0001493152-23-008508.txt : 20230322 0001493152-23-008508.hdr.sgml : 20230322 20230322145748 ACCESSION NUMBER: 0001493152-23-008508 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20230314 FILED AS OF DATE: 20230322 DATE AS OF CHANGE: 20230322 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: URBAN ALAN LOUIS CENTRAL INDEX KEY: 0001534376 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-37916 FILM NUMBER: 23752686 MAIL ADDRESS: STREET 1: 1524 CLOVERFIELD BOULEVARD STREET 2: SUITE E CITY: SANTA MONICA STATE: CA ZIP: 90404 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: SRAX, Inc. CENTRAL INDEX KEY: 0001538217 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-ADVERTISING AGENCIES [7311] IRS NUMBER: 452925231 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 2629 TOWNSGATE ROAD #215 CITY: WESTLAKE VILLAGE STATE: CA ZIP: 91361 BUSINESS PHONE: 323-694-9800 MAIL ADDRESS: STREET 1: 2629 TOWNSGATE ROAD #215 CITY: WESTLAKE VILLAGE STATE: CA ZIP: 91361 FORMER COMPANY: FORMER CONFORMED NAME: SOCIAL REALITY, Inc. DATE OF NAME CHANGE: 20131112 FORMER COMPANY: FORMER CONFORMED NAME: SOCIAL REALITY DATE OF NAME CHANGE: 20111227 4 1 ownership.xml X0407 4 2023-03-14 0 0001538217 SRAX, Inc. SRAX 0001534376 URBAN ALAN LOUIS C/O ALAN URBAN 2629 TOWNSGATE ROAD #215 WESTLAKE VILLAGE CA 91361 0 1 0 0 Chief Financial Officer 0 Class A Common Stock Purchase Option 0.44 2023-03-14 4 A 0 300000 0.00 A Class A Common Stock 300000 300000 D Represents options to purchase Class A Common Stock issued to reporting person as consideration in connection with the reporting person's appointment as the Issuer's Chief Financial Officer (the "Option Grant"). The Option Grant vests as follows: (i) 40% to vest upon completion, during the term in which the reporting person is employed by the Issuer as Chief Financial Officer, of the Issuer's delinquent reports with the U.S. Securities and Exchange Commission for the quarters ended June 30, 2022 and September 30, 2022, and for the year ended December 31, 2022 (collectively, the "Delinquent Reports"), and (ii) the remaining 60% to vest in equal quarterly installments over the following two year period, subject to the completion of the Delinquent Reports. The Option Grant will fully vest in connection with a Change in Control. /s/ Alan Louis Urban 2023-03-22