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UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

WASHINGTON, D.C. 20549

 

FORM 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) October 4, 2022 (September 29, 2022)

 

SOLUNA HOLDINGS, INC.

(Exact name of registrant as specified in its charter)

 

Nevada   001-40261   14-1462255
(State or other jurisdiction
of Incorporation)		   (Commission
File Number)		   (IRS Employer
Identification Number)

 

325 Washington Avenue Extension

Albany, New York

   12205
(Address of registrant's principal executive office)   (Zip code)

 

(518) 218-2550

(Registrant's telephone number, including area code)

 

N/A

(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):

 

  ☐ Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)

 

  ☐ Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)

 

  ☐ Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))

 

  ☐ 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

Common Stock, par value

$0.001 per share

  

SLNH

   The Nasdaq Stock Market LLC
9.0% Series A Cumulative Perpetual Preferred Stock, par value $0.001 per share   SLNHP   The Nasdaq Stock Market LLC

 

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

 

Emerging growth company ☐

 

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 5.07.Submission of Matters to a Vote of Security Holders.

 

On Thursday, September 29, 2022, Soluna Holdings, Inc. (the “Company”) held a special meeting of its stockholders (the “Special Meeting”) at which a quorum was present. The matters voted upon at the Special Meeting and the results of such voting are set forth below.

 Proposal One: Approval of issuance of shares of common stock of the Company, par value $0.001 per share (the “Common Stock”) issuable upon the conversion of certain convertible notes and the exercise of certain warrants. This proposal received the following votes:

Votes
For		   Votes
Against		     Abstain     Broker
Non-Votes		  
  5,961,656   204,054 135,792             -    
                                   

 

Proposal Two: Approval of issuance of shares of Common Stock issuable upon the conversion of the Company’s Series B Convertible Preferred Stock and the exercise of certain warrants. This proposal received the following votes:

Votes
For		   Votes
Against		     Abstain     Broker
Non-Votes		  
  5,964,249   201,158              136,095             -    
                                     

 

Item 9.01.Financial Statements and Exhibits

 

(d) Exhibits

 

Exhibit No. Description  
     
104 Cover Page Interactive Data File (embedded within the Inline XBRL document)
     

 

  

 

  

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.

 

Date: October 4, 2022 SOLUNA HOLDINGS, INC.  
       
  By:  /s/ Philip F. Patman, Jr.  
   

Name: Philip F. Patman, Jr.

Title: Chief Financial Officer

  

 

 

 

 

 

 

 

  

 

 

 

 

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