UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
____________________________________________________________
FORM
CURRENT REPORT
Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934
___________________________________________________________________
Date of Report (Date of earliest event reported):
(Exact name of registrant as specified in its charter)
(State or other jurisdiction of incorporation or organization) |
(Commission File Number) | (I.R.S. Employer Identification No.) |
(Address of principal executive offices) (Zip Code)
(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:
Securities registered pursuant to Section 12(b) of the Act:
Title of each class |
Trading Symbol(s) |
Name of each exchange on which registered | ||
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 7.01 | REGULATION FD DISCLOSURE. |
On August 17, 2021, Ault Global Holdings, Inc. (the “Company”) issued a press release to announce that on August 13, 2021, the Company received written notice from the NYSE American LLC (the “NYSE American”) stating that the Company has regained compliance with all continued listing standards set forth in Section 704 of the NYSE American Company Guide. A copy of the press release is furnished herewith as Exhibit 99.1 and is incorporated by reference herein.
As previously reported in the Current Report on Form 8-K filed on January 5, 2021, the Company was notified by the NYSE American that the Company was not in compliance with the continued listing standards of Section 704 of the Company Guide for its inability to hold its annual shareholder meeting during its fiscal year end December 31, 2020. On August 13, 2021, the Company held its annual shareholder meeting and regained compliance.
The information contained in this Current Report shall not be deemed “filed” for purposes of Section 18 of the Securities Exchange Act of 1934, as amended (the “Exchange Act”), or incorporated by reference in any filing under the Securities Act of 1933, as amended (the “Securities Act”) or the Exchange Act, except as shall be expressly set forth by specific reference in such a filing. The furnishing of the information in this Current Report on Form 8-K is not intended to, and does not, constitute a representation that such furnishing is required by Regulation FD or that the information contained in this Current Report on Form 8-K constitutes material investor information that is not otherwise publicly available.
The Securities and Exchange Commission encourages registrants to disclose forward-looking information so that investors can better understand the future prospects of a registrant and make informed investment decisions. This Current Report on Form 8-K and exhibits may contain these types of statements, which are “forward-looking statements” within the meaning of the Private Securities Litigation Reform Act of 1995, and which involve risks, uncertainties and reflect the registrant’s judgment as of the date of this Current Report on Form 8-K. Forward-looking statements may relate to, among other things, operating results and are indicated by words or phrases such as “expects,” “should,” “will,” and similar words or phrases. These statements are subject to inherent uncertainties and risks that could cause actual results to differ materially from those anticipated at the date of this Current Report on Form 8-K. Investors are cautioned not to rely unduly on forward-looking statements when evaluating the information presented within.
ITEM 9.01 | FINANCIAL STATEMENTS AND EXHIBITS. |
(d) Exhibits.
The following exhibits are furnished herewith:
Exhibit No. |
Description | |
99.1 | Press Release issued on August 17, 2021 | |
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 GLOBAL HOLDINGS, INC. | ||
Dated: August 17, 2021 | /s/ Henry Nisser | |
Henry Nisser President and General Counsel |
Exhibit 99.1
Ault Global Holdings, Inc. Regains Compliance
with NYSE American Continued Listing Standards
Las Vegas, August 17, 2021 – Ault Global Holdings, Inc. (NYSE American: DPW) a diversified holding company (“AGH,” or the “Company”), announced today that on August 13, 2021, the Company received written notice from the NYSE American LLC (the “NYSE American”) stating that AGH has regained compliance with all continued listing standards set forth in Section 704 of the NYSE American Company Guide.
By meeting the continued listing requirements, AGH has resolved its continued listing deficiency and, effective at the start of trading on August 16, 2021, the “.BC” designation, signifying noncompliance with the NYSE American’s listing standards, was removed from the Company’s “DPW” trading symbol.
Commenting on the matter, AGH’s Executive Chairman Milton C. Ault, III stated, “We are pleased that we have regained compliance with the NYSE American's continued listing standards. Mr. Ault continued, noting “With this matter resolved, we remain focused on growing our operations and revenues.”
As previously announced, the Company was notified by the NYSE American that the Company was not in compliance with the continued listing standards of Section 704 of the Company Guide for its inability to hold its annual shareholder meeting during its fiscal year end December 31, 2020. On August 13, 2021, the Company held its annual shareholder meeting and regained compliance.
About Ault Global Holdings, Inc.
Ault Global Holdings, Inc. is a diversified holding company pursuing growth by acquiring undervalued businesses and disruptive technologies with a global impact. Through its wholly and majority-owned subsidiaries and strategic investments, the Company provides mission-critical products that support a diverse range of industries, including defense/aerospace, industrial, automotive, telecommunications, medical/biopharma, and textiles. In addition, the Company extends credit to select entrepreneurial businesses through a licensed lending subsidiary. Ault Global Holdings’ headquarters are located at 11411 Southern Highlands Parkway, Suite 240, Las Vegas, NV 89141; www.AultGlobal.com.
