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SEC Filings
All companies that sell securities in the United States must register with the Securities and Exchange Commission (SEC) and file reports on a regular basis.
These reports include company annual reports (10K, 10Q), news updates (8K), investor presentations (found in 8Ks), insider trades (form 4), ownership reports (13D, and 13G), and reports related to the specific securities sold, such as registration statements and prospectus. This page shows recent SEC filings related to Grom Social Enterprises, Inc.
SEC Filings (Chronological Order)
Halaman ini menyediakan daftar lengkap dan kronologis dari Pengajuan SEC, tidak termasuk pengajuan kepemilikan yang kami sediakan di tempat lain.
| August 27, 2024 |
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): August 19, 2024 GROM SOCIAL ENTERPRISES, INC. (Exact name of registrant as specified in its charter) Florida 001-40409 46-5542401 (State or other jurisdiction of incorporation) (Commi |
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| August 15, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 12b-25 NOTIFICATION OF LATE FILING (Check one): ☐ Form 10-K ☐ Form 20-F ☐ Form 11-K ☒ Form 10-Q Form 10-D ☐ Form N-SAR ☐ Form N-CSR For Period Ended: June 30, 2024 ☐ Transition Report on Form 10-K ☐ Transition Report on Form 20-F ☐ Transition Report on Form 11-K ☐ Transition Report on Form 10-Q ☐ Transition Report on Form |
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| July 25, 2024 |
As filed with the Securities and Exchange Commission on July 25, 2024 Table of Contents As filed with the Securities and Exchange Commission on July 25, 2024 Registration No. |
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| July 25, 2024 |
Exhibit 107 Calculation of Filing Fee Tables S-1 (Form Type) Grom Social Enterprises, Inc (Exact Name of Registrant as Specified in its Charter) Table 1: Newly Registered and Carry Forward Securities Security Type Security Class Title Fee Calculation or Carry Forward Rule Amount Registered Proposed Maximum Offering Price Per Unit Maximum Aggregate Offering Price (1)(2) Fee Rate Amount of Registration Fee Carry Forward Form Type Carry Forward File Number Carry Forward Initial Effective Date Filing Fee Previously Paid in Connection with Unsold Securities to be Carried Forward Newly Registered Securities Fees to be Paid Equity Units consisting of: (3) 457(o) — — $4,600,000 $0. |
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| July 22, 2024 |
Exhibit 10.1 July 18, 2024 Sent via Email Generating Alpha Ltd. Attention: Dave Martin Re: Grom Social Enterprises, Inc., a Florida corporation (“we” or the “Company”) Financing Waiver Dear Dave, Reference is made to (i) that certain Securities Purchase Agreement by and between the Company and Generating Alpha Ltd., a Saint Kitts and Nevis corporation (“Generating Alpha”) dated as of November 9, 2 |
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| July 22, 2024 |
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): July 18, 2024 GROM SOCIAL ENTERPRISES, INC. (Exact name of registrant as specified in its charter) Florida 001-40409 46-5542401 (State or other jurisdiction of incorporation) (Commiss |
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| June 28, 2024 |
GROM / Grom Social Enterprises, Inc. / Ionic Ventures, LLC - SC 13G/A Passive Investment SC 13G/A 1 g084311sc13g.htm SC 13G/A SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G/A Under the Securities Exchange Act of 1934 (Amendment No. 2)* Grom Social Enterprises, Inc. (Name of Issuer) Common Stock, par value $0.001 per share (Title of Class of Securities) 39878L506 (CUSIP Number) June 28, 2024 (Date of Event which Requires Filing of this Statement) Check the appro |
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| May 21, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14C Information Statement Pursuant to Section 14(c) of the Securities Exchange Act of 1934 Check the appropriate box: ☐ Preliminary Information Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14c-5(d)(2)) ☒ Definitive Information Statement GROM SOCIAL ENTERPRISES, INC. (Name of Registran |
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| May 20, 2024 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2024 ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT For the transition period from to Commission File Number: 001-40409 Grom Social E |
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| May 15, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 12b-25 NOTIFICATION OF LATE FILING (Check one): ☐ Form 10-K ☐ Form 20-F ☐ Form 11-K ☒ Form 10-Q Form 10-D ☐ Form N-SAR ☐ Form N-CSR For Period Ended: March 31, 2024 ☐ Transition Report on Form 10-K ☐ Transition Report on Form 20-F ☐ Transition Report on Form 11-K ☐ Transition Report on Form 10-Q ☐ Transition Report on For |
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| May 9, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14C Information Statement Pursuant to Section 14(c) of the Securities Exchange Act of 1934 Check the appropriate box: ☒ Preliminary Information Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14c-5(d)(2)) ☐ Definitive Information Statement GROM SOCIAL ENTERPRISES, INC. (Name of Registran |
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| April 24, 2024 |
Exhibit 10.3 FIRST AMENDMENT TO CONVERTIBLE PROMISSORY NOTE This FIRST AMENDMENT TO CONVERTIBLE PROMISSORY NOTE (the “Amendment”) is dated effective as of April 24, 2024 (the “Amendment Effective Date”), by and among Grom Social Enterprises, Inc., a Florida corporation (the “Company”) and Generating Alpha Ltd., a Saint Kitts and Nevis corporation (the “Buyer,” and together with the Company, the “P |
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| April 24, 2024 |
Entry into a Material Definitive Agreement, Financial Statements and Exhibits 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): April 24, 2024 GROM SOCIAL ENTERPRISES, INC. (Exact name of registrant as specified in its charter) Florida 001-40409 46-5542401 (State or other jurisdiction of incorporation) (Commis |
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| April 24, 2024 |
Exhibit 10.2 FIRST AMENDMENT TO SECURITIES PURCHASE AGREEMENT This FIRST AMENDMENT TO SECURITIES PURCHASE AGREEMENT (this “Amendment”) is dated effective as of April 24, 2024 (the “Amendment Effective Date”), by and among Grom Social Enterprises, Inc., a Florida corporation (the “Company”), and Generating Alpha Ltd., a Saint Kitts and Nevis corporation (the “Buyer,” and together with the Company, |
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| April 24, 2024 |
Exhibit 10.1 OMNIBUS AMENDMENT AGREEMENT NO. 1 This Omnibus Amendment Agreement No. 1 (this “Amendment”), dated as of April 24, 2024, by and between (i) Grom Social Enterprises, Inc., a corporation incorporated under the laws of the State of Florida (the "Company") and (ii) Generating Alpha Ltd., a Saint Kitts and Nevis company (the “Holder”). WHEREAS: A. The Company and the Holder executed that c |
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| April 16, 2024 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2023 ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT For the transition period from to Commission File Number: 001-40409 Grom Social Enterp |
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| April 5, 2024 |
Form of Common Stock Purchase Warrant issued to Generating Alpha Ltd. Exhibit 10.3 COMMON STOCK PURCHASE WARRANT Grom Social Enterprises, Inc. Warrnt Shares: 962,962, subject to adjustment as set forth herein. Issuance Date: April 1, 2024 THIS COMMON STOCK PURCHASE WARRANT (the “Warrant”) certifies that, for value received, Generating Alpha Ltd., or its registered assigns (the “Holder”) is entitled, upon the terms and subject to the limitations on exercise and the c |
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| April 5, 2024 |
Exhibit 9.1 VOTING AGREEMENT Dated as of April 1, 2024 This Voting Agreement, dated as of the date first set forth above (this “Agreement”), is entered into by and between Generating Alpha Ltd., a Saint Kitts and Nevis corporation (“Buyer”), Grom Social Enterprises, Inc., a Florida corporation (the “Company”), and each of the shareholders of the Company whose names appear on the signature pages of |
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| April 5, 2024 |
Exhibit 10.4 Registration Rights Agreement This Registration Rights Agreement (this “Agreement”) is made and entered into as of April 1, 2024 (the “Effective Date”), between Grom Social Enterprises, Inc., a Florida corporation (the “Company”), and Generating Alpha Ltd., a Saint Kitts and Nevis corporation (“Buyer”). The Company and the Buyer may be referred to herein individually as a “Party” and |
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| April 5, 2024 |
Exhibit 10.1 THE PLACEMENT AGENT FOR THIS SECURITIES PURCHASE AGREEMENT IS EF HUTTON, A DIVISION OF BENCHMARK INVESTMENTS, LLC, A BROKER - DEALER REGISTERED WITH THE U.S. SECURITIES AND EXCHANGE COMMISSION AND IS A MEMBER OF FINRA THIS AGREEMENT CONTAINS AN AFFIDAVIT OF CONFESSION OF JUDGMENT PROVISION WHICH CONSTITUTES A WAIVER OF IMPORTANT RIGHTS THE COMPANY (AS DEFINED BELOW) MAY HAVE AND ALLOW |
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| April 5, 2024 |
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): April 1, 2024 GROM SOCIAL ENTERPRISES, INC. (Exact name of registrant as specified in its charter) Florida 001-40409 46-5542401 (State or other jurisdiction of incorporation) (Commiss |
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| April 5, 2024 |
Form of $650,000 Principal Amount, 20% Original Issue Discount Note issued to Generating Alpha Ltd. Exhibit 10.2 THE PLACEMENT AGENT FOR THIS SECURITIES PURCHASE AGREEMENT IS EF HUTTON LLC, A BROKER - DEALER REGISTERED WITH THE U.S. SECURITIES AND EXCHANGE COMMISSION AND IS A MEMBER OF FINRA THIS NOTE CONTAINS AN AFFIDAVIT OF CONFESSION OF JUDGMENT PROVISION WHICH CONSTITUTES A WAIVER OF IMPORTANT RIGHTS BORROWER MAY HAVE AND ALLOWS THE INVESTOR TO OBTAIN A JUDGMENT AGAINST BORROWER WITHOUT ANY |
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| April 1, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SEC File Number 001-40409 CUSIP Number 39878L 506 FORM 12b-25 NOTIFICATION OF LATE FILING (Check one): ☒ Form 10-K ☐ Form 20-F ☐ Form 11-K ☐ Form 10-Q Form 10-D ☐ Form N-SAR ☐ Form N-CSR For Period Ended: December 31, 2023 ☐ Transition Report on Form 10-K ☐ Transition Report on Form 20-F ☐ Transition Report on Form 11-K ☐ Tran |
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| March 15, 2024 |
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): March 11, 2024 GROM SOCIAL ENTERPRISES, INC. (Exact name of registrant as specified in its charter) Florida 001-40409 46-5542401 (State or other jurisdiction of incorporation) (Commis |
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| March 15, 2024 |
Exhibit 10.1 SECOND AMENDMENT TO SECURITIES PURCHASE AGREEMENT This SECOND AMENDMENT TO SECURITIES PURCHASE AGREEMENT (this “Amendment”) is dated effective as of March 11, 2024 (the “Amendment Effective Date”), by and among Grom Social Enterprises, Inc., a Florida corporation (the “Company”), and Generating Alpha Ltd., a Saint Kitts and Nevis corporation (the “Buyer,” and together with the Company |
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| March 15, 2024 |
Exhibit 10.3 STOCK PURCHASE AGREEMENT This STOCK PURCHASE AGREEMENT is dated as of the 11th day of March 2024 (the “Agreement”) between Generating Alpha Ltd., a Saint Kitts and Nevis Company (the “Investor”), and Grom Social Enterprises, Inc., a Florida corporation (the “Company”). WHEREAS, the parties desire that, upon the terms and subject to the conditions contained herein, the Company shall is |
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| March 15, 2024 |
Exhibit 10.2 FIRST AMENDMENT TO CONVERTIBLE PROMISSORY NOTE This FIRST AMENDMENT TO CONVERTIBLE PROMISSORY NOTE (the “Amendment”) is dated effective as of March 11, 2024 (the “Amendment Effective Date”), by and among Grom Social Enterprises, Inc., a Florida corporation (the “Company”) and Generating Alpha Ltd., a Saint Kitts and Nevis corporation (the “Buyer,” and together with the Company, the “P |
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| March 15, 2024 |
Exhibit 10.5 REGISTRATION RIGHTS AGREEMENT This Registration Rights Agreement (the “Agreement”), dated as of March 11, 2024 (the “Execution Date”), is entered into by and between Grom Social Enterprises, Inc. a Florida corporation (the “Company”), and Generating Alpha Ltd., a Saint Kitts and Nevis Company (the “Investor”). RECITALS: WHEREAS, pursuant to the Stock Purchase Agreement entered into by |
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| March 15, 2024 |
Common Stock Purchase Warrant, dated March 11, 2024, issued to Generating Alpha Ltd. Exhibit 10.4 FORM OF COMMON STOCK PURCHASE WARRANT Grom Social Enterprises, Inc. Warrant Shares: 2,314,814, subject to adjustment as set forth herein. Issuance Date: March 11, 2024 THIS COMMON STOCK PURCHASE WARRANT (the “Warrant”) certifies that, for value received, Generating Alpha Ltd., or its registered assigns (the “Holder”) is entitled, upon the terms and subject to the limitations on exerci |
