UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM
THE SECURITIES EXCHANGE ACT OF 1934
For the quarterly period ended
Or
THE SECURITIES EXCHANGE ACT OF 1934
For the transition period from ________ to ________
Commission file number:
(Exact Name of Registrant As Specified In Its Charter)
|
| |||
(State or other jurisdiction of | (Address of Principal Executive Offices) | (ZIP Code) |
(
(Registrant’s telephone number, including area code)
N/A
(Former name, former address and former fiscal year, if changed since last report)
Securities to be registered under Section 12(b) of the Act:
None.
Securities to be registered under Section 12(g) of the Act:
(Title of Class)
Indicate by check mark whether the registrant has (1) filed reports required to be filed by Section 13 or 15(d) of the Securities Exchange Act of 1934 during the preceding 12 months (or for such shorter period that the registrant was required to file such reports), and (2) has been subject to such filing requirements for the past 90 days.
Indicate by check mark whether the registrant has submitted electronically every Interactive Data File required to be submitted pursuant to Rule 405 of Regulation S-T (§232.405 of this chapter) during the preceding 12 months (or for such shorter period that the registrant was required to submit such files).
Indicate by check mark whether the Company is a large accelerated filer, an accelerated filer, a non-accelerated filer, a smaller reporting company, or an emerging growth company. See definition of “large accelerated filer,” “accelerated filer,” “smaller reporting company” and “emerging growth company” in Rule 12b-2 of the Exchange Act.
Large accelerated filer ☐ | Accelerated filer ☐ | |
Smaller reporting company | ||
Emerging growth company |
If an emerging growth company, indicate by check mark if the Company 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
Indicate by checkmark whether the registrant is a shell company (as defined in Rule 12b-2 of the Exchange Act). Yes
As of August 5, 2025, there were
EXPLANATORY NOTE
This Amendment No. 1 on Form 10-Q/A (the “Form 10-Q/A”) of StartEngine Crowdfunding, Inc. (the “Company”) amends the Company’s Quarterly Report on Form 10-Q for the quarterly period ended June 30, 2025, as filed with the Securities and Exchange Commission on August 1, 2025 (the “Original Form 10-Q”), and is being filed solely (i) to correct the broken hyperlinks for Exhibits 3.1 and 3.2, which were otherwise properly furnished with the Original Form 10-Q and (ii) correct typographical errors on the exhibit table. The incorrect hyperlinks for Exhibits 3.1 and 3.2 and the other errors were the result of an inadvertent administrative error. The Company has recently adopted an insider trading policy and has included it as Exhibit 19.1.
No other changes have been made to the text of Exhibits 3.1 and 3.2 furnished with the Original Form 10-Q or to any other part of the Form 10-Q. This Form 10-Q/A continues to speak as of the original filing date of the Form 10-Q, does not reflect events that may have occurred subsequent to the original filing date, and does not modify or update any related disclosures made in the Original Form 10-Q.
In addition, as required by Rule 12b-15 under the Securities Exchange Act of 1934, as amended, new certifications by our principal executive officer and principal financial officer are filed herewith as exhibits to this Form 10-Q/A.
2
Item 6. Exhibits.
Copies of the following documents are included as exhibits to this report pursuant to Item 601 of Regulation S-K.
Exhibit No. | Title of Document | Form | File No. | Exhibit | Filing Date | Filed Herewith |
3.1 | 1-A | 000-56415 | 2.1 | May 10, 2024 | ||
3.2 | 1-A | 000-56415 | 2.2 | May 10, 2024 | ||
4.1 | 1-A | 024-11177 | 3.1 | March 12, 2020 | ||
10.1 | 1-A | 024-11806 | 6.1 | February 13, 2023 | ||
10.2+* | Employment Agreement effective as of January 1, 2024 (Howard Marks) | 10-K | 000-56415 | 10.2 | March 31, 2025 | |
10.3 | 8-K | 000-56415 | 99.2 | November 28, 2022 | ||
10.4 | 10-Q | 000-56415 | 10.4 | May 15, 2025 | ||
19.1 | 10-Q | 000-56415 | 19.1 | August 6, 2025 | X | |
31.1 | 10-Q | 000-56415 | 31.1 | August 6, 2025 | X | |
31.2 | 10-Q | 000-56415 | 31.2 | August 6, 2025 | X | |
32.1 # | 10-Q | 000-56415 | 32.1 | August 6, 2025 | X | |
32.2 # | 10-Q | 000-56415 | 32.2 | August 6, 2025 | X |
101.INS | Inline XBRL Instance Document (the instance document does not appear in the Interactive Data File because its XBRL tags are embedded within the Inline XBRL document). |
101.SCH | Inline XBRL Taxonomy Extension Schema Document |
101.CAL | Inline XBRL Taxonomy Extension Calculation Linkbase Document. |
101.DEF | Inline XBRL Taxonomy Extension Definition Linkbase Document. |
101.LAB | Inline XBRL Taxonomy Extension Labels Linkbase Document. |
101.PRE | Inline XBRL Taxonomy Extension Presentation Linkbase Document. |
104 | Cover Page Interactive Data File (formatted as inline XBRL and contained in Exhibit 101). |
+ | Management contract or compensatory plan or arrangement. |
* | Portions of this exhibit have been omitted pursuant to the instructions to Item 601(a) of Regulation S-K. |
# | This certification is deemed not filed for purposes of Section 18 of the Securities Exchange Act of 1934, as amended (Exchange Act), or otherwise subject to the liability of that section, nor shall it be deemed incorporated by reference into any filing under the Securities Act of 1933, as amended, or the Exchange Act. |
3
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 thereunto duly authorized.
STARTENGINE CROWDFUNDING, INC. | ||
|
| (Registrant) |
Date: August 6, 2025 |
| |
By: | /s/ Howard Marks | |
|
| Howard Marks |
|
| Chief Executive Officer |
Date: August 6, 2025 |
| |
By: | /s/ Hunter Strassman | |
|
| Hunter Strassman |
|
| Chief Financial Officer and Principal Accounting Officer |
4