Data File (embedded within the Inline XBRL document and included in Exhibit 101). |
SIGNATURE
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.
|
AULT ALLIANCE, INC. |
|
|
|
|
|
|
|
Dated: August 26, 2024 |
/s/ Henry Nisser |
|
|
Henry Nisser
President and General Counsel |
|
v3.24.2.u1
Cover
|
Aug. 26, 2024 |
Document Type |
8-K
|
Amendment Flag |
false
|
Document Period End Date |
Aug. 26, 2024
|
Entity File Number |
001-12711
|
Entity Registrant Name |
AULT ALLIANCE, INC.
|
Entity Central Index Key |
0000896493
|
Entity Tax Identification Number |
94-1721931
|
Entity Incorporation, State or Country Code |
DE
|
Entity Address, Address Line One |
11411 Southern Highlands Parkway
|
Entity Address, Address Line Two |
Suite 240
|
Entity Address, City or Town |
Las Vegas
|
Entity Address, State or Province |
NV
|
Entity Address, Postal Zip Code |
89141
|
City Area Code |
(949)
|
Local Phone Number |
444-5464
|
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|
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|
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|
Entity Emerging Growth Company |
false
|
Common Stock, $0.001 par value |
|
Title of 12(b) Security |
Common Stock, $0.001 par value
|
Trading Symbol |
AULT
|
Security Exchange Name |
NYSE
|
13.00% Series D Cumulative Redeemable Perpetual Preferred Stock, par value $0.001 per share |
|
Title of 12(b) Security |
13.00% Series D Cumulative Redeemable Perpetual Preferred Stock, par value $0.001 per share
|
Trading Symbol |
AULT PRD
|
Security Exchange Name |
NYSE
|
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