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| March 7, 2024 |
Exhibit 99.1 GROM SOCIAL ENTERPRISES, INC. TO FURTHER EXPAND ENTERTAINMENT OFFERINGS THROUGH GAMING AS IT ENTERS INTO LETTER OF INTENT TO ACQUIRE LEADING GAMING COMPANY, ARCTIC7 Boca Raton, March 7, 2024 – Grom Social Enterprises, Inc. (NASDAQ: GROM) (“Grom” or the “Company”), a media, technology, and entertainment company dedicated to family-friendly programming, web filtering technology and safe |
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| March 7, 2024 |
Financial Statements and Exhibits, Other Events 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): March 7, 2024 GROM SOCIAL ENTERPRISES, INC. (Exact name of registrant as specified in its charter) Florida 001-40409 46-5542401 (State or other jurisdiction of incorporation) (Commiss |
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| March 6, 2024 |
Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing 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): February 29, 2024 GROM SOCIAL ENTERPRISES, INC. (Exact name of registrant as specified in its charter) Florida 001-40409 46-5542401 (State or other jurisdiction of incorporation) (Com |
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| February 14, 2024 |
US39878L5066 / GROM SOCIAL ENTE / Ionic Ventures, LLC - SC 13G/A Passive Investment SC 13G/A 1 g084052sch13ga.htm SC 13G/A SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G/A Under the Securities Exchange Act of 1934 (Amendment No. 1)* Grom Social Enterprises, Inc. (Name of Issuer) Common Stock, par value $0.001 per share (Title of Class of Securities) 39878L506 (CUSIP Number) December 31, 2023 (Date of Event which Requires Filing of this Statement) Check the |
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| February 13, 2024 |
EX-99.1 2 exhibit99-1.htm JOINT FILING AGREEMENT BY AND AMONG THE REPORTING PERSONS Exhibit 99.1 JOINT FILING AGREEMENT The undersigned hereby agree that a single Schedule 13G (or any amendment thereto) relating to the Common Stock, par value $0.001 per share, of Grom Social Enterprises, Inc. shall be filed on behalf of each of the undersigned and that this Agreement shall be filed as an exhibit t |
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| February 13, 2024 |
US39878L4077 / GROM SOCIAL ENTE / Lind Global Fund II LP Passive Investment SC 13G/A 1 sch13g.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 2)* Grom Social Enterprises, Inc. (Name of Issuer) Common Stock, par value $0.001 per share (Title of Class of Securities) 39878L407 (CUSIP Number) December 31, 2023 (Date of Event which Requires Filing of this Statement) Check the appr |
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| January 3, 2024 |
Grom Social Enterprises, Inc. 2060 NW Boca Raton Blvd., #6 Boca Raton, Florida 33431 January 3, 2024 Grom Social Enterprises, Inc. 2060 NW Boca Raton Blvd., #6 Boca Raton, Florida 33431 January 3, 2024 VIA EDGAR Securities and Exchange Commission Division of Corporation Finance Office of Technology 100 F Street N.E. Washington, D.C. 20549 Attention: Aliya Ishmukhamedova Re: Grom Social Enterprises, Inc. Registration Statement on Form S-1 File No. 333-276285 REQUEST FOR ACCELERATION OF EFFECTIVENE |
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| December 27, 2023 |
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): December 21, 2023 GROM SOCIAL ENTERPRISES, INC. (Exact name of registrant as specified in its charter) Florida 001-40409 46-5542401 (State or other jurisdiction of incorporation) (Com |
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| December 27, 2023 |
EXHIBIT 107 CALCULATION OF FILING FEES TABLE FORM S-1 (Form Type) Grom Social Enterprises, Inc. |
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| December 27, 2023 |
Grom Social Enterprises, Inc. Announces Closing of $4.0 Million Private Placement Exhibit 99.1 Grom Social Enterprises, Inc. Announces Closing of $4.0 Million Private Placement BOCA RATON, Fla., Dec. 21, 2023 (GLOBE NEWSWIRE) - Grom Social Enterprises, Inc. (NASDAQ: GROM; GROMW) (“Grom” or the “Company”), a media, technology and entertainment company dedicated to family-friendly programming, web filtering technology and safe social media for kids, today announced the first clos |
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| December 27, 2023 |
As filed with the Securities and Exchange Commission on December 27, 2023 Table of Contents As filed with the Securities and Exchange Commission on December 27, 2023 Registration No. |
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| December 1, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14C Information Statement Pursuant to Section 14(c) of the Securities Exchange Act of 1934 Check the appropriate box: ☐ Preliminary Information Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14c-5(d)(2)) ☒ Definitive Information Statement GROM SOCIAL ENTERPRISES, INC. (Name of Registran |
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| November 21, 2023 |
Entry into a Material Definitive Agreement, Financial Statements and Exhibits 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 20, 2023 GROM SOCIAL ENTERPRISES, INC. (Exact name of registrant as specified in its charter) Florida 001-40409 46-5542401 (State or other jurisdiction of incorporation) (Com |
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| November 21, 2023 |
Exhibit 10.1 FIRST AMENDMENT TO SECURITIES PURCHASE AGREEMENT This FIRST AMENDMENT TO SECURITIES PURCHASE AGREEMENT (this “Amendment”) is dated effective as of November 20, 2023 (the “Amendment Effective Date”), by and among Grom Social Enterprises, Inc., a Florida corporation (the “Company”), and Generating Alpha Ltd., a Saint Kitts and Nevis corporation (the “Buyer,” and together with the Compan |
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| November 21, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14C Information Statement Pursuant to Section 14(c) of the Securities Exchange Act of 1934 Check the appropriate box: ☒ Preliminary Information Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14c-5(d)(2)) ☐ Definitive Information Statement GROM SOCIAL ENTERPRISES, INC. (Name of Registran |
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| November 20, 2023 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2023 ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT For the transition period from to Commission File Number: 001-40409 Grom Soci |
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| November 15, 2023 |
Form of Common Stock Purchase Warrant issued to Generating Alpha Ltd. Exhibit 10.3 COMMON STOCK PURCHASE WARRANT Grom Social Enterprises, Inc. Warrant Shares: 1,514,073, subject to adjustment as set forth herein. Issuance Date: [], 2023 THIS COMMON STOCK PURCHASE WARRANT (the “Warrant”) certifies that, for value received, Generating Alpha Ltd., or its registered assigns (the “Holder”) is entitled, upon the terms and subject to the limitations on exercise and the con |
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| November 15, 2023 |
Exhibit 9.1 VOTING AGREEMENT Dated as of November 9, 2023 This Voting Agreement, dated as of the date first set forth above (this “Agreement”), is entered into by and between Generating Alpha Ltd., a Saint Kitts and Nevis corporation (“Buyer”), Grom Social Enterprises, Inc., a Florida corporation (the “Company”), and each of the shareholders of the Company whose names appear on the signature pages |
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| November 15, 2023 |
Exhibit 10.4 Registration Rights Agreement This Registration Rights Agreement (this “Agreement”) is made and entered into as of [ ], 2023 (the “Effective Date”), between Grom Social Enterprises, Inc., a Florida corporation (the “Company”), and Generating Alpha Ltd., a Saint Kitts and Nevis corporation (“Buyer”). The Company and the Buyer may be referred to herein individually as a “Party” and coll |
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| November 15, 2023 |
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 9, 2023 GROM SOCIAL ENTERPRISES, INC. (Exact name of registrant as specified in its charter) Florida 001-40409 46-5542401 (State or other jurisdiction of incorporation) (Comm |
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| November 15, 2023 |
Form of $4,000,000 Principal Amount, 9% Original Issue Discount Note issued to Generating Alpha Ltd. Exhibit 10.2 Exhibit A. THE PLACEMENT AGENT FOR THIS SECURITIES PURCHASE AGREEMENT IS EF HUTTON, A DIVISION OF BENCHMARK INVESTMENTS, LLC, A BROKER - DEALER REGISTERED WITH THE U.S. SECURITIES AND EXCHANGE COMMISSION AND IS A MEMBER OF FINRA THIS NOTE CONTAINS AN AFFIDAVIT OF CONFESSION OF JUDGMENT PROVISION WHICH CONSTITUTES A WAIVER OF IMPORTANT RIGHTS BORROWER MAY HAVE AND ALLOWS THE INVESTOR T |
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| November 15, 2023 |
Exhibit 10.1 THE PLACEMENT AGENT FOR THIS SECURITIES PURCHASE AGREEMENT IS EF HUTTON, A DIVISION OF BENCHMARK INVESTMENTS, LLC, A BROKER - DEALER REGISTERED WITH THE U.S. SECURITIES AND EXCHANGE COMMISSION AND IS A MEMBER OF FINRA THIS AGREEMENT CONTAINS AN AFFIDAVIT OF CONFESSION OF JUDGMENT PROVISION WHICH CONSTITUTES A WAIVER OF IMPORTANT RIGHTS THE COMPANY (AS DEFINED BELOW) MAY HAVE AND ALLOW |
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| November 14, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 12b-25 NOTIFICATION OF LATE FILING (Check one): ☐ Form 10-K ☐ Form 20-F ☐ Form 11-K ☒ Form 10-Q Form 10-D ☐ Form N-SAR ☐ Form N-CSR For Period Ended: September 30, 2023 ☐ Transition Report on Form 10-K ☐ Transition Report on Form 20-F ☐ Transition Report on Form 11-K ☐ Transition Report on Form 10-Q ☐ Transition Report on |
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| September 15, 2023 |
GROM / Grom Social Enterprises Inc / Ionic Ventures, LLC - SCHEDULE 13G Passive Investment SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* Grom Social Enterprises, Inc. (Name of Issuer) Common Stock, par value $0.001 per share (Title of Class of Securities) 39878L506 (CUSIP Number) September 12, 2023 (Date of Event which Requires Filing of this Statement) Check the appropriate box to designate the rule pu |
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| September 12, 2023 |
Table of Contents Filed Pursuant to Rule 424(b)(1) Registration No. 333- 273895 946,000 Units Each Unit consisting of: One share of Common Stock One Series A Warrant to purchase one share of Common Stock One Series B Warrant to purchase one share of Common Stock 54,000 Pre-Funded Units Each Pre-Funded Unit consisting of: One Pre-Funded Warrant purchase one share of Common Stock One Series A Warran |
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| September 12, 2023 |
Grom Social Enterprises, Inc. Announces Closing of $3.0 Million Publi Offering Exhibit 99.1 Grom Social Enterprises, Inc. Announces Closing of $3.0 Million Publi Offering Boca Raton, FL – September 12, 2023 – Grom Social Enterprises, Inc. (NASDAQ: GROM; GROMW) (the “Company”), today closed its previously announced underwritten public offering of 946,000 units (the “Units”) at a price to the public of $3.00 per Unit and 54,000 pre-funded units (the “Pre-Funded Units”) at a pr |
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| September 12, 2023 |
Financial Statements and Exhibits, Other Events 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): September 12, 2023 GROM SOCIAL ENTERPRISES, INC. (Exact name of registrant as specified in its charter) Florida 001-40409 46-5542401 (State or other jurisdiction of incorporation) (Co |
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| September 11, 2023 |
Form of Pre-Funded Warrant relating to the September 2023 Offering Exhibit 4.3 PRE-FUNDED COMMON STOCK PURCHASE WARRANT GROM SOCIAL ENTERPRISES, INC. Warrant Shares: Initial Exercise Date: , 2023 THIS PRE-FUNDED COMMON STOCK PURCHASE WARRANT (“Warrant”) certifies that, for value received, or its assigns (the “Holder”) is entitled, upon the terms and subject to the limitations on exercise and the conditions hereinafter set forth, at any time on or after the date h |
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| September 11, 2023 |
Form of Series B Warrant relating to the September 2023 Offering Exhibit 4.2 COMMON STOCK PURCHASE SERIES B WARRANT GROM SOCIAL ENTERPRISES, INC. Warrant Shares: Initial Exercise Date: September 12, 2023 THIS COMMON STOCK PURCHASE SERIES B WARRANT (“Warrant”) certifies that, for value received, or its assigns (the “Holder”) is entitled, upon the terms and subject to the limitations on exercise and the conditions hereinafter set forth, at any time on or after th |
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| September 11, 2023 |
Grom Social Enterprises, Inc. Announces Pricing of $3.0 Million Public Offering Exhibit 99.1 Grom Social Enterprises, Inc. Announces Pricing of $3.0 Million Public Offering Boca Raton, FL – September 8, 2023 – Grom Social Enterprises, Inc. (NASDAQ: GROM; GROMW) (the “Company”), today announced the pricing of a public offering of 946,000 units (the “Units”) at a price to the public of $3.00 per Unit and approximately 54,000 pre-funded units (the “Pre-Funded Units”) at a price |
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| September 11, 2023 |
