UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
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FORM 8-K
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CURRENT REPORT
PURSUANT TO SECTION 13 OR 15(D) OF THE
SECURITIES EXCHANGE ACT OF 1934
DATE OF REPORT (DATE OF EARLIEST EVENT REPORTED) December 27, 2019
Alpine 4 Technologies Ltd.
(EXACT NAME OF REGISTRANT AS SPECIFIED IN CHARTER)
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Delaware
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000-55205
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46-5482689
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(STATE OR OTHER JURISDICTION OF INCORPORATION OR ORGANIZATION)
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(COMMISSION FILE NO.)
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(IRS EMPLOYEE IDENTIFICATION NO.)
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2525 E Arizona Biltmore Circle, Suite 237
Phoenix, AZ
(ADDRESS OF PRINCIPAL EXECUTIVE OFFICES)
480-702-2431
(ISSUER TELEPHONE NUMBER)
(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
[ ] Soliciting material pursuant to Rule 14a-12 under the Exchange Act
[ ] Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act
[ ] Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act
Securities registered pursuant to Section 12(b) of the Act:
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Title of each class
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Trading Symbol(s)
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Name of each exchange on which registered
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None
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N/A
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N/A
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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). Emerging growth company [X]
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. [X]
Item 8.01 Other Events.
Item 7.01 Regulation FD Disclosure.
Agreement with Investment Advisory Firm
Alpine 4 Technologies Ltd., a Delaware corporation (the “Company”), announced that on December 27, 2019,
the Company entered into an agreement with a New York-based investment bank/broker dealer (the “Advisor”). Pursuant to the agreement, the Advisor agreed to serve as a financial advisor, placement agent, and investment banker for the Company in
connection with the Company’s previously announced plans to seek to uplist to a national securities exchange. The Advisor will work with the Company to provide capital raising advice, strategic planning, and other financial services.
The Company agreed to pay to Advisor a cash placement fee (the “Placement Agent’s Closing Fee”) equal to
10% of funds brought into the Company by the Advisor, and 7.5% of funds brought into the Company by another firm with which the Company had a prior relationship. The Company paid a $12,000 cash advance to the Advisor upon execution of the agreement.
The Company and the Advisor agreed that any Placement Agent’s Closing Fee would be paid at the closing of each offering from the gross proceeds of the securities sold in that offering.
The Company will provide additional information relating to its plans for the uplisting as required.
The information provided in this Item 7.01 shall be deemed to be “furnished,” and not be deemed to be
“filed” for purposes of Section 18 of the Securities Exchange Act of 1934, as amended, or otherwise subject to the liabilities of that section, pursuant to Instruction B.2 of Form 8-K.
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.
Alpine 4 Technologies Ltd.
By: /s/ Kent B. Wilson
Kent B. Wilson
Chief Executive Officer, President
(Principal Executive Officer)
Date: January 3, 2020