0001493152-22-015787.txt : 20220603 0001493152-22-015787.hdr.sgml : 20220603 20220603092939 ACCESSION NUMBER: 0001493152-22-015787 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20211111 FILED AS OF DATE: 20220603 DATE AS OF CHANGE: 20220603 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Cox Kevin Brian CENTRAL INDEX KEY: 0001784994 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-40992 FILM NUMBER: 22993092 MAIL ADDRESS: STREET 1: 3124 BROTHER BLVD STREET 2: STE. 104 CITY: BARTLETT STATE: W6 ZIP: 38133 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: SurgePays, Inc. CENTRAL INDEX KEY: 0001392694 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-ADVERTISING [7310] IRS NUMBER: 980550352 STATE OF INCORPORATION: NV FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 3124 BROTHER BLVD STREET 2: SUITE 104 CITY: BARTLETT STATE: TN ZIP: 38133 BUSINESS PHONE: 901-302-9587 MAIL ADDRESS: STREET 1: 3124 BROTHER BLVD STREET 2: SUITE 104 CITY: BARTLETT STATE: TN ZIP: 38133 FORMER COMPANY: FORMER CONFORMED NAME: Surge Holdings, Inc. DATE OF NAME CHANGE: 20180102 FORMER COMPANY: FORMER CONFORMED NAME: KSIX Media Holdings, Inc. DATE OF NAME CHANGE: 20150728 FORMER COMPANY: FORMER CONFORMED NAME: North American Energy Resources, Inc. DATE OF NAME CHANGE: 20150528 4 1 ownership.xml X0306 4 2021-11-11 0 0001392694 SurgePays, Inc. SURG 0001784994 Cox Kevin Brian 3124 BROTHER BLVD 104 BARTLETT TN 38133 1 1 1 0 CHIEF EXECUTIVE OFFICER Common stock, $0.001 par value per share 2021-11-11 4 C 0 3016820 A 3437794 D Common stock, $0.001 par value per share 2021-11-11 4 J 0 561758 A 561758 I SMDMM Funding, LLC Common stock, $0.001 par value per share 2022-06-02 4 P 0 4900 4.39 A 3442694 D Series C Preferred 2021-11-11 4 C 0 603364 D 2019-06-30 Common Stock 3016820 0 D On November 4, 2021, SurgePays, Inc. (the "Company"), closed on its firm commitment underwritten public offering (the "Offering") of shares of the Company's common stock, par value $0.001 per share (the "Common Stock"), and warrants to purchase shares of Common Stock. As disclosed in the final prospectus filed in connection with the Offering, following the closing of the Offering, on November 11, 2021 the Company issued (i) 3,016,820 shares of Common Stock to Mr. Cox pursuant to the conversion of shares of Series C Preferred Stock held by Mr. Cox and (ii) 561,758 shares of Common Stock to SMDMM Funding, LLC ("SMDMM"), an entity solely controlled by Mr. Cox, as the result of the conversion of $2,415,560 in principal and accrued interest owed to SMDMM. In addition to the final prospectus, the foregoing issuances were previously disclosed in the Company's Current Report on Form 8-K filed on November 17, 2021. Note 1 continued - The ownership of these shares is also disclosed in Item 12 of the Company's Form 10-K filed on March 24, 2022. The Company effected a reverse stock split at a ratio of 1-for-50 on November 2, 2021. The 3,437,794 share amount reported in this Item 6 is the sum of (i) the 21,048,724 shares directly owned by Mr. Cox as reported in his last Form 4 filed on September 14, 2021 divided by 50 which equals 420,974 shares plus the 3,016,820 shares issued pursuant to the conversion of the Series C Preferred Stock. The shares acquired were purchased at various prices throughout the day. The price reflected is an average of the per share price from the trading day. The Series C Preferred Stock shares had no expiration date. Following the conversions on November 11, 2021, there are no longer any shares of Series C Preferred Stock outstanding. /s/ Kevin Brian Cox 2022-06-03