Form of Series A Warrant relating to the September 2023 Offering Exhibit 4.1 COMMON STOCK PURCHASE SERIES A WARRANT GROM SOCIAL ENTERPRISES, INC. Warrant Shares: Initial Exercise Date: September 12, 2023 THIS COMMON STOCK PURCHASE SERIES A WARRANT (“Warrant”) certifies that, for value received, or its assigns (the “Holder”) is entitled, upon the terms and subject to the limitations on exercise and the conditions hereinafter set forth, at any time on or after th |
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| September 11, 2023 |
Exhibit 1.1 UNDERWRITING AGREEMENT Dated September 7, 2023 Between GROM SOCIAL ENTERPRISES, INC. (a Florida corporation) And EF HUTTON, Division of Benchmark Investments, LLC as Representative of the several Underwriters named on Schedule I attached hereto 1 TABLE OF CONTENTS Article I. DEFINITIONS 3 Article II. PURCHASE AND SALE 9 Article III. REPRESENTATIONS AND WARRANTIES 12 Article IV. OTHER A |
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| September 11, 2023 |
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): September 7, 2023 GROM SOCIAL ENTERPRISES, INC. (Exact name of registrant as specified in its charter) Florida 001-40409 46-5542401 (State or other jurisdiction of incorporation) (Com |
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| September 5, 2023 |
EF Hutton, Division of Benchmark Investments, LLC 590 Madison Avenue 39th Floor New York, New York 10022 September 5, 2023 Securities and Exchange Commission Division of Corporation Finance 100 F Street, N. |
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| September 5, 2023 |
Grom Social Enterprises, Inc. 2060 NW Boca Raton Blvd., #6 Boca Raton, Florida 33431 Grom Social Enterprises, Inc. 2060 NW Boca Raton Blvd., #6 Boca Raton, Florida 33431 September 5, 2023 VIA EDGAR U.S. Securities and Exchange Commission Division of Corporation Finance Office of Technology 100 F Street N.E. Washington, D.C. 20549 Attention: Mr. Austin Pattan Re: Grom Social Enterprises, Inc. Registration Statement on Form S-1 File No. 333-273895 REQUEST FOR ACCELERATION OF EFFECTI |
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| August 25, 2023 |
Form of Underwriting Agreement Exhibit 1.1 UNDERWRITING AGREEMENT Dated [] [], 2023 Between GROM SOCIAL ENTERPRISES, INC. (a Florida corporation) And EF HUTTON, Division of Benchmark Investments, LLC as Representative of the several Underwriters named on Schedule I attached hereto 1 TABLE OF CONTENTS Article I. DEFINITIONS 3 Article II. PURCHASE AND SALE 9 Article III. REPRESENTATIONS AND WARRANTIES 12 Article IV. OTHER AGREEME |
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| August 25, 2023 |
As filed with the Securities and Exchange Commission on August 25, 2023 Table of Contents As filed with the Securities and Exchange Commission on August 25, 2023 Registration No. |
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| August 25, 2023 |
Exhibit 4.11 COMMON STOCK PURCHASE SERIES B WARRANT GROM SOCIAL ENTERPRISES, INC. Warrant Shares: Initial Exercise Date: , 2023 THIS COMMON STOCK PURCHASE SERIES B WARRANT (“Warrant”) certifies that, for value received, or its assigns (the “Holder”) is entitled, upon the terms and subject to the limitations on exercise and the conditions hereinafter set forth, at any time on or after the date here |
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| August 25, 2023 |
Exhibit 4.10 COMMON STOCK PURCHASE SERIES A WARRANT GROM SOCIAL ENTERPRISES, INC. Warrant Shares: Initial Exercise Date: , 2023 THIS COMMON STOCK PURCHASE SERIES A WARRANT (“Warrant”) certifies that, for value received, or its assigns (the “Holder”) is entitled, upon the terms and subject to the limitations on exercise and the conditions hereinafter set forth, at any time on or after the date here |
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| August 25, 2023 |
Form of Pre-Funded Common Stock Purchase Warrant Exhibit 4.12 PRE-FUNDED COMMON STOCK PURCHASE WARRANT GROM SOCIAL ENTERPRISES, INC. Warrant Shares: Initial Exercise Date: , 2023 THIS PRE-FUNDED COMMON STOCK PURCHASE WARRANT (“Warrant”) certifies that, for value received, or its assigns (the “Holder”) is entitled, upon the terms and subject to the limitations on exercise and the conditions hereinafter set forth, at any time on or after the date |
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| August 18, 2023 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2023 ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT For the transition period from to Commission File Number: 001-40409 Grom Social En |
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| August 14, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 12b-25 NOTIFICATION OF LATE FILING (Check one): ☐ Form 10-K ☐ Form 20-F ☐ Form 11-K ☒ Form 10-Q Form 10-D ☐ Form N-SAR ☐ Form N-CSR For Period Ended: June 30, 2023 ☐ Transition Report on Form 10-K ☐ Transition Report on Form 20-F ☐ Transition Report on Form 11-K ☐ Transition Report on Form 10-Q ☐ Transition Report on Form |
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| August 10, 2023 |
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): August 8, 2023 GROM SOCIAL ENTERPRISES, INC. (Exact name of registrant as specified in its charter) Florida 001-40409 46-5542401 (State or other jurisdiction of incorporation) (Commis |
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| August 10, 2023 |
Exhibit 107 Calculation of Filing Fee Table Form S-1 (Form Type) Grom Social Enterprises, Inc. |
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| August 10, 2023 |
Subsidiaries of the Registrant Exhibit 21.1 |
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| August 10, 2023 |
As filed with the Securities and Exchange Commission on August 10, 2023 Table of Contents As filed with the Securities and Exchange Commission on August 10, 2023 Registration No. |
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| July 10, 2023 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14 |
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| June 28, 2023 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☒ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14 |
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| May 17, 2023 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2023 ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT For the transition period from to Commission File Number: 001-40409 Grom Social E |
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| May 15, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SEC File Number 001-40409 CUSIP Number 39878L 407 FORM 12b-25 NOTIFICATION OF LATE FILING (Check one): ☐ Form 10-K ☐ Form 20-F ☐ Form 11-K ☒ Form 10-Q Form 10-D ☐ Form N-SAR ☐ Form N-CSR For Period Ended: March 31, 2023 ☐ Transition Report on Form 10-K ☐ Transition Report on Form 20-F ☐ Transition Report on Form 11-K ☐ Transit |
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| April 17, 2023 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2022 ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT For the transition period from to Commission File Number: 001-40409 Grom Social Enterp |
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| April 14, 2023 |
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): April 10, 2023 GROM SOCIAL ENTERPRISES, INC. (Exact name of registrant as specified in its charter) Florida 001-40409 46-5542401 (State or other jurisdiction of incorporation) (Commis |
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| March 31, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SEC File Number 001-40409 CUSIP Number 39878L 407 FORM 12b-25 NOTIFICATION OF LATE FILING (Check one): ☒ Form 10-K ☐ Form 20-F ☐ Form 11-K ☐ Form 10-Q Form 10-D ☐ Form N-SAR ☐ Form N-CSR For Period Ended: December 31, 2022 ☐ Transition Report on Form 10-K ☐ Transition Report on Form 20-F ☐ Transition Report on Form 11-K ☐ Tran |
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| March 29, 2023 |
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): March 27, 2023 GROM SOCIAL ENTERPRISES, INC. (Exact name of registrant as specified in its charter) Florida 001-40409 46-5542401 (State or other jurisdiction of incorporation) (Commis |
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| February 24, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☒ Defin |
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| February 14, 2023 |
GROM / Grom Social Enterprises Inc. / ARMISTICE CAPITAL, LLC Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 SCHEDULE 13G/A Under the Securities Exchange Act of 1934 (Amendment No. |
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| February 14, 2023 |
GROM / Grom Social Enterprises Inc. / CVI Investments, Inc. - SC 13G/A Passive Investment CUSIP No: 39878L407 SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G (Rule 13d-102) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO § 240.13d-1(b), (c) AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO § 240.13d-2. (Amendment No. 1)* Grom Social Enterprises, Inc. (Name of Issuer) Common Stock, $0.001 par value per share (Title of Class of Securities) 39878L407 (CUSI |
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| February 14, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☒ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐ Defin |
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| February 14, 2023 |
Up to 3,912,944 Shares of Common Stock GROM SOCIAL ENTERPRISES, INC. Table of Contents Filed Pursuant to Rule 424(b)(3) Registration No. 333-269540 Up to 3,912,944 Shares of Common Stock GROM SOCIAL ENTERPRISES, INC. This prospectus relates to the offer and resale, from time to time, of up to an aggregate of 3,912,944 shares of our common stock, par value $0.001 per share, consisting of: (i) (a) 100,000 shares of common stock sold in a private investment in public |
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| February 13, 2023 |
GROM / Grom Social Enterprises Inc. / Lind Global Fund II LP - AMENDMENT NO. 1 Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1)* Grom Social Enterprises, Inc. (Name of Issuer) Common Shares, par value $0.001 per share (Title of Class of Securities) 39878L407 (CUSIP Number) December 31, 2022 (Date of Event which Requires Filing of this Statement) Check the appropriate box to design |
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| February 13, 2023 |
Exhibit 99.1 JOINT FILING APPLICATION The undersigned hereby agree that a single Schedule 13G (or any amendment thereto) relating to the Common Shares, par value $0.001 per share, of Grom Social Enterprises, Inc. shall be filed on behalf of each of the undersigned and that this Agreement shall be filed as an exhibit to such Schedule 13G. February 13, 2023 LIND GLOBAL FUND II LP By: Lind Global Par |
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| February 7, 2023 |
Grom Social Enterprises, Inc. 2060 NW Boca Raton Blvd., #6 Boca Raton, Florida 33431 February 7, 2023 VIA EDGAR Securities and Exchange Commission Division of Corporation Finance Office of Technology 100 F Street N.E. Washington, D.C. 20549 Attention: Mr. Jeff Kauten Re: Grom Social Enterprises, Inc. Registration Statement on Form S-1 File No. 333-269540 REQUEST FOR ACCELERATION OF EFFECTIVENESS D |
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| February 2, 2023 |
EX-FILING FEES 5 gromex107.htm CALCULATION OF FILING FEE TABLES Exhibit 107 Calculation of Filing Fee Tables S-1 (Form Type) Grom Social Enterprises, Inc. (Exact Name of Registrant as Specified in its Charter) Table 1: Newly Registered and Carry Forward Securities Security Type Security Class Title Fee Calculation or Carry Forward Rule Amount Registered Proposed Maximum Offering Price Per Unit Max |
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| February 2, 2023 |
As filed with the Securities and Exchange Commission on February 2, 2023 Table of Contents As filed with the Securities and Exchange Commission on February 2, 2023 Registration No. |
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| January 31, 2023 |
Form of Prefunded Warrant Agreement Exhibit 4.1 NEITHER THIS SECURITY NOR THE SECURITIES FOR WHICH THIS SECURITY IS EXERCISABLE HAVE BEEN REGISTERED WITH THE SECURITIES AND EXCHANGE COMMISSION OR THE SECURITIES COMMISSION OF ANY STATE IN RELIANCE UPON AN EXEMPTION FROM REGISTRATION UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE “SECURITIES ACT”), AND, ACCORDINGLY, MAY NOT BE OFFERED OR SOLD EXCEPT PURSUANT TO AN EFFECTIVE REGISTR |
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| January 31, 2023 |
Exhibit 10.4 WAIVER AGREEMENT This Waiver Agreement, dated as of January 30, 2023 (this “Agreement”), is entered into by and between Grom Social Enterprises, Inc. (the “Company”) and the holder identified on the signature page hereto (the “Holder”). Capitalized terms used but not defined herein shall have the meanings ascribed to such terms in the Securities Purchase Agreement, dated as of Septemb |
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| January 31, 2023 |
Exhibit 10.5 REGISTRATION RIGHTS AGREEMENT This Registration Rights Agreement (this “Agreement”) is made and entered into as of January 25, 2023, between Grom Social Enterprises Inc., a Florida corporation (the “Company”), and each of the several purchasers signatory hereto (each such purchaser, a “Purchaser” and, collectively, the “Purchasers”). This Agreement is made pursuant to the Securities P |
