Item 2. Unregistered Sales of Equity Securities
ITEM 2. UNREGISTERED SALES OF EQUITY SECURITIES AND USE OF PROCEEDS
In April 2015, we issued a $300,000 promissory note to Diego Creel Miranda in connection with our acquisition of his interest in Renueva Comercial S.A.P.I. de C.V. (known as TUYO), which at the time conducted a buy-sell business in Mexico that we have since discontinued. See Note 3 of the Notes to Consolidated Financial Statements included in our Annual Report on Form 10-K for the year ended September 30, 2015. We had the option to satisfy the promissory note at maturity either by paying the principal and accrued interest in cash or by issuing shares of our Class A Non-Voting Stock having a market value at the time the note was issued equal to the principal amount. On March 18, 2021, we issued 33,187 shares of our Class A Non-Voting Common Stock, having a market value at the time of issuance of
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approximately $185,000, in full satisfaction of the promissory note. The shares were issued to a single individual, and in connection with a single, isolated transaction, in reliance on the exemption from registration provided in Section 4(2) of the Securities Act of 1933.
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ITEM 6. EXHIBITS
The following exhibits are filed with, or incorporated by reference into, this report.
Incorporated by Reference Filed Herewith
Exhibit Description of Exhibit Form File No. Exhibit Filing Date
10.1 Form of Restricted Stock Unit Award Agreement for fiscal 2021 grants to executive officers
x
31.1 Certification of Principal Executive Officer, pursuant to Rule 13a-14(a) under the Securities Exchange Act of 1934
x
31.2 Certification of Principal Financial Officer, pursuant to Rule 13a-14(a) under the Securities Exchange Act of 1934
x
32.1† Certifications of Principal Executive Officer, pursuant to 18 U.S.C. Section 1350
x
32.2† Certifications of Principal Financial Officer, pursuant to 18 U.S.C. Section 1350
x
101.INS Inline XBRL Instance Document (the instance document does not appear in the interactive data files because the XBRL tags are embedded within the Inline XBRL document)
101.SCH Inline XBRL Taxonomy Extension Schema Document x
101.CAL Inline XBRL Taxonomy Extension Calculation Linkbase Document x
101.DEF Inline XBRL Taxonomy Extension Definition Linkbase Document x
101.LAB Inline XBRL Taxonomy Extension Labels Linkbase Document x
101.PRE Inline XBRL Taxonomy Extension Presentation Linkbase Document x
104 Cover Page Interactive Data File in Inline XBRL format (contained in Exhibit 101)
_____________________________
† The certifications furnished in Exhibit 32.1 and Exhibit 32.2 hereto are deemed to accompany this Quarterly Report on Form 10-Q and will not be deemed “filed” for purposes of Section 18 of the Securities Exchange Act of 1934, as amended, except to the extent that the registrant specifically incorporates it by reference.
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SIGNATURES
Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned thereunto duly authorized.
EZCORP, INC.
Date: May 5, 2021 /s/ Jason A. Kulas
Jason A. Kulas,
Chief Executive Officer
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Text extracted from the filing as submitted to EDGAR. Formatting, tables and exhibits are simplified for reading; the original document is authoritative for anything you rely on.