Form 8-K - Current report
2024年3月9日 - 6:30AM
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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):
March
8, 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:
¨ 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))
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. ¨
| Item 1.01 | Entry into a Material Definitive Agreement. |
On each of March 7, 2024
and March 8, 2024, Ault Alliance, Inc., a Delaware corporation (the “Company”), pursuant to the Securities Purchase
Agreement (the “Agreement”) entered into with Ault & Company, Inc., a Delaware corporation (the “Purchaser”)
on November 6, 2023 (the “Execution Date”), sold 500 shares of Series C convertible preferred stock (the “Series
C Convertible Preferred Stock”), and warrants (the “Series C Warrants”) to purchase 147,820 shares (the “Warrant
Shares”) of the Company’s common stock to the Purchaser, for a purchase price of 500,000. As of March 8, 2024, the Purchaser
has purchased an aggregate of 42,500 shares of Series C Convertible Preferred Stock and Series C Warrants to purchase an aggregate of
12,564,672 Warrant Shares, for an aggregate purchase price of $42.5 million. The Agreement provides that the Purchaser may purchase up
to $50 million of Series C Convertible Preferred Stock and Series C Warrants in one or more closings.
The Purchaser is an affiliate
of the Company. The material terms of the Agreement, Series C Convertible Preferred Stock and the Series C Warrants were described in
the Form 8-K filed with the Securities and Exchange Commission on November 7, 2023 and are incorporated herein by reference.
| Item 3.02 | Unregistered Sales
of Equity Securities. |
The information contained
in Item 1.01 of this Current Report on Form 8-K is incorporated herein by reference to this Item 3.02. Series C Convertible Preferred
Stock and the Series C Warrants described in this Current Report on Form 8-K were offered and sold to the Purchaser in reliance upon exemption
from the registration requirements under Section 4(a)(2) under the Securities Act of 1933.
| 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: March 8, 2024 |
/s/ Henry Nisser |
|
|
Henry Nisser
President and General Counsel |
|
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|
Mar. 08, 2024 |
Document Type |
8-K
|
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Document Period End Date |
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|
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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|
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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Ault Alliance (AMEX:AULT-D)
過去 株価チャート
から 6 2024 まで 7 2024
Ault Alliance (AMEX:AULT-D)
過去 株価チャート
から 7 2023 まで 7 2024