SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
Pursuant to Section 13 or 15(d)
of The Securities Exchange Act of 1934
Date of Report (Date of earliest event reported): May 26, 2021
DOCUMENT SECURITY SYSTEMS, INC.
(Exact name of registrant as specified in its charter)
(State or other jurisdiction
6 Framark Drive
Victor, New York 14564
(Address of principal executive offices) (Zip Code)
Registrant’s telephone number, including area code: (585) 325-3610
(Former name or former address, if changed since last report.)
Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions:
|[ ]||Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)|
|[ ]||Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)|
|[ ]||Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))|
|[ ]||Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))|
Securities registered pursuant to Section 12(b) of the Act:
|Title of each class||Trading Symbol(s)||Name of each exchange on which registered|
|Common Stock, $0.02 Par Value||DSS||The NYSE American LLC|
Indicate by check mark whether the registrant is an emerging growth company as defined in as defined in Rule 405 of the Securities Act of 1933 or Rule 12b-2 of the Securities Exchange Act of 1934.
Emerging growth company [ ]
If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. [ ]
Item 3.02 Unregistered Sales of Equity Securities.
Document Security Systems, Inc. (“we,” “us,” and “our”) is filing this Current Report on Form 8-K (the “Form 8-K”) to reflect the issuance of 5,450,000 restricted shares of Common Stock on May 26, 2021 to Global BioMedical Pte. Ltd., pursuant to the conversion of 35,316 shares of the Series A Preferred Stock at a conversion price of $6.48 per share.
Pursuant to the requirements of the Securities Exchange Act of 1934, as amended, the Registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.
|DOCUMENT SECURITY SYSTEMS, INC.|
|June 1, 2021||By:||/s/ Frank D. Heuszel|
|Name:||Frank D. Heuszel|
|Title:||Chief Executive Officer|