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| January 31, 2023 |
Exhibit 99.1 Grom Social Enterprises, Inc. Announces Pricing of $3.0 Million Private Placement Priced At-the-Market Per Nasdaq Rules Boca Raton, FL – January 25, 2023 – Grom Social Enterprises, Inc. (NASDAQ: GROM; GROMW) (“Grom” or the “Company”), a media, technology and entertainment company dedicated to family-friendly programming, web filtering technology and safe social media for kids, today a |
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| January 31, 2023 |
Exhibit 10.3 AMENDMENT NO. 2 TO SECURITIES PURCHASE AGREEMENT This AMENDMENT NO. 2, dated as of January 30, 2023 (this “Amendment”), to the SECURITIES PURCHASE AGREEMENT, as amended (the “Securities Purchase Agreement”), dated as of January 25, 2023, is by and among Grom Social Enterprises, Inc., a Florida corporation (the “Company”), and the investors signatory thereto (including, the undersigned |
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| January 31, 2023 |
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): January 25, 2023 GROM SOCIAL ENTERPRISES, INC. (Exact name of registrant as specified in its charter) Florida 001-40409 46-5542401 (State or other jurisdiction of incorporation) (Comm |
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| January 31, 2023 |
Exhibit 4.2 FORM OF PURCHASE WARRANT NEITHER THE ISSUANCE AND SALE OF THE SECURITIES REPRESENTED BY THIS CERTIFICATE NOR THE SECURITIES INTO WHICH THESE SECURITIES ARE EXERCISABLE HAVE BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED, OR APPLICABLE STATE SECURITIES LAWS. THE SECURITIES MAY NOT BE OFFERED FOR SALE, SOLD, TRANSFERRED OR ASSIGNED (I) IN THE ABSENCE OF (A) AN EFFECTIVE REG |
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| January 31, 2023 |
Exhibit 10.1 SECURITIES PURCHASE AGREEMENT This Securities Purchase Agreement (this “Agreement”) is dated as of January 25, 2023, between Grom Social Enterprises, Inc., a Florida corporation (the “Company”), and each purchaser identified on the signature pages hereto (each, including its successors and assigns, a “Purchaser” and collectively the “Purchasers”). WHEREAS, subject to the terms and con |
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| January 31, 2023 |
Exhibit 10.2 AMENDMENT NO. 1 TO SECURITIES PURCHASE AGREEMENT This AMENDMENT NO. 1, dated as of January 30, 2023 (this “Amendment”), to the SECURITIES PURCHASE AGREEMENT (the “Securities Purchase Agreement”), dated as of January 25, 2023, is by and among Grom Social Enterprises, Inc., a Florida corporation (the “Company”), and the investors signatory thereto (including, the undersigned investor (t |
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| January 20, 2023 |
GROM / Grom Social Enterprises Inc. / BIGGER CAPITAL FUND L P Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G (Rule 13d-102) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULES 13d-1(b), (c), AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(b) (Amendment No. 1)1 Grom Social Enterprises, Inc. (Name of Issuer) Common Stock, $.001 par value (Title of Class of Securities) 39878L407 (CUSIP Number) Decem |
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| December 19, 2022 |
GROM / Grom Social Enterprises Inc. / BIGGER CAPITAL FUND L P Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G (Rule 13d-102) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULES 13d-1(b), (c), AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(b) (Amendment No. )1 Grom Social Enterprises, Inc. (Name of Issuer) Common Stock, $.001 par value (Title of Class of Securities) 39878L407 (CUSIP Number) Decemb |
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| December 19, 2022 |
Exhibit 99.1 Joint Filing Agreement The undersigned hereby agree that the Statement on Schedule 13G dated December 19, 2022 with respect to the shares of Common Stock of Grom Social Enterprises, Inc., and any further amendments thereto executed by each and any of the undersigned shall be filed on behalf of each of the undersigned pursuant to and in accordance with the provisions of Rule 13d-1(k)(1 |
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| December 16, 2022 |
GROM / Grom Social Enterprises Inc. / CVI Investments, Inc. - SC 13G Passive Investment SC 13G 1 tm2232799d1sc13g.htm SC 13G CUSIP No: 39878L407 SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G (Rule 13d-102) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO § 240.13d-1(b), (c) AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO § 240.13d-2. (Amendment No. )* Grom Social Enterprises, Inc. (Name of Issuer) Common Stock, $0.001 par value per share (Title of |
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| December 15, 2022 |
GROM / Grom Social Enterprises Inc. / Lind Global Fund II LP Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* Grom Social Enterprises, Inc. (Name of Issuer) Common Shares, par value $0.001 per share (Title of Class of Securities) 39878L407 (CUSIP Number) December 9, 2022 (Date of Event which Requires Filing of this Statement) Check the appropriate box to designat |
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| December 15, 2022 |
Exhibit 99.1 JOINT FILING AGREEMENT The undersigned hereby agree that a single Schedule 13G (or any amendment thereto) relating to the Common Shares, par value $0.001 per share, of Grom Social Enterprises, Inc. shall be filed on behalf of each of the undersigned and that this Agreement shall be filed as an exhibit to such Schedule 13G. December 15, 2022 LIND GLOBAL FUND II LP By: Lind Global Partn |
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| December 13, 2022 |
Grom Social Enterprises, Inc. Announces Closing of $5.0 Million Public Offering Exhibit 99.2 Grom Social Enterprises, Inc. Announces Closing of $5.0 Million Public Offering Boca Raton, FL – December 13, 2022 – Grom Social Enterprises, Inc. (NASDAQ: GROM; GROMW) (the “Company”), a media, technology and entertainment company dedicated to family-friendly programming, web filtering technology and safe social media for kids, today closed its previously announced underwritten publi |
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| December 13, 2022 |
Grom Social Enterprises, Inc. Prices $5.0 Million Public Offering Exhibit 99.1 Grom Social Enterprises, Inc. Prices $5.0 Million Public Offering Boca Raton, FL – December 8, 2022 – Grom Social Enterprises, Inc. (NASDAQ: GROM) (the “Company”), today announced the pricing of a public offering of 1,415,682 units (the “Units”) at a price to the public of $2.89 per Unit and approximately 314,422 pre-funded units (the “Pre-Funded Units”) at a price to the public of $2 |
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| December 13, 2022 |
Exhibit 1.1 UNDERWRITING AGREEMENT Dated December 8, 2022 Between GROM SOCIAL ENTERPRISES, INC. (a Florida corporation) And EF HUTTON, Division of Benchmark Investments, LLC as Representative of the several Underwriters named on Schedule I attached hereto 1 TABLE OF CONTENTS Article I. DEFINITIONS 3 Article II. PURCHASE AND SALE 8 Article III. REPRESENTATIONS AND WARRANTIES 11 Article IV. OTHER AG |
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| December 13, 2022 |
Exhibit 10.01 WARRANT AGENT AGREEMENT This WARRANT AGENT AGREEMENT (this “Warrant Agreement”) dated as of December 13, 2022 (the “Issuance Date”) is between Grom Social Enterprises, Inc. a Florida corporation (the “Company”), and Equiniti Trust Company (the “Warrant Agent”). WHEREAS, pursuant to the terms of that certain Underwriting Agreement, dated December 8, 2022, by and among the Company, the |
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| December 13, 2022 |
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): December 8, 2022 GROM SOCIAL ENTERPRISES, INC. (Exact name of registrant as specified in its charter) Florida 001-40409 46-5542401 (State or other jurisdiction of incorporation) (Comm |
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| December 12, 2022 |
Table of Contents Filed Pursuant to Rule 424(b)(4) Registration No. 333-268278 1,415,682 Units (each Unit contains One Share of Common Stock and Two Warrants, each Warrant to Purchase One Share of Common Stock) 314,422 Pre-Funded Units (each Pre-Funded Unit contains One Pre-Funded Warrant to Purchase One Share of Common Stock and Two Warrants, each Warrant to Purchase One Share of Common Stock) 3, |
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| December 8, 2022 |
Certificate of Amendment to the Articles of Incorporation of the Company, filed on December 6, 2022 Exhibit 3.1 CERTIFICATE OF AMENDMENT TO THE ARTICLES OF INCORPORATION OF GROM SOCIAL ENTERPRISES, INC. Under Section 607.1006 of the Florida Business Corporation Act (the “FBCA”), IT IS HEREBY CERTIFIED THAT: 1. The name of the corporation is Grom Social Enterprises, Inc. (the “Corporation”). 2. The Articles of Incorporation of the Corporation were filed with the Secretary of State of the State of |
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| December 8, 2022 |
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): December 6, 2022 GROM SOCIAL ENTERPRISES, INC. (Exact name of registrant as specified in its charter) Florida 001-40409 46-5542401 (State or other jurisdiction of incorporation) (Comm |
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| December 7, 2022 |
As filed with the Securities and Exchange Commission on December 7, 2022 Table of Contents As filed with the Securities and Exchange Commission on December 7, 2022 Registration No. |
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| December 6, 2022 |
Form of Pre-Funded Common Stock Purchase Warrant Exhibit 4.16 PRE-FUNDED COMMON STOCK PURCHASE WARRANT GROM SOCIAL ENTERPRISES, INC. Warrant Shares: Initial Exercise Date: , 2022 THIS PRE-FUNDED COMMON STOCK PURCHASE WARRANT (?Warrant?) certifies that, for value received, or its assigns (the ?Holder?) is entitled, upon the terms and subject to the limitations on exercise and the conditions hereinafter set forth, at any time on or after the date |
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| December 6, 2022 |
CORRESP 1 filename1.htm EF Hutton, Division of Benchmark Investments, LLC 590 Madison Avenue 39th Floor New York, New York 10022 December 6, 2022 Securities and Exchange Commission Division of Corporation Finance 100 F Street, N.E. Washington, D.C. 20549 Attention: Ms. Alexandra Barone Re: Grom Social Enterprises, Inc. Registration Statement on Form S-1 File No. 333-268278 REQUEST FOR ACCELERATION |
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| December 6, 2022 |
Calculation of Filing Fee Tables S-1 (Form Type) Grom Social Enterprises, Inc. (Exact Name of Registrant as Specified in its Charter) Table 1: Newly Registered and Carry Forward Securities Security Type Security Class Title Fee Calculation or Carry Forward Rule Amount Registered Proposed Maximum Offering Price Per Unit Maximum Aggregate Offering Price (1)(2) Fee Rate Amount of Registration Fee Car |
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| December 6, 2022 |
Exhibit 10.71 Form of Lock-Up Agreement LOCK-UP AGREEMENT [] [], 2022 EF Hutton, division of Benchmark Investments, LLC 590 Madison Avenue, 39th Floor New York, NY 10022 Re: Grom Social Enterprises Inc.?Public Offering Ladies and Gentlemen: The undersigned, an officer, director, and/or holder of common stock, par value $0.001 per share (the ?Common Stock?), or rights to acquire shares of Common St |
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| December 6, 2022 |
Grom Social Enterprises, Inc. 2060 NW Boca Raton Blvd., #6 Boca Raton, Florida 33431 CORRESP 1 filename1.htm Grom Social Enterprises, Inc. 2060 NW Boca Raton Blvd., #6 Boca Raton, Florida 33431 December 6, 2022 VIA EDGAR U.S. Securities and Exchange Commission Division of Corporation Finance Office of Technology 100 F Street N.E. Washington, D.C. 20549 Attention: Ms. Alexandra Barone Re: Grom Social Enterprises, Inc. Registration Statement on Form S-1 File No. 333-268278 REQUEST F |
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| December 6, 2022 |
As filed with the Securities and Exchange Commission on December 6, 2022 Table of Contents As filed with the Securities and Exchange Commission on December 6, 2022 Registration No. |
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| December 6, 2022 |
Form of Common Stock Purchase Warrant Exhibit 4.15 COMMON STOCK PURCHASE WARRANT GROM SOCIAL ENTERPRISES, INC. Warrant Shares: Initial Exercise Date: , 2022 Issuance Date: , 2022 THIS COMMON STOCK PURCHASE WARRANT (?Warrant?) certifies that, for value received, or its assigns (the ?Holder?) is entitled, upon the terms and subject to the limitations on exercise and the conditions hereinafter set forth, at any time on or after the date |
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| December 6, 2022 |
Form of Underwriting Agreement Exhibit 1.1 UNDERWRITING AGREEMENT Dated [] [], 2022 Between GROM SOCIAL ENTERPRISES, INC. (a Florida corporation) And EF HUTTON, Division of Benchmark Investments, LLC as Representative of the several Underwriters named on Schedule I attached hereto 1 TABLE OF CONTENTS Article I. DEFINITIONS 3 Article II. PURCHASE AND SALE 8 Article III. REPRESENTATIONS AND WARRANTIES 11 Article IV. OTHER AGREEME |
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| December 6, 2022 |
