Form D · Other Technology
SRAX, Inc.
Westlake Village, CA · CIK 0001538217
Offering snapshot reported Aug 22, 2022 · SEC filing
- Reported sold
- $9.45M Offering amount: $9.45M
- Investors reported
- 1 Form D · investor count
- Minimum accepted
- $1M Reported outside-investor minimum
- First sale
- Aug 8, 2022 As reported in this filing
What changed?
Latest filing versus its linked predecessor, where available.
No comparable changes in the displayed metrics.
Filing history
Scroll to see all columns →
| Filed | Filing type | Reported sold | Change vs linked filing | Investors | Source |
|---|---|---|---|---|---|
| Aug 22, 2022 | Initial | $9,450,000 | No comparison | 1 | SEC filing |
| Jul 1, 2020 | Initial | $16,101,388 | No comparison | 12 | SEC filing |
| Aug 30, 2019 | Initial | $5,490,000 | No comparison | 55 | SEC filing |
| Dec 13, 2018 | Initial | $0 | No comparison | 5 | SEC filing |
| Nov 9, 2017 | Initial | $5,180,158 | No comparison | 9 | SEC filing |
| May 4, 2017 | Initial | $5,000,000 | No comparison | 10 | SEC filing |
| Jan 17, 2017 | Initial | $4,000,000 | No comparison | 4 | SEC filing |
| Sep 27, 2016 | Initial | Yet to sell | No comparison | 0 | SEC filing |
| Nov 6, 2014 | Initial | $20,000,000 | No comparison | 1 | SEC filing |
| Oct 3, 2014 | Amendment | Yet to sell | No comparison | 0 | SEC filing |
| Oct 2, 2014 | Initial | Yet to sell | No comparison | 0 | SEC filing |
| Jan 15, 2014 | Initial | $470,000 | No comparison | 9 | SEC filing |
| Nov 14, 2013 | Amendment | $325,000 | No comparison | 9 | SEC filing |
| Nov 1, 2013 | Initial | Yet to sell | No comparison | 0 | SEC filing |
| Oct 18, 2013 | Amendment | $688,000 | $0vs Oct 11, 2013 | 10 | SEC filing |
| Oct 11, 2013 | Initial | $688,000 | No comparison | 0 | SEC filing |
| Mar 12, 2013 | Initial | $100,000 | No comparison | 1 | SEC filing |
| Jul 10, 2012 | Initial | $473,159 | No comparison | 25 | SEC filing |
Offering details
- Securities
- Debt, Security to be acquired
- Exemptions
- 06b
- Duration over one year
- No
- Business combination
- No
- Sales commissions
- $350K
- Finders' fees
- $0
- Form D file number
- 021-456614
Up to $9,450,000 with first advance of $5,580,000 on closing
Commission to be paid only upon full amount of $9,450,000 being borrowed
Sales compensation recipients
Scroll to see all columns →
| Recipient | CRD | Associated broker-dealer |
|---|---|---|
| Dawson James Securities | 130645 |
Source: Form D, filed Aug 22, 2022. Minimum accepted may differ from a standard advertised minimum.
Fund connections
No confirmed ADV fund connection is available for this issuer.
People & organizations
Current and past Form D appearances. These existing records do not establish a person's current role or uniquely identify them across issuers.
| Name | Reported role |
|---|---|
| Malcolm Casselle | Director |
| Malcolm Cas Selle | Director |
| Erin Deruggiero | Executive |
| Erin De Ruggiero | Director, Executive |
| Coleen Diclaudio | Director |
| Colleen Di Claudio | Director |
| Rodney J. Dillman | Director |
| Joseph Hannan | Executive |
| Chad Holsinger | Executive |
| Robert Jordan | Director |
| Christopher Lahiji | Director |
| Michael Malone | Executive |
| Christopher Miglino | Director, Executive |
| Kristoffer Nelson | Director, Executive |
| Anthony William Packer | Director |
| Brock Pierce | Director |
| Marc Savas | Director |
| Richard Steel | Director, Executive |
| Martin A. Sumichrast | Director |
| Hardy Thomas | Director |
| Rahul Thumati | Executive |
| Matthew Weiss | Director |
Issuer details
Industry: Other Technology (See others in industry)
Address:
2629 Townsgate Road Suite 215
Westlake Village, CA, 91361
Westlake Village, CA, 91361