---
schema_version: "secwatch.filing_event.v1"
accession: "0001013762-23-004497"
form_type: "8-K"
ticker: "DOMH"
cik: "0000012239"
company_name: "Dominari Holdings Inc."
filed_at: "2023-10-17T23:59:59+00:00"
generated_at: "2026-06-09T22:25:54.098885+00:00"
event_type: "other_material"
sentiment: "neutral"
materiality_score: 0.5
calibrated_materiality_score: 0.5
confidence: "high"
source: SEC EDGAR
---

# Dominari Holdings adopts poison pill rights plan to protect net operating loss carryforwards

## Summary
- One Right distributed per common share for holders of record as of September 22, 2023; exercise price of $5.00 per one one-thousandth of Series Q Preferred Stock.
- Rights become exercisable if a person or group acquires beneficial ownership of 4.99% or more of common stock.
- Initial expiration on October 11, 2024; board may renew for up to two additional 12-month periods through October 11, 2026, subject to stockholder approval.
- Plan designed to deter an 'ownership change' under Section 382 of the Internal Revenue Code that would limit use of NOLs.
- Board may redeem Rights at $0.0001 per Right at any time before a person becomes an Acquiring Person.

## SEC filing metadata
- accession: 0001013762-23-004497
- form_type: 8-K
- ticker: DOMH
- cik: 0000012239
- company_name: Dominari Holdings Inc.
- filed_at: 2023-10-17T23:59:59+00:00
- event_type: other_material
- sentiment: neutral
- materiality_score: 0.5
- calibrated_materiality_score: 0.5
- confidence: high
- sec_items: 1.01, 3.03, 5.03, 9.01
- EDGAR index: https://www.sec.gov/Archives/edgar/data/12239/000101376223004497/0001013762-23-004497-index.htm
- EDGAR primary document: https://www.sec.gov/Archives/edgar/data/12239/000101376223004497/ea186844-8k_dominari.htm

## Machine-readable alternates
- HTML: https://secwatch.observer/filing/0001013762-23-004497
- JSON: https://secwatch.observer/filing/0001013762-23-004497.json
- Plain text: https://secwatch.observer/filing/0001013762-23-004497.txt

## Key facts
- Governance Changes
  Dominari Holdings Inc.: Board approved Certificate of Designation of Series Q Preferred Stock filed with Delaware Secretary of State on October 13, 2023, in connection with adoption of a new Rights Agreement to preserve net operating losses (effective 2023-10-13).
  - Change: charter amendment
  - Effective: 2023-10-13
  source text: In connection with the adoption of the Rights Agreement, the Board approved a Certificate of Designation of Series Q Preferred Stock (the “ Certificate of Designation ”). The Certificate of Designation was filed with the Secretary of State of the State of Delaware on October 13, 2023.
  evidence_url: https://www.sec.gov/Archives/edgar/data/12239/000101376223004497/0001013762-23-004497-index.htm

This AI-assisted summary is a reading aid. Review the linked SEC EDGAR filing before relying on any specific claim.