Form of Warrant Agent Agreement Exhibit 10.70 WARRANT AGENT AGREEMENT This WARRANT AGENT AGREEMENT (this ?Warrant Agreement?) dated as of [?], 2022 (the ?Issuance Date?) is between Grom Social Enterprises, Inc. a Florida corporation (the ?Company?), and Equiniti Trust Company (the ?Warrant Agent?). WHEREAS, pursuant to the terms of that certain Underwriting Agreement, dated [?], 2022, by and among the Company, the underwriters n |
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| November 9, 2022 |
Table of Contents As filed with the Securities and Exchange Commission on November 9, 2022 Registration No. |
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| November 9, 2022 |
Exhibit 107 Calculation of Filing Fee Tables S-1 (Form Type) Grom Social Enterprises, Inc. |
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| November 7, 2022 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2022 ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT For the transition period from to Commission File Number: 001-40409 Grom Soci |
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| October 17, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14C INFORMATION Information Statement Pursuant to Section 14(c) of the Securities Exchange Act of 1934 Check the appropriate box: ☐ Preliminary Information Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14c-5(d)(2)) ☒ Definitive Information Statement GROM SOCIAL ENTERPRISES, INC. (Name |
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| October 5, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14C INFORMATION Information Statement Pursuant to Section 14(c) of the Securities Exchange Act of 1934 Check the appropriate box: ? Preliminary Information Statement ? Confidential, for Use of the Commission Only (as permitted by Rule 14c-5(d)(2)) ? Definitive Information Statement GROM SOCIAL ENTERPRISES, INC. (Name |
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| August 16, 2022 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2022 ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT For the transition period from to Commission File Number: 000-55585 Grom Social En |
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| August 16, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SEC File Number 001-40409 CUSIP Number 39878L 100 FORM 12b-25 NOTIFICATION OF LATE FILING (Check one): ? Form 10-K ? Form 20-F ? Form 11-K ? Form 10-Q Form 10-D ? Form N-SAR ? Form N-CSR For Period Ended: June 30, 2022 ? Transition Report on Form 10-K ? Transition Report on Form 20-F ? Transition Report on Form 11-K ? Transiti |
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| July 15, 2022 |
Submission of Matters to a Vote of Security Holders 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): July 14, 2022 GROM SOCIAL ENTERPRISES, INC. (Exact name of registrant as specified in its charter) Florida 001-40409 46-5542401 (State or other jurisdiction of incorporation) (Commiss |
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| June 27, 2022 |
3,544,423 Shares GROM SOCIAL ENTERPRISES, INC. Filed Pursuant to Rule 424(b)(3) Registration No. 333-262639 3,544,423 Shares GROM SOCIAL ENTERPRISES, INC. This prospectus relates to the resale, from time to time, by the selling stockholder named herein (the ?Selling Stockholder?) of (i) an aggregate of 3,240,741 shares of our common stock, par value $0.001 per share, issuable upon the conversion of certain outstanding convertible promissory no |
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| June 22, 2022 |
Grom Social Enterprises, Inc. 2060 NW Boca Raton Blvd., #6 Boca Raton, Florida 33431 June 22, 2022 Grom Social Enterprises, Inc. 2060 NW Boca Raton Blvd., #6 Boca Raton, Florida 33431 June 22, 2022 VIA EDGAR Securities and Exchange Commission Division of Corporation Finance Office of Real Estate and Construction 100 F Street N.E. Washington, D.C. 20549 Attention: Mr. Kyle Wiley Re: Grom Social Enterprises, Inc. Amendment No.2 to Registration Statement on Form S-1 File No. 333-262639 REQUEST FOR |
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| June 13, 2022 |
As filed with the Securities and Exchange Commission on June 13, 2022 Table of Contents As filed with the Securities and Exchange Commission on June 13, 2022 Registration No. |
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| June 2, 2022 |
EX-FILING FEES 4 groms1-ex107.htm CALCULATION OF FILING FEE TABLES Exhibit 107 Calculation of Filing Fee Tables S-1/a (Form Type) Grom Social Enterprises, Inc. (Exact Name of Registrant as Specified in its Charter) Table 1: Newly Registered and Carry Forward Securities Security Type Security Class Title Fee Calculation or Carry Forward Rule Amount Registered (1) Proposed Maximum Offering Price Per |
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| June 2, 2022 |
As filed with the Securities and Exchange Commission on June 2, 2022 Table of Contents As filed with the Securities and Exchange Commission on June 2, 2022 Registration No. |
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| June 1, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ? Filed by a Party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ? Defin |
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| May 31, 2022 |
Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing 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): May 24, 2022 GROM SOCIAL ENTERPRISES, INC. (Exact name of registrant as specified in its charter) Florida 001-40409 46-5542401 (State or other jurisdiction of incorporation) (Commissi |
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| May 16, 2022 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2022 ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT For the transition period from to Commission File Number: 000-55585 Grom Social E |
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| April 28, 2022 |
Exhibit 10.1 [***] = Certain information contained in this document, marked by brackets, has been omitted because it is both not material and would be competitively harmful if publicly disclosed. GROM SOCIAL ENTERPRISES, INC. EXECUTIVE SEPARATION AGREEMENT THIS EXECUTIVE SEPARATION AGREEMENT (this ?Agreement?) is entered into as of the date indicated on the signature page hereto (the ?Effective Da |
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| April 28, 2022 |
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): April 22, 2022 GROM SOCIAL ENTERPRISES, INC. (Exact name of registrant as specified in its charter) Florida 001-40409 46-5542401 (State or other jurisdiction of incorporation) (Commis |
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| April 15, 2022 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K x ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2021 o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT For the transition period from to Commission File Number: 001-40409 Grom Social Enterp |
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| March 31, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SEC File Number 001-40409 CUSIP Number 39878L 308 FORM 12b-25 NOTIFICATION OF LATE FILING (Check one): ? Form 10-K ? Form 20-F ? Form 11-K ? Form 10-Q Form 10-D ? Form N-SAR ? Form N-CSR For Period Ended: December 31, 2021 ? Transition Report on Form 10-K ? Transition Report on Form 20-F ? Transition Report on Form 11-K ? Tran |
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| March 2, 2022 |
Financial Statements and Exhibits, Changes in Registrant's Certifying Accountant 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): February 17, 2022 GROM SOCIAL ENTERPRISES, INC. (Exact name of registrant as specified in its charter) Florida 001-40409 46-5542401 (State or other jurisdiction of incorporation) (Com |
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| March 2, 2022 |
Letter from BF Borgers CPA PC dated March 1, 2022 to the Securities and Exchange Commission Exhibit 16.1 5400 W Cedar Ave Lakewood, CO 80226 Telephone: 303.953.1454 Fax: 303.945.7991 March 1, 2022 United States Securities and Exchange Commission Office of the Chief Accountant 100 F Street, N.E. Washington, D.C. 20549 Re: Grom Social Enterprises, Inc. Ladies and Gentleman: We have read the statements under item 4.01 in the Form 8-K dated February 17, 2022, of Grom Social Enterprises, Inc. |
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| February 15, 2022 |
Exhibit 99.1 JOINT FILING AGREEMENT In accordance with Rule 13d-1(k)(1) under the Securities Exchange Act of 1934, as amended, the persons named below agree to the joint filing on behalf of each of them of a Statement on Schedule 13G (including additional amendments thereto) with respect to the shares of Common Stock, par value $0.001 per share, of Grom Social Enterprises, Inc. This Joint Filing A |
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| February 15, 2022 |
KPRX / Kiora Pharmaceuticals Inc / ARMISTICE CAPITAL, LLC - SC 13G Passive Investment SC 13G UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. |
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| February 11, 2022 |
As filed with the Securities and Exchange Commission on February 10, 2022 Table of Contents As filed with the Securities and Exchange Commission on February 10, 2022 Registration No. |
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| February 11, 2022 |
Exhibit 99.4 GROM SOCIAL ENTERPRISES, INC AND CURIOSITY INK MEDIA LLC Unaudited Pro Forma Consolidated Balance Sheets June 30, 2021 Grom Social Curiosity Enterprises Ink Media Adjustment(s) Consolidated ASSETS Current assets: Cash and cash equivalents $ 8,161,908 $ 47,007 $ ? (a) $ 8,208,915 Accounts receivable, net 705,321 149,206 ? 854,527 Inventory, net 26,789 113,407 ? 140,196 Prepaid expenses |
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| February 11, 2022 |
Curiosity Ink Media LLC Statements of Financial Position (Unaudited) Exhibit 99.3 Curiosity Ink Media LLC Statements of Financial Position (Unaudited) June 30, December 31, 2021 2020 ASSETS Current assets: Cash and cash equivalents $ 47,007 $ 28,730 Accounts receivable 149,206 ? Inventory, net 113,407 113,407 Total current assets 309,620 142,137 Produced and licensed content costs 1,133,014 1,116,014 Total assets $ 1,442,634 $ 1,258,151 LIABILITIES AND MEMBERS? DEF |
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| February 11, 2022 |
EX-FILING FEES 3 groms1-ex107.htm FILING FEE TABLE Exhibit 107 Calculation of Filing Fee Tables S-1 (Form Type) Grom Social Enterprises, Inc. (Exact Name of Registrant as Specified in its Charter) Table 1: Newly Registered and Carry Forward Securities Security Type Security Class Title Fee Calculation or Carry Forward Rule Amount Registered (1) Proposed Maximum Offering Price Per Share(2) Maximum |
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| February 11, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K/A 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 19, 2021 GROM SOCIAL ENTERPRISES, INC. (Exact name of registrant as specified in its charter) Florida 001-40409 46-5542401 (State or other jurisdiction of incorporation) (Com |
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| February 11, 2022 |
Report of Independent Registered Public Accounting Firm Exhibit 99.2 Report of Independent Registered Public Accounting Firm To the shareholders and the board of directors of Curiosity Ink Media, LLC Opinion on the Financial Statements We have audited the accompanying statements of financial position of Curiosity Ink Media, LLC as of December 31, 2020 and 2019, the related statements of operations, changes in members' deficit, and cash flows for the ye |
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| January 26, 2022 |
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): January 20, 2022 GROM SOCIAL ENTERPRISES, INC. (Exact name of registrant as specified in its charter) Florida 001-40409 46-5542401 (State or other jurisdiction of incorporation) (Comm |
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| January 26, 2022 |
Exhibit 10.3 REGISTRATION RIGHTS AGREEMENT This Registration Rights Agreement (this ?Agreement?) is made and entered into as of January 20, 2022, between Grom Social Enterprises, Inc., a Florida corporation (the ?Company?), and each of the several purchasers signatory hereto (each such purchaser, a ?Purchaser? and, collectively, the ?Purchasers?). This Agreement is made pursuant to the Securities |
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| January 26, 2022 |
Exhibit 10.1 NEITHER THIS SECURITY NOR THE SECURITIES INTO WHICH THIS SECURITY IS CONVERTIBLE HAVE BEEN REGISTERED WITH THE SECURITIES AND EXCHANGE COMMISSION OR THE SECURITIES COMMISSION OF ANY STATE IN RELIANCE UPON AN EXEMPTION FROM REGISTRATION UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE ?SECURITIES ACT?), AND, ACCORDINGLY, MAY NOT BE OFFERED OR SOLD EXCEPT PURSUANT TO AN EFFECTIVE REGIS |
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| January 26, 2022 |
Exhibit 10.2 NEITHER THIS SECURITY NOR THE SECURITIES FOR WHICH THIS SECURITY IS EXERCISABLE HAVE BEEN REGISTERED WITH THE SECURITIES AND EXCHANGE COMMISSION OR THE SECURITIES COMMISSION OF ANY STATE IN RELIANCE UPON AN EXEMPTION FROM REGISTRATION UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE ?SECURITIES ACT?), AND, ACCORDINGLY, MAY NOT BE OFFERED OR SOLD EXCEPT PURSUANT TO AN EFFECTIVE REGIST |
