Current Report Filing (8-k)
October 31 2022 - 8:01AM
Edgar (US Regulatory)
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0001538217
2022-10-31
2022-10-31
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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) October 31, 2022 (October 27, 2022)
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 |
|
91362 |
| (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
Global 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
4.01 Changes in Registrant’s Certifying Accountant.
On
October 27, 2022, the Audit Committee of the board of directors of SRAX, Inc. (“Company”) engaged Marcum LLP (“Marcum”)
as the Company’s independent registered public accounting firm for the year ending December 31, 2022.
During
the years ended December 31, 2021 and 2020 and the subsequent interim periods through October 27, 2022, neither the Company nor anyone
acting on its behalf has consulted with Marcum with respect to (i) the application of accounting principles to a specified transaction,
either completed or proposed, or the type of audit opinion that might be rendered on the Company’s financial statements, and neither
a written report nor oral advice was provided to the Company that Marcum concluded was an important factor considered by the Company
in reaching a decision as to any accounting, auditing, or financial reporting issue or (ii) any matter that was either the subject of
a “disagreement” or “reportable event” as those terms are defined in Item 304(a)(1) of Regulation S-K.
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: October
31, 2022 |
|
SRAX, Inc. |
| |
|
|
| |
|
/s/ Christopher
Miglino |
| |
By: | Christopher Miglino |
| |
|
Chief Executive Officer |
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