AMRK / A-Mark Precious Metals, Inc. - Документы SEC, Годовой отчет, Доверенное заявление

FORM 8-K Item 1.01 Entry into a Material Definitive Agreement. Item 9.01 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): August 21, 2025 A-MARK PRECIOUS METALS, INC. (Exact name of Registrant as Specified in Its Charter) Delaware 001-36347 11-2464169 (State or Other Jurisdiction of Incorporation) (Commi

Incremental Facility Agreement, effective as of March 26, 205, among the Company, the other loan parties thereto, the lenders party thereto and CIBC Bank USA as administrative agent for the lenders.

Exhibit 10.3 INCREMENTAL FACILITY AGREEMENT THIS INCREMENTAL FACILITY AGREEMENT (this “Agreement”), effective as of March 26, 2025 (the “March 2025 Incremental Facility Effective Date”), is by and among A-MARK PRECIOUS METALS, INC., a Delaware corporation (the “Borrower”), the other Loan Parties party hereto, the Lenders party hereto, and CIBC BANK USA, as administrative agent for the Lenders (in

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q

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, 2025 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-36347 A-MARK PRECIOUS META

Eleventh Amendment to Credit Agreement, effective as of January 29, 2025, among the Company, the other loan parties party thereto, the lenders party thereto and CIBC Bank USA as administrative agent for the lenders.

Exhibit 10.1 INCREMENTAL FACILITY AGREEMENT, WAIVER AND ELEVENTH AMENDMENT TO CREDIT AGREEMENT THIS INCREMENTAL FACILITY AGREEMENT, WAIVER AND ELEVENTH AMENDMENT TO CREDIT AGREEMENT (this “Amendment”), effective as of January 29, 2025 (the “Eleventh Amendment Effective Date”), is by and among A-MARK PRECIOUS METALS, INC., a Delaware corporation (the “Borrower”), the other Loan Parties party hereto

Waiver and Twelfth Amendment to Credit Agreement, effective as of February 28, 2025, among the Company, the other loan parties thereto, the lenders party thereto and CIBC Bank USA as administrative agent for the lenders.

Exhibit 10.2 WAIVER AND TWELFTH AMENDMENT TO CREDIT AGREEMENT THIS WAIVER AND TWELFTH AMENDMENT TO CREDIT AGREEMENT (this “Amendment”), effective as of February 28, 2025 (the “Twelfth Amendment Effective Date”), is by and among A-MARK PRECIOUS METALS, INC., a Delaware corporation (the “Borrower”), the other Loan Parties party hereto, the Lenders party hereto, and CIBC BANK USA, as administrative a

A-Mark Precious Metals Reports Fiscal Third Quarter 2025 Results Q3 FY 2025 Net Loss of $8.5 Million and Q3 YTD FY 2025 Net Income of $7.0 Million Non-GAAP Adjusted Net Income of $5.7 Million and Non-GAAP EBITDA of $1.3 Million in Q3 FY 2025 Q3 FY 20

Exhibit 99.1 A-Mark Precious Metals Reports Fiscal Third Quarter 2025 Results Q3 FY 2025 Net Loss of $8.5 Million and Q3 YTD FY 2025 Net Income of $7.0 Million Non-GAAP Adjusted Net Income of $5.7 Million and Non-GAAP EBITDA of $1.3 Million in Q3 FY 2025 Q3 FY 2025 Diluted Loss per Share of ($.36) and Q3 YTD FY 2025 Diluted Earnings Per Share of $0.29 Credit Facility Amended Increasing Revolving C

FORM 8-K

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 07, 2025 A-MARK PRECIOUS METALS, INC. (Exact name of Registrant as Specified in Its Charter) Delaware 001-36347 11-2464169 (State or Other Jurisdiction of Incorporation or organiz

FORM 8-K Item 1.01 Entry into a Material Definitive Agreement. Item 9.01 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 25, 2025 A-MARK PRECIOUS METALS, INC. (Exact name of Registrant as Specified in Its Charter) Delaware 001-36347 11-2464169 (State or Other Jurisdiction of Incorporation) (Commis

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, 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 10, 2025 A-MARK PRECIOUS METALS, INC. (Exact name of Registrant as Specified in Its Charter) Delaware 001-36347 11-2464169 (State or Other Jurisdiction of Incorporation) (Commis

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

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 28, 2025 A-MARK PRECIOUS METALS, INC. (Exact name of Registrant as Specified in Its Charter) Delaware 001-36347 11-2464169 (State or Other Jurisdiction of Incorporation) (Com

Amendment No. 1, dated February 28, 2025, to Agreement and Plan of Merger by and among A-Mark Precious Metals, Inc., Spectrum Group International, Inc., et al, dated January 30, 2025.