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| November 30, 2021 |
Submission of Matters to a Vote of Security Holders 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 26, 2021 GROM SOCIAL ENTERPRISES, INC. (Exact name of registrant as specified in its charter) Florida 001-40409 46-5542401 (State or other jurisdiction of incorporation) (Com |
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| November 29, 2021 |
3,104,945 Shares GROM SOCIAL ENTERPRISES, INC. Table of Contents Filed Pursuant to Rule 424(b)(3) Registration No. 333-260389 3,104,945 Shares GROM SOCIAL ENTERPRISES, INC. This prospectus relates to the resale, from time to time, by the selling stockholder named herein (the ?Selling Stockholder?) of (i) an aggregate of 2,291,667 shares of our common stock, par value $0.001 per share, issuable upon the conversion of certain outstanding convert |
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| November 23, 2021 |
November 23, 2021 VIA EDGAR U.S. Securities and Exchange Commission Division of Corporate Finance 100 F Street, N.E. Washington, D.C. 20549 Re: Grom Social Enterprises, Inc. Registration Statement on Form S-1 File No. 333-260389 Ladies and Gentlemen: Pursuant to Rule 461 under the Securities Act of 1933, as amended (the ?Securities Act?), Grom Social Enterprises, Inc., a Florida corporation (the ? |
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| November 23, 2021 |
As filed with the Securities and Exchange Commission on November 22, 2021 Table of Contents As filed with the Securities and Exchange Commission on November 22, 2021 Registration No. |
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| November 22, 2021 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2021 ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT For the transition period from to Commission File Number: 001-40409 Grom Soci |
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| November 15, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SEC File Number 001-40409 CUSIP Number 39878L 100 FORM 12b-25 NOTIFICATION OF LATE FILING (Check one): ? Form 10-K ? Form 20-F ? Form 11-K ? Form 10-Q Form 10-D ? Form N-SAR ? Form N-CSR For Period Ended: September 30, 2021 ? Transition Report on Form 10-K ? Transition Report on Form 20-F ? Transition Report on Form 11-K ? Tra |
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| November 12, 2021 |
As filed with the Securities and Exchange Commission on November 10, 2021 Table of Contents As filed with the Securities and Exchange Commission on November 10, 2021 Registration No. |
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| November 10, 2021 |
November 10, 2021 BY EDGAR U.S. Securities and Exchange Commission Division of Corporate Finance 100 F Street, N.E. Washington, D.C. 20549 Attention: Mitchell Austin Re: Grom Social Enterprises, Inc. Registration Statement on Form S-1 Filed October 20, 2021 File No. 333-260389 Dear Mr. Austin: On behalf of Grom Social Enterprises, Inc., a Florida corporation (the ?Company?), we are herewith filing |
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| November 5, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Consent Solicitation Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant x Filed by a party other than the Registrant o Check the appropriate box: ? Preliminary Proxy Statement ? Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ? Definit |
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| October 25, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 PRELIMINARY SCHEDULE 14A INFORMATION Consent Solicitation Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant x Filed by a party other than the Registrant o Check the appropriate box: ? Preliminary Proxy Statement ? Confidential, for Use of the Commission Only (as permitted by Rul |
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| October 20, 2021 |
As filed with the Securities and Exchange Commission on October 20, 2021 Table of Contents As filed with the Securities and Exchange Commission on October 20, 2021 Registration No. |
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| October 20, 2021 |
Exhibit 10.2 NEITHER THIS SECURITY NOR THE SECURITIES INTO WHICH THIS SECURITY IS CONVERTIBLE HAVE BEEN REGISTERED WITH THE SECURITIES AND EXCHANGE COMMISSION OR THE SECURITIES COMMISSION OF ANY STATE IN RELIANCE UPON AN EXEMPTION FROM REGISTRATION UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE ?SECURITIES ACT?), AND, ACCORDINGLY, MAY NOT BE OFFERED OR SOLD EXCEPT PURSUANT TO AN EFFECTIVE REGIS |
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| October 20, 2021 |
Exhibit 10.1 AMENDED AND RESTATED SECURITIES PURCHASE AGREEMENT This Amended and Restated Securities Purchase Agreement (this ?Agreement?) is dated as of October 20, 2021 and amends and restates in its entirety the prior Securities Purchase Agreement dated as of September 14, 2021, between Grom Social Enterprises, Inc., a Florida corporation (the ?Company?), and each purchaser identified on the si |
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| October 20, 2021 |
Entry into a Material Definitive Agreement, Financial Statements and Exhibits 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 20, 2021 GROM SOCIAL ENTERPRISES, INC. (Exact name of registrant as specified in its charter) Florida 000-55585 46-5542401 (State or other jurisdiction of incorporation) (Comm |
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| September 20, 2021 |
Form of Security Agreement, dated as of September 14, 2021, between the Company and L1 Capital Exhibit 10.6 SECURITY AGREEMENT This SECURITY AGREEMENT, dated as of September 14, 2021 (this ?Agreement?), is among Grom Social Enterprises, Inc., a Florida corporation (the ?Company?), all of the Subsidiaries of the Company (such subsidiaries, the ?Guarantors? and together with the Company, the ?Debtors?) and the holders of the Company?s 10.0% Senior Secured Original Issue Discount Convertible N |
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| September 20, 2021 |
EX-9.1 2 gromex0901.htm VOTING AGREEMENT Exhibit EXHIBIT H TO: The Purchasers of Grom Social Enterprises, Inc., 10.0% Original Issue Discount Senior Secured Convertible Notes and Warrants To Whom It May Concern: This letter will confirm my agreement to vote all shares of Grom Social Enterprises. Inc. ("GROM") voting stock over which I have voting control (whether as record holder, or holder of sec |
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| September 20, 2021 |
Form of Registration Rights Agreement, dated September 14, 2021, between the Company and L1 Capital Exhibit 10.5 REGISTRATION RIGHTS AGREEMENT This Registration Rights Agreement (this ?Agreement?) is made and entered into as of September 14, 2021, between Grom Social Enterprises, Inc., a Florida corporation (the ?Company?), and each of the several purchasers signatory hereto (each such purchaser, a ?Purchaser? and, collectively, the ?Purchasers?). This Agreement is made pursuant to the Securitie |
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| September 20, 2021 |
Exhibit 10.3 NEITHER THIS SECURITY NOR THE SECURITIES FOR WHICH THIS SECURITY IS EXERCISABLE HAVE BEEN REGISTERED WITH THE SECURITIES AND EXCHANGE COMMISSION OR THE SECURITIES COMMISSION OF ANY STATE IN RELIANCE UPON AN EXEMPTION FROM REGISTRATION UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE ?SECURITIES ACT?), AND, ACCORDINGLY, MAY NOT BE OFFERED OR SOLD EXCEPT PURSUANT TO AN EFFECTIVE REGIST |
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| September 20, 2021 |
Securities Purchase Agreement, Dated as of September 14, 2021 Exhibit 10.1 SECURITIES PURCHASE AGREEMENT This Securities Purchase Agreement (this ?Agreement?) is dated as of September 14, 2021, between Grom Social Enterprises, Inc., a Florida corporation (the ?Company?), and each purchaser identified on the signature pages hereto (each, including its successors and assigns, a ?Purchaser? and collectively, the ?Purchasers?). WHEREAS, subject to the terms and |
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| September 20, 2021 |
Form of Subsidiary Guaranty executed by Company subsidiaries, in favor of L1 Capital EXHIBIT 10.4 SUBSIDIARY GUARANTEE SUBSIDIARY GUARANTEE, dated as of September 14, 2021 (this ?Guarantee?), made by each of the signatories hereto (together with any other entity that may become a party hereto as provided herein, the ?Guarantors?), in favor of the purchasers signatory (together with their permitted assigns, the ?Purchasers?) to that certain Securities Purchase Agreement, dated as o |
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| September 20, 2021 |
Exhibit 10.2 NEITHER THIS SECURITY NOR THE SECURITIES INTO WHICH THIS SECURITY IS CONVERTIBLE HAVE BEEN REGISTERED WITH THE SECURITIES AND EXCHANGE COMMISSION OR THE SECURITIES COMMISSION OF ANY STATE IN RELIANCE UPON AN EXEMPTION FROM REGISTRATION UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE ?SECURITIES ACT?), AND, ACCORDINGLY, MAY NOT BE OFFERED OR SOLD EXCEPT PURSUANT TO AN EFFECTIVE REGIS |
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| September 20, 2021 |
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): September 14, 2021 GROM SOCIAL ENTERPRISES, INC. (Exact name of registrant as specified in its charter) Florida 001-40409 46-5542401 (State or other jurisdiction of incorporation) (Co |
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| September 20, 2021 |
Grom Social Enterprises, Inc. Closes $4.4 Million Private Placement Exhibit 99.1 Grom Social Enterprises, Inc. Closes $4.4 Million Private Placement Boca Raton, FL / September 15, 2021 / Grom Social Enterprises, Inc. (NASDAQ:GROM) ("Grom" or the "Company"), the emerging social media and family entertainment company, today announced the closing of a $4.4 million private placement. The Investment is in the form of a 10% Original Issue Discount convertible note in th |
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| September 20, 2021 |
Exhibit 10.7 INTER-CREDITOR AGREEMENT This INTER-CREDITOR AGREEMENT (the ?Agreement?) is made and effective as of September , 2021, by and among Grom Social Enterprises, Inc., a Florida corporation (the ?Company?), each holder of the Company?s Senior Secured Convertible Notes issued on or about March 16, 2020 (?Existing Creditors?) and the New Creditor (as defined below) (the Existing Creditors an |
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| August 24, 2021 |
Non-Qualified Stock Option Agreement dated August 19, 2021 between the Company and Russell Hicks Exhibit 10.4 GROM SOCIAL ENTERPRISES, INC. 2020 EQUITY INCENTIVE PLAN NON-QUALIFIED STOCK OPTION AGREEMENT August 19, 2021 Dear RUSSELL HICKS, On July 29, 2021, the Compensation Committee approved a grant of a Non-Qualified Stock Option (this "Option") to you to purchase Common Stock of Grom Social Enterprises, Inc. (the "Company") pursuant to the Grom Social Enterprises, Inc. 2020 Equity Incentiv |
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| August 24, 2021 |
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): August 19, 2021 GROM SOCIAL ENTERPRISES, INC. (Exact name of registrant as specified in its charter) Florida 001-40409 46-5542401 (State or other jurisdiction of incorporation) (Commi |
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| August 24, 2021 |
Exhibit 4.1 THIS NOTE AND THE SECURITIES ISSUABLE UPON THE CONVERSION HEREOF HAVE NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE ?SECURITIES ACT?), OR UNDER THE SECURITIES LAWS OF ANY STATE. THESE SECURITIES MAY NOT BE OFFERED, SOLD OR OTHERWISE TRANSFERRED, PLEDGED OR HYPOTHECATED EXCEPT AS PERMITTED UNDER THE ACT AND APPLICABLE STATE SECURITIES LAWS PURSUANT TO AN EFFECTIV |
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| August 24, 2021 |
Non-Qualified Stock Option Agreement dated August 19, 2021 between the Company and Brent Watts Exhibit 10.6 GROM SOCIAL ENTERPRISES, INC. 2020 EQUITY INCENTIVE PLAN NON-QUALIFIED STOCK OPTION AGREEMENT August 19, 2021 Dear BRENT WATTS, On July 29, 2021, the Compensation Committee approved a grant of a Non-Qualified Stock Option (this "Option") to you to purchase Common Stock of Grom Social Enterprises, Inc. (the "Company") pursuant to the Grom Social Enterprises, Inc. 2020 Equity Incentive |
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| August 24, 2021 |
Employment Agreement dated as of August 19, 2021 between the Company and Russell Hicks Exhibit 10.3 EMPLOYMENT AGREEMENT THIS EMPLOYMENT AGREEMENT (this ?Agreement"), dated as of August 19, 2021 (the ?Effective Date?), is by and between (1) Grom Social Enterprises, Inc., a Florida corporation (?Grom? or the ?Company?), and (2) Russell Hicks (the ?Executive?). The Company and the Executive are sometimes referred to herein collectively as the ?Parties? and individually as a ?Party. W |
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| August 24, 2021 |
Employment Agreement dated as of August 19, 2021 between the Company and Brent Watts Exhibit 10.5 EMPLOYMENT AGREEMENT THIS EMPLOYMENT AGREEMENT (this ?Agreement"), dated as of August 19, 2021 (the ?Effective Date?), is by and between (1) Grom Social Enterprises, Inc., a Florida corporation (?Grom? or the ?Company?), and (2) Brent Watts (the ?Executive?). The Company and the Executive are sometimes referred to herein collectively as the ?Parties? and individually as a ?Party. W I |
