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As Of Filer Filing For·On·As Docs:Size Issuer Filing Agent 12/18/23 Dominari Holdings Inc. 8-K:5 12/13/23 10:188K EdgarAgents LLC/FA |
Document/Exhibit Description Pages Size 1: 8-K Current Report HTML 26K 5: R1 Cover HTML 47K 8: XML IDEA XML File -- Filing Summary XML 11K 6: XML XBRL Instance -- ea190273-8k_dominari_htm XML 14K 7: EXCEL IDEA Workbook of Financial Report Info XLSX 8K 3: EX-101.LAB XBRL Labels -- domh-20231213_lab XML 96K 4: EX-101.PRE XBRL Presentations -- domh-20231213_pre XML 64K 2: EX-101.SCH XBRL Schema -- domh-20231213 XSD 12K 9: JSON XBRL Instance as JSON Data -- MetaLinks 25± 34K 10: ZIP XBRL Zipped Folder -- 0001213900-23-096484-xbrl Zip 16K
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
CURRENT REPORT
Pursuant to Section 13 or Section 15(d)
of the Securities Exchange Act of 1934
Date of Report (Date of earliest event reported): i December 13, 2023
(Exact name of registrant as specified in its charter)
| i Delaware | i 001-41845 | i 52-0849320 | ||
|
(State or other jurisdiction |
(Commission File Number) |
(IRS Employer |
i 725 5th Avenue, i 23rd Floor
(Address, including
Zip Code and Telephone Number, including
Area
Code, of
Principal Executive Offices)
Not Applicable
(Former name or former address, if changed since last report)
Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation to the registrant under any of the following provisions:
| i ☐ | Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425) |
| i ☐ | Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12) |
| i ☐ | Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b)) |
| i ☐ | Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c)) |
Securities registered pursuant to Section 12(b) of the Act:
| Title of each class | Trading Symbol(s) | Name of each exchange on which registered | ||
| i Common Stock, $0.0001 par value | i DOMH | The i Nasdaq Capital Market |
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).
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 5.02 Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers
Appointment of Kyle Wool as President of Dominari Holdings Inc.
On December 13, 2023, the Board of Directors (the “Board”) of Dominari Holdings Inc. (the “Company”) appointed Mr. Kyle Wool to serve as President of the Company until his resignation, death, removal, or a successor is elected and qualified. Mr. Wool has served as a director of the Board since April 2021, and he has been the Chief Executive Officer of Dominari Financial Inc., the financial services subsidiary of the Company, since March 2023.
There is no arrangement or understanding between Mr. Wool and any other persons pursuant to Mr. Wool’s appointment as President, and there are no related party transactions involving Mr. Wool that are reportable under Item 404(a) of Regulation S-K. There are no material plans, contracts or arrangements to which Mr. Wool is a party to or in which he participates nor have there been any material amendments to any plan, contract or arrangement by virtue of Mr. Wool’s appointment. Mr. Wool’s wife, Soo Yu, is a director of the Board.
The following is certain biographical information regarding Mr. Wool:
Kyle Wool, 46, joined the Company as a member of the Board in April 2021 and has been the Chief Executive Officer of Dominari Financial Inc., the financial services subsidiary of the Company since March 2023. Prior to March 2023, Mr. Wool was the non-executive Chairman of Revere Wealth Management, where he provided integrated strategies designed to help build, manage and preserve wealth for wealthy families, endowments and foundations. Prior to his employment at Revere Wealth Management, Mr. Wool was an Executive Director at Morgan Stanley (NYSE: MS) from May 2013 to January 2021, where he provided strategic wealth management and investing guidance to his clients. Prior to his employment at Morgan Stanley and The Wool Group, Mr. Wool was employed at Oppenheimer and Co., Inc. in a number of roles, where he provided strategic wealth management and investing guidance to his clients, from 2005 to 2013. Specifically, from 2010 until 2013, Mr. Wool served as a Managing Director of the Professional Investors Group for Oppenheimer Asia Ltd. Mr. Wool currently serves as a board member of LifeLine NY, a charity foundation focused on attaining medical equipment for the underprivileged children of Serbia and a board member of CIRSD (Center for International Relations and Sustainable Development), whose mission is to empower youth in communities with the greatest need to reach their full potential and pursue higher education. Mr. Wool is also a board member of the LangLang International Music Foundation.
1
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.
| Dated: December 18, 2023 | DOMINARI HOLDINGS INC. | |
| By: |
/s/ Anthony Hayes | |
| Name: | Anthony Hayes | |
| Title: | Chief Executive Officer | |
2
| This ‘8-K’ Filing | Date | Other Filings | ||
|---|---|---|---|---|
 | ||||
| Filed on: | 12/18/23 | None on these Dates | ||
| For Period end: | 12/13/23 | |||
| List all Filings | ||||