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UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

 

FORM 8-K

 

CURRENT REPORT

Pursuant to Section 13 or Section 15(d)

of the Securities Exchange Act of 1934

 

Date of Report (Date of earliest event reported): July 11, 2024

 

Dominari Holdings Inc.

(Exact name of registrant as specified in its charter)

 

Delaware   001-41845   52-0849320

(State or other jurisdiction

of incorporation)

   (Commission File Number)  

(IRS Employer

Identification No.)

 

725 5th Avenue, 22nd Floor

New York, NY 10022

(212) 393-4540

(Address, including Zip Code and Telephone Number, including

Area Code, of Principal Executive Offices)

 

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 to 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, $0.0001 par value   DOMH   The Nasdaq Capital Market

 

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 5.02 Departure of Directors of Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers.

 

In an effort to further advance Dominari Holding Inc.’s (the “Company”) rapidly growing special purpose vehicle (“SPV”) management platform, and in alignment with industry practice, the Company’s compensation committee has agreed to amend and align the compensation arrangements of its top executives with the financial success of the SPV platform.  Going forward, in respect of the SPV platform, Messrs. Anthony Hayes and Kyle Wool will be compensated for the performance of the SPVs on a sliding scale based on the valuation of each SPV deal. On SPV’s valued under $1 million, Messrs. Hayes and Wool will each receive a flat fee of $2,500. The fee structure subsequently increases linearly with each million-dollar increment, starting at $5,000 each for SPV deal valued between $1 million and $2 million, and increases $5,000 for each million thereafter.

 

 

SIGNATURES

 

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.

 

Dated: July 11, 2024 DOMINARI HOLDINGS INC.
     
  By:

/s/ Anthony Hayes

  Name:  Anthony Hayes
  Title: Chief Executive Officer

  

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Jul. 11, 2024
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Entity File Number 001-41845
Entity Registrant Name Dominari Holdings Inc.
Entity Central Index Key 0000012239
Entity Tax Identification Number 52-0849320
Entity Incorporation, State or Country Code DE
Entity Address, Address Line One 725 5th Avenue
Entity Address, Address Line Two 22nd Floor
Entity Address, City or Town New York
Entity Address, State or Province NY
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Local Phone Number 393-4540
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Pre-commencement Issuer Tender Offer false
Title of 12(b) Security Common Stock, $0.0001 par value
Trading Symbol DOMH
Security Exchange Name NASDAQ
Entity Emerging Growth Company false
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