Current Report Filing (8-k)
August 27 2020 - 4:53PM
Edgar (US Regulatory)
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, DC 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):
August 25, 2020
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(Exact name of registrant as specified in charter)
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Delaware
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333-198772
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90-0998139
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(State or other Jurisdiction
of Incorporation)
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(Commission File Number)
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(IRS Employer
Identification No.)
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200 East Campus View Blvd., Ste. 200, Columbus, OH
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43235
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(Address of Principal Executive Offices)
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(Zip Code)
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Registrant's telephone number, including
area code: (305) 704-3294
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(Former name or former address, if changed since last report)
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Check the appropriate box below if the Form
8-K filing is intended to simultaneously satisfy the filing obligation of Company under any of the following provisions:
o Written
communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)
o Soliciting
material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12(b))
o Pre-commencement
communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))
o 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
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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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Indicate by check mark whether the registrant
is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (17 CFR §230.405) or Rule 12b-2 of the
Securities Exchange Act of 1934 (17 CFR §240.12b-2). 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. ☐
As used in this Current Report on Form 8-K,
and unless otherwise indicated, the terms “the Company,” “Alpha,” “we,”
“us” and “our” refer to Alpha Investment, Inc. and its subsidiaries.
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Item 5.02
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Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers;
Compensatory Arrangements of Certain Officers.
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On April 25, 2020, Timothy R. Fussell Ph.D.
resigned as Chairman of the Board and President of the Company, effective at the close of business on August 28, 2020. Dr. Fussell
believed it was in Alpha’s best interest for him to step down in order to avoid potential future conflicts of interest between
Dr. Fussell’s outside business interests and the Company’s lending platform.
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 27, 2020
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ALPHA INVESTMENT, INC.
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By:
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/s/ Todd C. Buxton
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Todd C. Buxton, Chief Executive Officer
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2
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