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| August 24, 2021 |
Exhibit 10.2 AMENDED AND RESTATED LIMITED LIABILITY COMPANY AGREEMENT This Amended and Restated Limited Liability Company Agreement (this ?Agreement?) is entered into as of August 19, 2021 (the ?Effective Date?) by and among: (A) Curiosity Ink Media LLC, a Delaware limited liability company (the ?Company?), (B)(1) Grom Social Enterprises, Inc., a Florida corporation (?Grom?), (2) Brent Watts, an i |
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| August 24, 2021 |
Exhibit 99.1 Grom Social?s Top Draw Animation Founder Wayne Dearing Names Former Nickelodeon Exec Russell Hicks as Successor to Lead Animation Studio Capping 40+ Year Career in Animation ? Including More than Two Decades as Managing Director for Top Draw - Dearing Plans to Retire in 2022 Hicks to Lead Top Draw and Continue to Oversee Original IP for Curiosity Ink Media, Grom?s Newest Acquisition a |
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| August 23, 2021 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2021 ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT For the transition period from to Commission File Number: 001-40409 Grom Social En |
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| August 16, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SEC File Number 001-40409 CUSIP Number 39878L 100 FORM 12b-25 NOTIFICATION OF LATE FILING (Check one): ☐ Form 10-K ☐ Form 20-F ☐ Form 11-K ☒ Form 10-Q ☐ Form 10-D ☐ Form N-SAR ☐ Form N-CSR For Period Ended: June 30, 2021 ☐ Transition Report on Form 10-K ☐ Transition Report on Form 20-F ☐ Transition Report on Form 11-K ☐ Transi |
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| August 4, 2021 |
Exhibit 10.1 MEMBERSHIP INTEREST PURCHASE AGREEMENT THIS MEMBERSHIP INTEREST PURCHASE AGREEMENT (this ?Agreement?), dated July 29, 2021, is by and among: (1) Grom Social Enterprises, Inc., a Florida corporation (?Purchaser?); (2) Russell Hicks (?Hicks?), Brent Watts (?BWatts?), John Van Slooten, Trustee (?Van Slooten?) of the Van Slooten Family Revocable Living Trust dated 4/6/90 (?Van Slooten Tru |
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| August 4, 2021 |
Exhibit 99.1 GROM SOCIAL ENTERPRISES, INC. AGREES TO ACQUIRE MAJORITY CONTROL OF KIDS AND FAMILY CONTENT CREATOR CURIOSITY INK MEDIA LLC Curiosity Executive Brent Watts to Join Grom in Key Leadership Role to Guide Growth, Strategy and Revenue Opportunities BOCA RATON, FL - July 29, 2021 - Grom Social Enterprises, Inc. (NASDAQ: GROM) (?Grom? or the ?Company?) today announced it has entered into a d |
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| August 4, 2021 |
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): July 29, 2021 GROM SOCIAL ENTERPRISES, INC. (Exact name of registrant as specified in its charter) Florida 001-40409 46-5542401 (State or other jurisdiction of incorporation) (Commiss |
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| July 30, 2021 |
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): July 26, 2021 GROM SOCIAL ENTERPRISES, INC. (Exact name of registrant as specified in its charter) Florida 001-40409 46-5542401 (State or other jurisdiction of incorporation) (Commiss |
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| July 16, 2021 |
Financial Statements and Exhibits, Other Events 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): July 15, 2021 GROM SOCIAL ENTERPRISES, INC. (Exact name of registrant as specified in its charter) Florida 001-40409 46-5542401 (State or other jurisdiction of incorporation) (Commiss |
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| July 16, 2021 |
Grom Social Enterprises, Inc. Announces Full Exercise of Over-Allotment Option in Public Offering Exhibit 99.1 Grom Social Enterprises, Inc. Announces Full Exercise of Over-Allotment Option in Public Offering BOCA RATON, July 15, 2021 (GLOBE NEWSWIRE) - via NewMediaWire - Grom Social Enterprises, Inc. (NASDAQ: GROM) (?Grom?, the ?Company?) a social media platform and original content provider for children under the age of 13, today announced that the underwriters of its previously completed pu |
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| June 22, 2021 |
Exhibit 1.1 GROM SOCIAL ENTERPRISES, INC. 2,409,639 UNITS CONSISTING OF 2,409,639 SHARES OF COMMON STOCK AND WARRANTS (EXERCISABLE FOR UP TO 2,409,639 SHARES OF COMMON STOCK) UNDERWRITING AGREEMENT June 16, 2021 EF Hutton, division of Benchmark Investments, LLC 590 Madison Avenue, 39th Floor New York, NY 10022 As Representative of the Several underwriters, if any, named in Schedule I hereto Ladies |
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| June 22, 2021 |
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): June 16, 2021 GROM SOCIAL ENTERPRISES, INC. (Exact name of registrant as specified in its charter) Florida 001-40409 46-5542401 (State or other jurisdiction of incorporation) (Commiss |
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| June 22, 2021 |
Exhibit 99.1 Grom Social Enterprises, Inc. Announces Nasdaq Uplisting and Pricing of $10.0 Million Public Offering BOCA RATON, June 16, 2021 (GLOBE NEWSWIRE) - via NewMediaWire - Grom Social Enterprises, Inc. (NASDAQ: GROM) (?Grom?, the ?Company?) a social media platform and original content provider for children under the age of 13, today announced the pricing of an underwritten public offering o |
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| June 22, 2021 |
Exhibit 4.1 EXECUTION VERSION THE REGISTERED HOLDER OF THIS COMMON STOCK PURCHASE WARRANT BY ITS ACCEPTANCE HEREOF, AGREES THAT IT WILL NOT SELL, TRANSFER, ASSIGN, PLEDGE OR HYPOTHECATE, OR BE THE SUBJECT OF ANY HEDGING, SHORT SALE, DERIVATIVE, PUT, OR CALL TRANSACTION THAT WOULD RESULT IN THE EFFECTIVE ECONOMIC DISPOSITION OF THIS COMMON STOCK PURCHASE WARRANT OR THE UNDERLYING SECURITIES FOR A P |
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| June 22, 2021 |
Warrant Agency Agreement dated as of June 21, 2021, between the Company and Equiniti Trust Company Exhibit 10.1 WARRANT AGENT AGREEMENT THIS WARRANT AGENT AGREEMENT (this ?Agreement?) is dated June 21, 2021, between Grom Social Enterprises, Inc., a Florida corporation (the ?Company?), and Equiniti Trust Company, acting as warrant agent (the ?Warrant Agent?). WHEREAS, the Company proposes to issue common stock purchase warrants (the ?Warrants?) to acquire up to 2,771,084 shares of common stock, |
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| June 22, 2021 |
Grom Social Enterprises, Inc. Announces Closing of $10.0 Million Public Offering Exhibit 99.2 Grom Social Enterprises, Inc. Announces Closing of $10.0 Million Public Offering BOCA RATON, June 21, 2021 (GLOBE NEWSWIRE) - via NewMediaWire - Grom Social Enterprises, Inc. (NASDAQ: GROM) (?Grom?, the ?Company?) a social media platform and original content provider for children under the age of 13, today announced the closing of its previously announced underwritten public offering |
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| June 21, 2021 |
Registration Statement No. 333-253154 Filed Pursuant to Rule 424(b)(4) PROSPECTUS GROM SOCIAL ENTERPRISES, INC. 2,409,639 Units Each Unit Consisting of One Share of Common Stock and One Warrant to Purchase One Share of Common Stock We are offering to sell 2,409,639 units, each unit consisting of one share of our common stock, $0.001 par value per share, and one warrant, each warrant exercisable fo |
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| June 14, 2021 |
June 14, 2021 VIA EDGAR U.S. Securities and Exchange Commission Division of Corporation Finance 100 F Street, N.E. Washington, D.C. 20549 Re: Grom Social Enterprises, Inc. Registration Statement on Form S-1, as amended File No. 333-253154 Request for Acceleration of Effective Date Ladies and Gentlemen: Pursuant to Rule 461 of the General Rules and Regulations under the Securities Act of 1933, as a |
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| June 14, 2021 |
June 14, 2021 VIA EDGAR United States Securities and Exchange Commission Division of Corporate Finance Washington, D. |
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| May 27, 2021 |
Amendment No. 1 to the Warrant, dated May 22, 2021, by and between the Company and Labrys Fund, LP Exhibit 10.4 AMENDMENT NO. 1 TO THE WARRANT This AMENDMENT NO. 1 to the Warrant (as defined below) (the ?Amendment?), dated as of May 22, 2021, by and between GROM SOCIAL ENTERPRISES, INC., a Florida corporation (the ?Company?), and LABRYS FUND, LP, a Delaware limited partnership (the ?Investor?). Each of the Company and the Investor shall be referred to collectively as the ?Parties? and individua |
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| May 27, 2021 |
Exhibit 10.1 AMENDMENT NO. 1 TO TRANSACTION DOCUMENTS This AMENDMENT NO. 1 TO TRANSACTION DOCUMENTS (this ?Amendment?), dated as of May 20, 2021, by and between GROM SOCIAL ENTERPRISES, INC., a Florida corporation (the ?Company?), and FIRSTFIRE GLOBAL OPPORTUNITIES FUND, LLC, a Delaware limited liability company (the ?Lender?). Each of the Company and the Lender shall be referred to collectively a |
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| May 27, 2021 |
Exhibit 10.2 AMENDMENT NO. 1 TO CONVERTIBLE PROMISSORY NOTE This Amendment No. 1 to Convertible Promissory Note (this ?Amendment?), dated as of May 21, 2021 (the ?Effective Date?), is entered into by and between Grom Social Enterprises, Inc., a Florida corporation (the ?Company?), and Quick Capital, LLC, a Wyoming limited liability company (the ?Holder?). RECITALS WHEREAS, the Holder is the owner |
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| May 27, 2021 |
Exhibit 10.5 AMENDMENT NO. 1 TO TRANSACTION DOCUMENTS This AMENDMENT NO. 1 TO TRANSACTION DOCUMENTS (this ?Amendment?), dated as of May 24, 2021, by and between GROM SOCIAL ENTERPRISES, Inc., a Florida corporation (the ?Company?), and EMA FINANCIAL, LLC, a Delaware limited liability company (the ?Lender?). Each of the Company and the Lender shall be referred to collectively as the ?Parties? and in |
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| May 27, 2021 |
Amendment No. 1 to the Warrant, dated May 25, 2021, by and between the Company and Auctus Fund, LLC Exhibit 10.6 AMENDMENT NO. 1 TO THE WARRANT This AMENDMENT NO. 1 to the Warrant (as defined below) (the ?Amendment?), dated as of May 25, 2021 (the ?Effective Date?), by and between GROM SOCIAL ENTERPRISES, INC., a Florida corporation (the ?Company?), and AUCTUS FUND, LLC, a Delaware limited liability company (the ?Investor?). Each of the Company and the Investor shall be referred to collectively |
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| May 27, 2021 |
Exhibit 10.3 AMENDMENT NO. 1 TO COMMON STOCK PURCHASE WARRANT This Amendment No. 1 to Common Stock Purchase Warrant (this ?Amendment?), dated as of May 21, 2021 (the ?Effective Date?), is entered into by and between Grom Social Enterprises, Inc., a Florida corporation (the ?Company?), and Quick Capital, LLC, a Wyoming limited liability company (the ?Holder?). RECITALS WHEREAS, the Holder is the ow |
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| May 27, 2021 |
Entry into a Material Definitive Agreement, Financial Statements and Exhibits 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): May 25, 2021 GROM SOCIAL ENTERPRISES, INC. (Exact name of registrant as specified in its charter) Florida 000-55585 46-5542401 (State or other jurisdiction of incorporation) (Commissi |
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| May 24, 2021 |
EX-3.1 2 grom8k-ex0301.htm CERTIFICATE OF DESIGNATION OF PREFERENCES, RIGHTS AND LIMITATIONS OF SERIES C 8% CONVERTIBLE PREFERRED STOCK Exhibit 3.1 ARTICLES OF AMENDMENT TO ARTICLES OF INCORPORATION OF GROM SOCIAL ENTERPRISES, INC. CERTIFICATE OF DESIGNATION OF PREFERENCES, RIGHTS AND LIMITATIONS OF SERIES C 8% CONVERTIBLE PREFERRED STOCK GROM SOCIAL ENTERPRISES, INC., a Florida corporation (the “ |
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| May 24, 2021 |
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): May 20, 2021 GROM SOCIAL ENTERPRISES, INC. (Exact name of registrant as specified in its charter) Florida 000-55585 46-5542401 (State or other jurisdiction of incorporation) (Commissi |
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| May 24, 2021 |
Form of Exchange Agreement for exchange of Series B Stock for Series C Stock Exhibit 10.1 EXCHANGE AGREEMENT THIS EXCHANGE AGREEMENT (this ?Agreement?), dated May 20, 2021, is entered into by and between Grom Social Enterprises, Inc., a Florida corporation (the ?Company?), and the holder of the Company?s Series B 8% Convertible Preferred Stock (?Series B Preferred Stock?) set forth on the signature page hereto (the ?Holder?). WHEREAS, the Holder is currently the holder of |
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| May 24, 2021 |
Table of Contents Registration No. 333-253154 As filed with the Securities and Exchange Commission on May 24, 2021 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 AMENDMENT NO. 3 TO FORM S-1 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 GROM SOCIAL ENTERPRISES, INC. (Exact name of registrant as specified in its charter) Florida 7370 46-5542401 (State or jurisdicti |
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| May 17, 2021 |