EXHIBIT 10.2 FIRST AMENDMENT TO AGREEMENT AND PLAN OF MERGER THIS FIRST AMENDMENT TO AGREEMENT AND PLAN OF MERGER, dated as of February 26, 2025 (this “Amendment”), is by and among A-Mark Precious Metals, Inc., a Delaware corporation (“Parent”), SGI Acquisition I Corp., a Delaware corporation and a direct wholly owned Subsidiary of Parent (“Merger Sub I”), SGI Acquisition II LLC, a Delaware limite

Joint Filing Agreement

EX-99.1 2 ex991to13ga14318amrk021425.htm JOINT FILING AGREEMENT Exhibit 99.1 Joint Filing Agreement The undersigned hereby agree that the Statement on Schedule 13G dated February 14, 2025 with respect to the common stock, $0.01 par value, of A-Mark Precious Metals, Inc., and any amendments thereto executed by each and any of the undersigned shall be filed on behalf of each of the undersigned pursu

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q

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 December 31, 2024 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-36347 A-MARK PRECIOUS M

A-Mark Precious Metals Reports Fiscal Second Quarter 2025 Results Q2 FY 2025 Diluted Earnings Per Share of $0.27 $6.6 Million in Net Income and $16.2 Million in non-GAAP EBITDA in Q2 FY 2025 Repurchased 169,512 Common Shares for $5.1 Million Company

Exhibit 99.1 A-Mark Precious Metals Reports Fiscal Second Quarter 2025 Results Q2 FY 2025 Diluted Earnings Per Share of $0.27 $6.6 Million in Net Income and $16.2 Million in non-GAAP EBITDA in Q2 FY 2025 Repurchased 169,512 Common Shares for $5.1 Million Company reaffirms regular quarterly cash dividend policy of $0.20 per share El Segundo, CA – February 6, 2025 – A-Mark Precious Metals, Inc. (NAS

Financial Statements and Exhibits, Results of Operations and Financial Condition

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 06, 2025 A-MARK PRECIOUS METALS, INC. (Exact name of Registrant as Specified in Its Charter) Delaware 001-36347 11-2464169 (State or Other Jurisdiction of Incorporation or or

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

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 29, 2025 A-MARK PRECIOUS METALS, INC. (Exact name of Registrant as Specified in Its Charter) Delaware 001-36347 11-2464169 (State or Other Jurisdiction of Incorporation) (Comm

Agreement and Plan of Merger by and among A-Mark Precious Metals, Inc. and SGI Acquisition I Corp., et al, dated January 30, 2025.

Exhibit 10.1 Agreement and Plan of Merger by and among A-Mark Precious Metals, Inc. SGI Acquisition I Corp. SGI Acquisition II LLC Spectrum Group International, Inc. and Carol Meltzer, in her capacity as Major Stockholder Representative January 30, 2025 AGREEMENT AND PLAN OF MERGER THIS AGREEMENT AND PLAN OF MERGER, dated as of January 30, 2025 (this “Agreement”), is entered into by and among A-Ma

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

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 13, 2024 A-MARK PRECIOUS METALS, INC. (Exact name of Registrant as Specified in Its Charter) Delaware 001-36347 11-2464169 (State or Other Jurisdiction of Incorporation or Or

AMRK / A-Mark Precious Metals, Inc. / AMERICAN CENTURY INVESTMENT MANAGEMENT INC - SC 13G/A Passive Investment

SC 13G/A 1 amarkpreciousmetals13g-a2.htm SC 13G/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 2) * A-MARK PRECIOUS METALS, INC. (Name of Issuer) COMMON STOCK (Title of Class of Securities) 00181T107 (CUSIP Number) SEPTEMBER 30, 2024 (Date of Event Which Requires Filing of this Statement) Check the app

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q

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, 2024 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-36347 A-MARK PRECIOUS

Financial Statements and Exhibits, Results of Operations and Financial Condition

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 06, 2024 A-MARK PRECIOUS METALS, INC. (Exact name of Registrant as Specified in Its Charter) Delaware 001-36347 11-2464169 (State or Other Jurisdiction of Incorporation or or

A-Mark Precious Metals Reports Fiscal First Quarter 2025 Results Diluted Earnings per Share of $0.37 Company Reaffirms Regular Quarterly Cash Dividend of $0.20 per share $422.5MM Credit Facility Extended to September 2026

