Amended Current Report Filing (8-k/a)
22 Mayo 2023 - 3:31PM
Edgar (US Regulatory)
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This Current Report
on Form 8-K/A (this “Amendment No. 1”) amends the Current Report on Form 8-K (the “Original Form 8-K”)
filed by Ault Alliance, Inc. (the “Company”) with the Securities and Exchange Commission on March 7, 2023.
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2023-05-22
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UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
____________________________________________________________
FORM 8-K/A
(Amendment No. 1)
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
22, 2023
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 o
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
EXPLANATORY NOTE
This Current Report
on Form 8-K/A (this “Amendment No. 1”) amends the Current Report on Form 8-K (the “Original Form 8-K”)
filed by Ault Alliance, Inc. (the “Company”) with the Securities and Exchange Commission on March 7, 2023.
This Amendment No.
1 is solely for the purpose of amending the Original Form 8-K to remove references to the financial statements and information that were
contemplated to be required by Item 9.01(a) of Form 8-K and the pro forma financial information required by Item 9.01(b) of Form 8-K
(the “Financial Statements”) in connection with the Company’s previously reported disposition of BitNile.com,
Inc. (“BNC”) to Ecoark Holdings, Inc. (now, BitNile Metaverse, Inc.) (“BNMV”) in exchange for shares
of convertible preferred stock of BNMV (the “Transaction”). At the time of filing of the Original Form 8-K, the Company
was unsure if the Transaction met the requirement of “the acquisition or disposition of a significant amount of assets”,
which triggers the disclosure requirement under Item 2.01 (Completion of Acquisition or Disposition of Assets), including the requirement
to file the Financial Statements required by Item 9.01 of Form 8-K (collectively, the “Filing Requirement”). Out of
an abundance of caution, the Company filed the Original Form 8-K, but subsequent to the effective date of closing of the Transaction,
the Company determined that the Transaction did not trigger the Filing Requirement, and that the Original Form 8-K was not required.
As such, the Company is amending the Original Form 8-K to remove the inclusion of the Financial Statements under Item 9.01, which Financial
Statements are not being filed because they are not required.
Items included in
the Original Form 8-K, including exhibits, that are not included herein are not amended and remain in effect as of the date of filing
of the Original Form 8-K.
Item 9.01 Exhibits
and Financial Statements.
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: May 22, 2023 |
/s/ Kenneth
S. Cragun |
|
|
Kenneth S. Cragun
Chief Financial Officer |
|
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