May 17, 2021 VIA EDGAR U.S. Securities and Exchange Commission Division of Corporation Finance 100 F Street, N.E. Washington, D.C. 20549 Re: Grom Social Enterprises, Inc. Registration Statement on Form S-1, as amended File No. 333-253154 Request for Acceleration of Effective Date Ladies and Gentlemen: Pursuant to Rule 461 of the General Rules and Regulations under the Securities Act of 1933, as am |
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| May 17, 2021 |
May 17, 2021 VIA EDGAR United States Securities and Exchange Commission Division of Corporate Finance Washington, D. |
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| May 17, 2021 |
Certificate of Amendment to the Articles of Incorporation of the Company Exhibit 3.1 CERTIFICATE OF AMENDMENT TO ARTICLES OF INCORPORATION OF GROM SOCIAL ENTERPRISES, INC. Under Section 607.1001 of the Florida Business Corporation Act IT IS HEREBY CERTIFIED THAT: 1. The name of the corporation is Grom Social Enterprises, Inc. (the ?Corporation?). 2. The Articles of Incorporation of the Corporation were filed with the Secretary of State of the State of Florida on August |
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| May 17, 2021 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-Q ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2021 o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT For the transition period from to Commission File Number: 000-55585 Grom Social E |
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| May 17, 2021 |
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): May 13, 2021 GROM SOCIAL ENTERPRISES, INC. (Exact name of registrant as specified in its charter) Florida 000-55585 46-5542401 (State or other jurisdiction of incorporation) (Commissi |
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| May 12, 2021 |
Registration No. 333-253154 As filed with the Securities and Exchange Commission on May 12, 2021 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 AMENDMENT NO. 2 TO FORM S-1 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 GROM SOCIAL ENTERPRISES, INC. (Exact name of registrant as specified in its charter) Florida 7370 46-5542401 (State or jurisdiction of (Primary Sta |
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| May 12, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-A FOR REGISTRATION OF CERTAIN CLASSES OF SECURITIES PURSUANT TO SECTION 12(b) OR (g) OF THE SECURITIES EXCHANGE ACT OF 1934 GROM SOCIAL ENTERPRISES, INC. (Exact name of registrant as specified in its charter) Florida 46-5542401 (State of incorporation or organization) (I.R.S. Employer Identification No.) 2060 NW Boca Ra |
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| May 11, 2021 |
May 11, 2021 VIA EDGAR U.S. Securities and Exchange Commission Division of Corporation Finance 100 F Street, N.E. Washington, D.C. 20549 Re: Grom Social Enterprises, Inc. Registration Statement on Form S-1, as amended File No. 333-253154 Request for Acceleration of Effective Date Ladies and Gentlemen: Pursuant to Rule 461 of the General Rules and Regulations under the Securities Act of 1933, as am |
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| May 11, 2021 |
May 11, 2021 VIA EDGAR United States Securities and Exchange Commission Division of Corporate Finance Washington, D. |
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| April 28, 2021 |
Exhibit 4.11 FORM OF WARRANT AGENT AGREEMENT THIS WARRANT AGENT AGREEMENT (this ?Agreement?) is dated [ ], 2021, between Grom Social Enterprises, Inc., a Florida corporation (the ?Company?), and Equiniti Trust Company, acting as warrant agent (the ?Warrant Agent?). WHEREAS, the Company proposes to issue common stock purchase warrants (the ?Warrants?) to acquire up to shares of common stock, par va |
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| April 28, 2021 |
Form of Underwriters’ Warrant for the Underwritten Offering Exhibit 4.10 THE REGISTERED HOLDER OF THIS COMMON STOCK PURCHASE WARRANT BY ITS ACCEPTANCE HEREOF, AGREES THAT IT WILL NOT SELL, TRANSFER, ASSIGN, PLEDGE OR HYPOTHECATE, OR BE THE SUBJECT OF ANY HEDGING, SHORT SALE, DERIVATIVE, PUT, OR CALL TRANSACTION THAT WOULD RESULT IN THE EFFECTIVE ECONOMIC DISPOSITION OF THIS COMMON STOCK PURCHASE WARRANT OR THE UNDERLYING SECURITIES FOR A PERIOD OF ONE HUND |
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| April 28, 2021 |
Exhibit 1.1 GROM SOCIAL ENTERPRISES, INC. [] UNITS CONSISTING OF [] SHARES OF COMMON STOCK AND WARRANTS (EXERCISABLE FOR UP TO [] SHARES OF COMMON STOCK) UNDERWRITING AGREEMENT [], 2021 Kingswood Capital Markets, division of Benchmark Investments, Inc. 17 Battery Place New York, NY 10004 As Representative of the Several underwriters, if any, named in Schedule I hereto Ladies and Gentlemen: The und |
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| April 28, 2021 |
Table of Contents Registration No. 333-253154 As filed with the Securities and Exchange Commission on April 27, 2021 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 AMENDMENT NO. 1 TO FORM S-1 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 GROM SOCIAL ENTERPRISES, INC. (Exact name of registrant as specified in its charter) Florida 7370 46-5542401 (State or jurisdic |
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| April 20, 2021 |
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): April 16, 2021 GROM SOCIAL ENTERPRISES, INC. (Exact name of registrant as specified in its charter) Florida 000-55585 46-5542401 (State or other jurisdiction of incorporation) (Commis |
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| April 20, 2021 |
12% Convertible Promissory Note, dated April 16, 2021, issued to Labrys Fund, LP Exhibit 4.1 NEITHER THE ISSUANCE AND SALE OF THE SECURITIES REPRESENTED BY THIS CERTIFICATE NOR THE SECURITIES INTO WHICH THESE SECURITIES ARE CONVERTIBLE HAVE BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED, OR APPLICABLE STATE SECURITIES LAWS. THE SECURITIES MAY NOT BE OFFERED FOR SALE, SOLD, TRANSFERRED OR ASSIGNED (I) IN THE ABSENCE OF (A) AN EFFECTIVE REGISTRATION STATEMENT FOR T |
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| April 20, 2021 |
Securities Purchase Agreement, dated April 16, 2021, between the Company and Labrys Fund, LP Exhibit 10.1 SECURITIES PURCHASE AGREEMENT This SECURITIES PURCHASE AGREEMENT (the ?Agreement?), dated as of April 16, 2021, by and between GROM SOCIAL ENTERPRISES, INC., a Florida corporation, with headquarters located at 2060 NW Boca Raton Blvd. #6, Boca Raton, FL 33431 (the ?Company?), and LABRYS FUND, LP, a Delaware limited partnership, with its address at 48 Parker Road, Wellesley, MA 02482 ( |
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| April 20, 2021 |
Common Stock Purchase Warrant, dated April 16, 2021, issued to Labrys Fund, LP Exhibit 4.2 NEITHER THIS SECURITY NOR THE SECURITIES AS TO WHICH THIS SECURITY MAY BE EXERCISED HAVE BEEN REGISTERED WITH THE SECURITIES AND EXCHANGE COMMISSION OR THE SECURITIES COMMISSION OF ANY STATE IN RELIANCE UPON AN EXEMPTION FROM REGISTRATION UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE ?SECURITIES ACT?), AND, ACCORDINGLY, MAY NOT BE OFFERED OR SOLD EXCEPT PURSUANT TO AN EFFECTIVE REG |
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| April 19, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14C INFORMATION Information Statement Pursuant to Section 14(c) of the Securities Exchange Act of 1934 Check the appropriate box: ? Preliminary Information Statement ? Confidential, for Use of the Commission Only (as permitted by Rule 14c-5(d)(2)) ? Definitive Information Statement GROM SOCIAL ENTERPRISES, INC. (Name |
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| April 13, 2021 |
Note Cancellation and General Release, dated March 17, 2021 from Newbridge Securities Corporation Exhibit 10.47 NOTE CANCELLATION AND GENERAL RELEASE Reference is hereby made to the (i) Pledge and Security Agreement dated as of November 30, 2018 (the ?Pledge Agreement?) by and among Grom Social Enterprises, Inc. and the holders of Company?s common stock signatory thereto in favor of each of the holders of the Company?s 12% Secured Notes and The Crone Law Group, P.C. and (ii) Security Agreement |
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| April 13, 2021 |
EXHIBIT 4.5 DESCRIPTION OF SECURITIES REGISTERED PURSUANT TO SECTION 12 OF THE SECURITIES EXCHANGE ACT OF 1934 The following summary describes the common stock of Grom Social Enterprises, Inc., a Florida corporation (?Grom? or the ?Company?), which is registered pursuant to Section 12 of the Securities Exchange Act of 1934, as amended (the ?Exchange Act?). Only the Company?s common stock is regist |
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| April 13, 2021 |
Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-K ? ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2020 o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT For the transition period from to Commission File Number: 000-55585 Grom Social Enterp |
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| April 8, 2021 |
- PRELIMINARY INFORMATION STATEMENT UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14C INFORMATION Information Statement Pursuant to Section 14(c) of the Securities Exchange Act of 1934 Check the appropriate box: ? Preliminary Information Statement ? Confidential, for Use of the Commission Only (as permitted by Rule 14c-5(d)(2)) ? Definitive Information Statement GROM SOCIAL ENTERPRISES, INC. (Name |
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| April 7, 2021 |
Letter of Intent, dated as of April 1, 2021, by and between the Company, Curiosity and the Sellers Exhibit 10.1 March 29, 2021 Mr. Russell Hicks and Mr. Brent Watts Curiosity Ink Media, LLC Hollywood, CA RE: Acquisition of 80% of the Membership Equity of Curiosity Ink Media, LLC ("CURIOSITY" or the ?Company") Gentlemen, This Letter of Intent (?LOI?) reflects the general terms of Grom Social Enterprises, Inc.?s (?GROM?) binding intent to acquire 80% of the membership equity of CURIOSITY from Rus |
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| April 7, 2021 |
Exhibit 99.1 GROM SOCIAL ENTERPRISES, INC. TO ACQUIRE FAMILY-FRIENDLY CONTENT CREATOR CURIOSITY INK MEDIA Nickelodeon Veterans Russell Hicks and Paul Ward Join Grom in Key Leadership Roles BOCA RATON, April 7, 2021 - Grom Social Enterprises, Inc. (OTCQB: GRMM) (“Grom” or the Company”), today announced it has entered into a binding letter of intent to acquire kids and family entertainment company, |
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| April 7, 2021 |
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): April 1, 2021 GROM SOCIAL ENTERPRISES, INC. (Exact name of registrant as specified in its charter) Florida 000-55585 46-5542401 (State or other jurisdiction of incorporation) (Commiss |
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| April 5, 2021 |
Securities Purchase Agreement, dated March 11, 2021, between the Company and FirstFire Fund, LLC EXHIBIT 10.2 SECURITIES PURCHASE AGREEMENT This SECURITIES PURCHASE AGREEMENT (the ?Agreement?), dated as of March 11, 2021, by and between GROM SOCIAL ENTERPRISES, INC., a Florida corporation, with headquarters located at 2060 NW Boca Raton Boulevard #6, Boca Raton, Florida 33431 (the ?Company?), and FIRSTFIRE GLOBAL OPPORTUNITIES FUND, LLC, a Delaware limited liability company, with its address |
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| April 5, 2021 |
Common Stock Purchase Warrant, dated March 11, 2021, issued to FirstFire Fund, LLC EXHIBIT 4.2 NEITHER THIS SECURITY NOR THE SECURITIES FOR WHICH THIS SECURITY IS EXERCISABLE HAVE BEEN REGISTERED WITH THE SECURITIES AND EXCHANGE COMMISSION OR THE SECURITIES COMMISSION OF ANY STATE IN RELIANCE UPON AN EXEMPTION FROM REGISTRATION UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE ?SECURITIES ACT?), AND, ACCORDINGLY, MAY NOT BE OFFERED OR SOLD EXCEPT PURSUANT TO AN EFFECTIVE REGISTR |
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| April 5, 2021 |
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): March 11, 2021 GROM SOCIAL ENTERPRISES, INC. (Exact name of registrant as specified in its charter) Florida 000-55585 46-5542401 (State or other jurisdiction of incorporation) (Commis |
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| April 5, 2021 |
12% Convertible Promissory Note, dated March 11, 2021, issued to FirstFire Fund, LLC EXHIBIT 4.1 NEITHER THE ISSUANCE AND SALE OF THE SECURITIES REPRESENTED BY THIS CERTIFICATE NOR THE SECURITIES INTO WHICH THESE SECURITIES ARE CONVERTIBLE HAVE BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED, OR APPLICABLE STATE SECURITIES LAWS. THE SECURITIES MAY NOT BE OFFERED FOR SALE, SOLD, TRANSFERRED OR ASSIGNED (I) IN THE ABSENCE OF (A) AN EFFECTIVE REGISTRATION STATEMENT FOR T |
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| April 5, 2021 |
Registration Rights Agreement, dated March 11, 2021, between the Company and FirstFire Fund, LLC EXHIBIT 10.3 REGISTRATION RIGHTS AGREEMENT THIS REGISTRATION RIGHTS AGREEMENT (this ?Agreement?), dated as of March 11, 2021, is made by and between Grom Social Enterprises., Inc., a Florida corporation (the ?Company?), and FirstFire Global Opportunities Fund, LLC (the ?Holder?). The Company and the Holder are hereinafter sometimes collectively referred to as the ?Parties? and each a ?Party? to th |