Forward-Looking Statements
This press release contains “forward looking statements” within the meaning of Section 27A of the Securities Act of 1933, as amended, and Section 21E of the Securities Exchange Act of 1934, as amended. These forward-looking statements generally include statements that are predictive in nature and depend upon or refer to future events or conditions, and include words such as “believes,” “plans,” “anticipates,” “projects,” “estimates,” “expects,” “intends,” “strategy,” “future,” “opportunity,” “may,” “will,” “should,” “could,” “potential,” or similar expressions. Statements that are not historical facts are forward-looking statements. Forward-looking statements are based on current beliefs and assumptions that are subject to risks and uncertainties. Forward-looking statements speak only as of the date they are made, and the Company undertakes no obligation to update any of them publicly in light of new information or future events. Actual results could differ materially from those contained in any forward-looking statement as a result of various factors. More information, including potential risk factors, that could affect the Company’s business and financial results are included in the Company’s filings with the SEC including, but not limited to, the Company’s Forms 10-K, 10-Q and 8-K. All filings are available at www.sec.gov and on the Company’s website at www.Aultglobal.com.
Contacts:
IR@AultGlobal.com or 1-888-753-2235
+6'Q-#/\/3S/+LUHTZ>%R^KG
M$Y1JXK#1PGUBK6P<*J4*3_=NC"I2C44N5J,>Z698'V^58Z+G&6&=2A6P[;J5
M88>5)TX3 &/&'P5^$/AG1)[QM7\%>+?"%AKD=Y8S6EO%<#X7>/[!
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MEKTU'3+
MR$K-9W]K!
Cover |
Aug. 17, 2021 |
---|---|
Cover [Abstract] | |
Document Type | 8-K |
Amendment Flag | false |
Document Period End Date | Aug. 17, 2021 |
Entity File Number | 001-12711 |
Entity Registrant Name | AULT GLOBAL HOLDINGS, 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 |
Written Communications | false |
Soliciting Material | false |
Pre-commencement Tender Offer | false |
Pre-commencement Issuer Tender Offer | false |
Title of 12(b) Security | Common Stock, $0.001 par value |
Trading Symbol | DPW |
Security Exchange Name | NYSEAMER |
Entity Emerging Growth Company | false |
F%::%^G
M.]_SG:Y+F0Z.I"@L<*%U3#B;K_\KXC%B1P2T4N9 YV/.,;39;6MWEL3TW".A<]7*G3=7C
M5E$0O=_E3">ATJ*VV#$6"Y8F49(G=/V+./GD";:URB9R!01L4-%@*H) ;2E
M 42^RRM\= AL(R1V_KMUI
M6GMKVZH-B)E.@] [W%7.C\/:N(SR](IE3N3O120OY O.<>4-;"\D=_U299=I
M_6U*FS8@A#H-@N]/UC$R50Q63'E+&<-G8JFU9AU/B6LJ]XEC#(MF[IA:$A >
M-E\=&60X4EHO+"PV.$T_;[.$D@R>B#256Q:L%MLLM"0!L6#S!;!02)'2>F'A
M=\0/<>Z/M!CFR?N.="/R_V([-RV_^?#:CVLJ-UZ+3RV+9)>+
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M05+DJYN_D"SBR;-
2IO)V *;]
M XI-[)H6V+#.BZD,BAC0'LA,$8&JD'"PN7R1JW.Q3!K8V(;>)SR&[2Y^:G&P
M".D.!U)4A"$9YXFDQFV('H8,I6MZ *LZ-YHL*&+LWD!62CDJ]/XAN:3Q($1J
MG1] -)MV/"I1@'"TG?6A(=0^P;A*L@BGI9,D,R;T YBV4J-IPT/'
M;K"/GWI!K.*\CC7EHKSW2Z)D?D:9MDG[$%-JPH.D;:QW<"G5/I&X8UF.TW\G
MSYTGXG:Q%SRLAJV0M)3AH6*SUP=,&8-$D(\3ZPI7>4/#^BJ95N[N%6"+K<,K
MP(W"(""P.3)? 2ZOGI0BU]TL&>4$ R-"N]A9)UM,U7W<* NCBTU#1@\7WVNA
M\?%%EME=TKM'1N$'!$R)JYZ&S*G>ULN#Z'' E-[KA0P5.D]7XV6&BB$YWV8@:&O,&!F1S[1<=G
MA+5%FI