Form 8-K
8-K — Dominari Holdings Inc.
Accession: 0001437749-26-027806
Filed: 2026-08-14
Period: 2026-08-13
CIK: 0000012239
SIC: 6211 (SECURITY BROKERS, DEALERS & FLOTATION COMPANIES)
Item: Entry into a Material Definitive Agreement
Item: Financial Statements and Exhibits
Documents
8-K — domh20260813_8k.htm (Primary)
EX-10.1 — EXHIBIT 10.1 (ex_1004944.htm)
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8-K — FORM 8-K
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2026-08-13
2026-08-13
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 8-K
CURRENT REPORT
Pursuant to Section 13 or Section 15(d)
of the Securities Exchange Act of 1934
Date of Report (Date of earliest event reported): August 13, 2026
Dominari Holdings Inc.
(Exact name of registrant as specified in its charter)
Delaware
001-41845
52-0849320
(State or other jurisdiction
of incorporation)
(Commission File Number)
(IRS Employer
Identification No.)
725 5th Avenue, 22nd Floor
New York, NY 10022
(212) 393-4540
(Address, including Zip Code and Telephone Number, including
Area Code, of Principal Executive Offices)
Not Applicable
(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 to the registrant under any of the following provisions:
☐
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, $0.0001 par value
DOMH
The Nasdaq Capital 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 1.01. Entry into a Material Definitive Agreement.
On August 13, 2026, Dominari Holdings Inc. (the “Company”), a Delaware corporation, in a successful effort to reduce market overhang from outstanding warrants, entered into inducement agreements (the “Inducement Agreements”) with certain holders (the “Holders”) of Series A warrants (the “Series A Warrants”) of the Company to purchase up to an aggregate of 3,124,690 shares of the Company’s Common Stock, par value $0.0001 per share (“Common Stock”), originally issued to the Holders in connection with the Company’s previous originally issued to the Holders on February 14, 2025, having an original exercise price of $3.72 per share (the “Existing Warrants”). The shares of Common Stock issuable upon exercise of the Existing Warrants are registered for resale pursuant to an effective registration statement on Form S-3 (No. 333-286648) previously filed with the U.S. Securities and Exchange Commission (“SEC”) on April 21, 2025, and declared effective by the SEC on April 25, 2025.
Pursuant to the Inducement Agreements, the Holders were offered options to either (A) on or prior to 4 p.m. ET on September 11, 2026, exercise for cash all (but not less than all) of their Existing Warrants at a reduced exercise price of $2.20 per share (“Option A”) or (B) exchange all, but not less than all, of such Holder’s unexercised Existing Warrants for shares of Common Stock at an exchange ratio of 5:1, such that for every five shares of Common Stock underlying the exchanged Series A Warrants, the Company would issue one share of Common Stock (the “Exchange Shares”) for no additional consideration (“Option B”). The Exchange Shares were issued in reliance upon the exemption from registration provided by Section 3(a)(9) of the Securities Act of 1933, as amended.
The Company expects to receive gross proceeds of approximately $2.9 million pursuant to Option A elections by Holders and expects to issue approximately 115,000 shares of Common Stock pursuant to Option B elections by Holders. Following entry into the Inducement Agreements and consummation of the related issuances and payments, the Company expects there to be approximately 1.2 million unexercised Series A Warrants outstanding.
The foregoing summaries of the Inducement Agreements do not purport to be complete and are subject to, and qualified in their entirety by, the form of such document attached as Exhibits 10.1 to this Current Report on Form 8-K, which are incorporated herein by reference.
Item 9.01. Financial Statements and Exhibits.
(d) Exhibits
Exhibit
Description
10.1
Form of Inducement Agreement.
104
Cover Page Interactive Data File (formatted as Inline XBRL)
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: August 13, 2026
DOMINARI HOLDINGS INC.
By:
/s/ Anthony Hayes
Name:
Anthony Hayes
Title:
Chief Executive Officer
2
EX-10.1 — EXHIBIT 10.1
EX-10.1
Filename: ex_1004944.htm · Sequence: 2
ex_1004944.htm
Exhibit 10.1
DOMINARI HOLDINGS INC.
August 11, 2026
Holder of Common Stock Purchase Warrants
Re:
Inducement Offer to Exercise and/or Exchange Series A Common Stock Purchase Warrants
Dear Holder:
Dominari Holdings Inc. (the “Company”) is pleased to offer to you (“Holder”, “you” or similar terminology) the opportunities set forth below with respect to outstanding Series A Common Stock Purchase Warrants issued to the Holder by the Company on February 14, 2025 (the “Series A Warrants” or the “Warrants” and the shares underlying the Series A Warrants, the “Series A Warrant Shares” or the “Warrant Shares”). Capitalized terms used and not otherwise defined herein that are defined in the Warrants.
(A)
In consideration for the cash exercise of all (but not less than all) Series A Warrants on or before 4 p.m. ET on September 11, 2026 (such date and time, the “Exercise Time”)), the Exercise Price of such Warrants shall be reduced to $2.20. Your election to exercise the rights under this Clause A may be facilitated by the execution of this Agreement prior to such date (and acknowledgement of exercise thereon) or the delivery of a duly executed Notice of Exercise prior to the Exercise Time. In the event that the Holder elects this clause (A) and does not deliver a Notice of Exercise prior to the Exercise Time, the Warrant shall be deemed surrendered to the Company, null and void and no longer of any force or effect.
(B)
The Holder shall have the right to exchange all (but not less than all) of such unexercised Series A Warrants for shares of Common Stock for no additional consideration. The exchange ratio shall be 5:1 such that for each five (5) Warrant Shares being exchanged, the Company shall issue one (1) shares of Common Stock (“Exchange Shares”). The Exchange Shares shall be issued hereunder in accordance with Section 3(a)(9) of the Securities Act and as such the holding period of the Exchange Shares may be tacked on to the holding period of the Series A Warrants and be freely tradeable pursuant to Rule 144.
The Holder must accept clause (A) or clause (B) on or before Thursday, August 13, 2026 offer by signing this letter agreement below, with such acceptance constituting Holder’s irrevocable election on or before 4:00 p.m., Eastern Time, on September 11, 2026 (the “Election Time”). If no election is made or before the Election Time, no adjustments shall be made and the Holder’s Warrant shall continue without reduction of Exercise Price, modification or adjustment.
Following the Election Time the Company shall issue a press release disclosing the material terms of the transactions contemplated hereby and/or shall file a Current Report on Form 8-K with the Commission disclosing all material terms of the transactions contemplated hereunder.
This letter agreement shall be construed and enforced in accordance with the laws of the State of New York, without regards to conflicts of laws principles. Each party hereby irrevocably submits to the exclusive jurisdiction of the state and federal courts sitting in the City of New York, Borough of Manhattan for the adjudication of any dispute hereunder or in connection herewith or with any transaction contemplated hereby.
Sincerely yours,
DOMINARI HOLDING INC.
By:
Name:
Title:
Accepted and Agreed to:
Name of Holder: ________________________________________________________
Signature of Authorized Signatory of Holder: _________________________________
Name of Authorized Signatory: _______________________________________________
Title of Authorized Signatory: ________________________________________________
Number of Series A Warrants: _________________
Option A Elected: ___________________
Warrant Shares Exercised: ______________________
Option B Elected: ____________________
DTC Instructions:
[Holder signature page to DOMH Inducement Offer]
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