SEC Info - Malone Michael - ‘4’ for 1/6/22 re: SRAX, Inc.

FORM 4

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940

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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).

1. Name and Address of Reporting Person^*

Malone Michael

(Last)

(First)

(Middle)

2629 TOWNSGATE ROAD #215

(Street)

WESTLAKE VILLAGE

91361

(City)

(State)

(Zip)

2. Issuer Name and Ticker or Trading Symbol
SRAX, Inc. [ SRAX ]

5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)

	Director	10% Owner
X	Officer (give title below)	Other (specify below)
Chief Financial Officer

3. Date of Earliest Transaction (Month/Day/Year)
1/6/22

4. If Amendment, Date of Original Filed (Month/Day/Year)

6. Individual or Joint/Group Filing (Check Applicable Line)

X	Form filed by One Reporting Person
	Form filed by More than One Reporting Person

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3)	2. Transaction Date (Month/Day/Year)	2A. Deemed Execution Date, if any (Month/Day/Year)	3. Transaction Code (Instr. 8)		4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5)			5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)	6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	7. Nature of Indirect Beneficial Ownership (Instr. 4)
1. Title of Security (Instr. 3)	2. Transaction Date (Month/Day/Year)	2A. Deemed Execution Date, if any (Month/Day/Year)	Code	V	Amount	(A) or (D)	Price		6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	7. Nature of Indirect Beneficial Ownership (Instr. 4)
Class A Common Stock ⁽¹⁾	12/31/21		M		100,000	A	$2.56	101,292	D
Class A Common Stock ⁽²⁾	12/31/21		F		57,016	D	$4.49	44,276 ⁽⁴⁾	D
Class A Common Stock ⁽³⁾	12/31/21		F		16,732	D	$4.49	27,544 ⁽⁴⁾	D
Series A Non-Voting Preferred Stock ⁽⁵⁾	9/27/21		J		1,292	A	$0.00	1,292	D

Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3)	2. Conversion or Exercise Price of Derivative Security	3. Transaction Date (Month/Day/Year)	3A. Deemed Execution Date, if any (Month/Day/Year)	4. Transaction Code (Instr. 8)		5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)		6. Date Exercisable and Expiration Date (Month/Day/Year)		7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4)		8. Price of Derivative Security (Instr. 5)	9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)	10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	11. Nature of Indirect Beneficial Ownership (Instr. 4)
1. Title of Derivative Security (Instr. 3)	2. Conversion or Exercise Price of Derivative Security	3. Transaction Date (Month/Day/Year)	3A. Deemed Execution Date, if any (Month/Day/Year)	Code	V	(A)	(D)	Date Exercisable	Expiration Date	Title	Amount or Number of Shares	8. Price of Derivative Security (Instr. 5)		10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	11. Nature of Indirect Beneficial Ownership (Instr. 4)
Class A Common Stock Purchase Option ⁽⁶⁾	$4.25	1/6/22		A		100,000		1/6/22	1/6/29	Class A Common Stock	100,000	$0.00	100,000	D
Class A Common Stock Purchase Option ⁽⁷⁾	$2.56	12/15/18		M			100,000	12/15/18	1/2/22	Class A common Stock	100,000	$0.00	0	D

Explanation of Responses:

(1) Represents exercise of option granted on December 15, 2018 ("2018 Option"). The 2018 Option was exercised on a cashless basis with shares withheld by the Issuer for tax withholding.

(2) Represents shares withheld pursuant to cashless exercise of the 2018 Option.

(3) Represents shares withheld for tax withholding pursuant to exercise of 2018 Option.

(4) Includes 1,292 shares of Class A Common Stock owned by Reporting Person prior to the exercise of the 2018 Option.

(5) Represents securities acquired as a result of a dividend on the Class A Common Stock issued on September 27, 2021.

(6) Represents discretionary stock option bonus grant received by Reporting Person. The options vest quarterly in equal quarterly installments over a three year period beginning on 1/6/22.

(7) Represents exercise of the 2018 Option.

	/s/ Michael Malone	2/4/22
	** Signature of Reporting Person	Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 4 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.

____________ Transaction Codes:
A	Grant, award or other acquisition pursuant to Rule 16b-3(d).
F	Payment of exercise price or tax liability by delivering or withholding securities incident to the receipt, exercise or vesting of a security issued in accordance with Rule 16b-3.
J	Other acquisition or disposition.
M	Exercise or conversion of derivative security exempted pursuant to Rule 16b-3.

Malone Michael – ‘4’ for 1/6/22 re: SRAX, Inc.

On: Friday, 2/4/22, at 8:43pm ET · For: 1/6/22 · Accession #: 1493152-22-3318 · File #: 1-37916

Previous ‘4’: ‘4’ on 7/3/18 for 6/29/18 · Latest ‘4’: This Filing

Statement of Changes in Beneficial Ownership of Securities by an Insider — Form 4 — SEA’34
Filing Table of Contents

This ‘4’ Document is an XML Data File that may be rendered in various formats:

Malone Michael – ‘4’ for 1/6/22 re: SRAX, Inc.

On: Friday, 2/4/22, at 8:43pm ET · For: 1/6/22 · Accession #: 1493152-22-3318 · File #: 1-37916

Previous ‘4’: ‘4’ on 7/3/18 for 6/29/18 · Latest ‘4’: This Filing

Statement of Changes in Beneficial Ownership of Securities by an Insider — Form 4 — SEA’34Filing Table of Contents

This ‘4’ Document is an XML Data File that may be rendered in various formats:

Statement of Changes in Beneficial Ownership of Securities by an Insider — Form 4 — SEA’34
Filing Table of Contents