Item 5. Other Information
ITEM 5. OTHER INFORMATION
None.
84
ITEM 6. E XHIBITS
Exhibit No.
Description of Exhibit
3.1**
Amended and Restated Certificate of Incorporation of A-Mark Precious Metals, Inc. Incorporated by reference to Exhibit 3.2 to the Registration Statement on Form S-1/A; Registration No. 333-192260.
3.2**
Bylaws, as Amended and Restated on October 27, 2022. Incorporated by reference to Exhibit 3.2 to the Report on Form 8-K filed on November 1, 2022.
4.1**
Description of Securities of Registrant. Incorporated by reference to Exhibit 4.1 to the Report on Form 10-K filed on September 12, 2023.
10.1*
A-Mark Precious Metals, Inc. Incentive-Based Compensation Recovery Policy .
10.2**
Joinder and Seventh Amendment to Credit Agreement, effective as of September 20, 2023, among the Company, the other loan parties party thereto, the lenders party thereto and CIBC Bank USA as administrative agent for the lenders. Incorporated by reference to Exhibit 10.1 to Report on Form 8-K filed on September 21, 2023.
31.1*
Certification Under Section 302 of the Sarbanes-Oxley Act of 2002.
31.2*
Certification Under Section 302 of the Sarbanes-Oxley Act of 2002.
32.1*
Certification Under Section 906 of the Sarbanes-Oxley Act of 2002.
32.2*
Certification Under Section 906 of the Sarbanes-Oxley Act of 2002.
101.INS*
Inline XBRL Instance Document.
101.SCH*
Inline XBRL Taxonomy Extension Calculation Schema Document.
101.CAL*
Inline XBRL Taxonomy Extension Calculation Linkbase Document.
101.DEF*
Inline XBRL Taxonomy Extension Definition Linkbase Document.
101.LAB*
Inline XBRL Taxonomy Extension Label Linkbase Document.
101.PRE*
Inline XBRL Taxonomy Extension Presentation Linkbase Document.
104*
Cover Page interactive Data File (formatted as Inline XBRL and contained in Exhibit 101)
* Filed herewith
**Previously filed
85
SIGNAT URES
Pursuant to the requirements of Section 13 or 15(d) 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.
A-MARK PRECIOUS METALS, INC.
Date:
November 8, 2023
By:
/s/ Gregory N. Roberts
Gregory N. Roberts
Chief Executive Officer
(Principal Executive Officer)
Date:
November 8, 2023
By:
/s/ Kathleen Simpson-Taylor
Kathleen Simpson-Taylor
Chief Financial Officer
(Principal Financial Officer and Principal Accounting Officer)
86
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.