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Kaspien Holdings Inc. – ‘8-K’ for 10/26/22

On:  Tuesday, 11/1/22, at 4:30pm ET   ·   For:  10/26/22   ·   Accession #:  1140361-22-39384   ·   File #:  0-14818

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  As Of               Filer                 Filing    For·On·As Docs:Size             Issuer                      Filing Agent

11/01/22  Kaspien Holdings Inc.             8-K:5      10/26/22   10:155K                                   Broadridge Fin’l So… Inc

Current Report   —   Form 8-K

Filing Table of Contents

Document/Exhibit                   Description                      Pages   Size 

 1: 8-K         Current Report                                      HTML     26K 
 5: R1          Document and Entity Information                     HTML     47K 
 8: XML         IDEA XML File -- Filing Summary                      XML     12K 
 6: XML         XBRL Instance -- brhc10043486_8k_htm                 XML     15K 
 7: EXCEL       IDEA Workbook of Financial Reports                  XLSX      8K 
 3: EX-101.LAB  XBRL Labels -- kspn-20221026_lab                     XML     63K 
 4: EX-101.PRE  XBRL Presentations -- kspn-20221026_pre              XML     45K 
 2: EX-101.SCH  XBRL Schema -- kspn-20221026                         XSD     14K 
 9: JSON        XBRL Instance as JSON Data -- MetaLinks               13±    19K 
10: ZIP         XBRL Zipped Folder -- 0001140361-22-039384-xbrl      Zip     14K

‘8-K’   —   Current Report

This is an HTML Document rendered as filed.  [ Alternative Formats ]

 iX:   C: 
 i false i 0000795212 i NASDAQ00007952122022-10-262022-10-26
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, DC 20549


FORM  i 8-K


CURRENT REPORT
Pursuant to Section 13 or 15(d) of the
Securities Exchange Act of 1934

Date of report (Date of earliest event reported):  i October 26, 2022


 i Kaspien Holdings Inc.
(Exact Name of Registrant as Specified in Charter)


 i New York
  
 i 0-14818
  
 i 14-1541629
(State or Other Jurisdiction of Incorporation)
  
(Commission File Number)
  
(I.R.S. Employer Identification No.)

 i 2818 N. Sullivan Rd.  i Ste 130
 i Spokane Valley,  i WA  i 99216

(Address of Principal Executive Offices, and Zip Code)

( i 855)  i 300-2710


Registrant’s Telephone Number, Including Area Code

 (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 of the registrant under any of the following provisions (see General Instruction A.2. below):

  i ☐
Written communication 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 communication pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))


 i ☐
Pre-commencement communication pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))

Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (17 CFR §230.405) or Rule 12b-2 of the Securities Exchange Act of 1934 (17 CFR §240.12b-2).

Emerging growth company  i ☐

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. ☐

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 shares, $0.01 par value per share
 i KSPN
NASDAQ Stock Market

Item 5.02.
Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers.

On October 26, 2022, the board of directors (the “Board”) of Kaspien Holdings Inc. (the “Company”) appointed Mark Holliday as a director of the Company for the term expiring at the Company’s 2023 Annual Meeting of Shareholders Meeting and appointed Mr. Holliday to the Audit, Compensation and Nominating and Governance Committees of the Board.

There are no arrangements or understandings between Mr. Holliday and any other person, pursuant to which Mr. Holliday was appointed to the Board. Further, there are no transactions involving Mr. Holliday that require disclosure pursuant to Item 404(a) of Regulation S-K.

In connection with his appointment, Mr. Holliday was granted the same compensation as the other non-employee directors. As such, he is entitled to receive (i) an annual retainer of $50,000 and (ii) an annual equity grant of the lesser of (x) a restricted stock award of the Company’s Class A Common Stock equal to the value of $75,000 or (y) 15,000 restricted stock units, in each case prorated as a result of Mr. Holliday joining the Board following the Annual Meeting of Shareholders in the current fiscal year.

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: November 1, 2022
Kaspien Holding Inc.
     
 
By:
/s/ Edwin Sapienza
  
   
Name: Edwin Sapienza
   
Title: Chief Financial Officer


Dates Referenced Herein

This ‘8-K’ Filing    Date    Other Filings
Filed on:11/1/22None on these Dates
For Period end:10/26/22
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Filing Submission 0001140361-22-039384   –   Alternative Formats (Word / Rich Text, HTML, Plain Text, et al.)
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