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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) November 4, 2021

 

Alpine 4 Holdings, Inc.

(EXACT NAME OF REGISTRANT AS SPECIFIED IN CHARTER)

 

 

 

 

 

 

Delaware

 

000-55205

 

46-5482689

(STATE OR OTHER JURISDICTION
OF INCORPORATION OR
ORGANIZATION)

 

(COMMISSION FILE NO.)

 

(IRS EMPLOYEE
IDENTIFICATION NO.)

 

2525 E Arizona Biltmore Circle, Suite 237

Phoenix, AZ

85016

(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:

 

Title of each class

Trading Symbol(s)

Name of each exchange on which registered

Class A Common Stock

ALPP

The Nasdaq Stock 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). 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 8.01 Other Events. 

Item 7.01 Regulation FD Disclosure. 

 

CEO Letter

 

On November 4, 2021, Alpine 4 Holdings, Inc., a Delaware corporation (the “Company”), issued a press release in connection with the filing of the Company’s Quarterly Report on Form 10-Q for the period ended September 30, 2021. The press release highlighted certain of the results shown in the Company’s quarterly report, and included a letter from Kent Wilson, President and CEO of the Company, to the Company’s shareholders.

 

A copy of the press release is included as Exhibit 99 to this Current Report.

 

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.

 

Item 9.01 Financial Statement and Exhibits. 

 

(d)Exhibits. 

 

Exhibit Number

 

Description

99.1

  

Press Release dated November 4, 2021

 

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 Holdings, Inc.

 

 

 

 

 

By:

/s/ Kent B. Wilson

 

 

Kent B. Wilson

 

 

Chief Executive Officer, President

 

 

(Principal Executive Officer)

 

 

 

 

Date: November 4, 2021

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