UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM
CURRENT REPORT
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Item 8.01 Other Events.
On November 29, 2021, the registrant completed its previously announced rights offering, which commenced with the distribution, on October 29, 2021, with respect to each share of the registrant’s common stock, to holders of record of the registrant’s common stock, as of October 25, 2021, of one non-transferable subscription right to purchase 0.15 share of common stock, at a price of $4.00 per whole share.
A maximum of 757,720 shares of common stock were issuable pursuant to the rights, of which 691,735 were subscribed for, for total gross proceeds to the registrant of $2,766,940.
Vstock Transfer, LLC, 18 Lafayette Place, Woodmere, NY 11598, was the subscription agent for the rights offering.
This report shall not constitute an offer to sell or a solicitation of an offer to buy, nor shall there be any sale of these securities in any state or jurisdiction in which such an offer, solicitation, or sale would be unlawful prior to registration or qualification under the securities laws of any such state or jurisdiction.
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.
| FG FINANCIAL GROUP, INC. | ||
| Date: December 2, 2021 | By: | /s/ Brian D. Bottjer |
| Name: | Brian D. Bottjer | |
| Title: | Chief Accounting Officer | |