Exhibit 99.1 A-Mark Precious Metals Reports Fiscal First Quarter 2025 Results Diluted Earnings per Share of $0.37 Company Reaffirms Regular Quarterly Cash Dividend of $0.20 per share $422.5MM Credit Facility Extended to September 2026 El Segundo, CA – November 6, 2024 – A-Mark Precious Metals, Inc. (NASDAQ: AMRK), a leading fully integrated precious metals platform, reported results for the fiscal

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

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 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)) ☒ Definitive Proxy State

Tenth Amendment to Credit Agreement, effective as of September 30, 2024, among the Company, the other loan parties party thereto, the lenders party thereto and CIBC Bank USA as administrative agent for the lenders.

Exhibit 10.1 TENTH AMENDMENT TO CREDIT AGREEMENT THIS TENTH AMENDMENT TO CREDIT AGREEMENT (this “Amendment”), effective as of September 30, 2024 (the “Tenth Amendment Effective Date”), is by and among A-MARK PRECIOUS METALS, INC., a Delaware corporation (the “Borrower”), the other Loan Parties party hereto, the Lenders party hereto, and CIBC BANK USA, as administrative agent for the Lenders (in su

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): September 30, 2024 A-MARK PRECIOUS METALS, INC. (Exact name of Registrant as Specified in Its Charter) Delaware 001-36347 11-2464169 (State or Other Jurisdiction of Incorporation) (Co

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K

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 June 30, 2024 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-36347 A-MARK PRECIOUS METALS, INC.

List of Subsidiaries of A-Mark Precious Metals, Inc.

Exhibit 21 Active Direct and Indirect Subsidiaries of A-Mark Precious Metals, Inc.

A-Mark Precious Metals, Inc. Insider Trading Policy, as amended May 10, 2024.

Exhibit 19 A-MARK PRECIOUS METALS, INC INSIDER TRADING POLICY (As amended May 10, 2024) I.

Fourth Amendment to Air Cargo Lease between MCP CARGO, LLC as Landlord, and A-M Global Logistics, LLC as tenant, dated as of November 17, 2023.

Exhibit 10.27 FOURTH AMENDMENT TO AIR CARGO CENTER LEASE THIS FOURTH AMENDMENT TO AIR CARGO CENTER LEASE (the "Fourth Amendment") is entered into as of the 17th day of November 2023, by and between MCP CARGO, LLC, a Nevada limited liability company ("Landlord") and A-M GLOBAL LOGISTICS, LLC, a Delaware limited liability company ("Tenant"). R E C I T A L S A. Landlord and Tenant entered into that c

Second Amendment to Air Cargo Lease between MCP CARGO, LLC as Landlord, and A-M Global Logistics, LLC as tenant, dated as of November 20, 2015.

Exhibit 10.25 SECOND AMENDMENT TO AIR CARGO CENTER LEASE THIS SECOND AMENDMENT TO AIR CARGO CENTER LEASE (the "Second Amendment") is entered into as of the day of , 2015, by and between MCP CARGO, LLC, a Nevada limited liability company ("Landlord") and A-M GLOBAL LOGISTICS, LLC, a Delaware limited liability company ("Tenant"). R E C I T A L S A. Landlord and Tenant entered into that certain Air C

Stock Ownership Guidelines for Directors, effective April 29, 2021, as amended on August 20, 2024.

Exhibit 10.10 A-MARK PRECIOUS METALS, INC. Stock Ownership Guidelines For Directors The Board of Directors of A-Mark Precious Metals, Inc. believes that Directors more effectively carry out their duties on behalf of A-Mark’s stockholders if the Directors are themselves stockholders. Accordingly, effective April 29, 2021, the Board adopted these Stock Ownership Guidelines For Directors, setting for

Fifth Amendment to Air Cargo Lease between MCP CARGO, LLC as Landlord, and A-M Global Logistics, LLC as tenant, dated as of March 3, 2024.

Exhibit 10.28 FIFTH AMENDMENT TO AIR CARGO CENTER LEASE THIS FIFTH AMENDMENT TO AIR CARGO CENTER LEASE (the "Fifth Amendment") is entered into as of the 3rd day of March 2024, by and between MCP CARGO, LLC, a Nevada limited liability company ("Landlord") and A-M GLOBAL LOGISTICS, LLC, a Delaware limited liability company ("Tenant"). R E C I T A L S A. Landlord and Tenant entered into that certain

Sixth Amendment to Air Cargo Lease between MCP CARGO, LLC as Landlord, and A-M Global Logistics, LLC as tenant, dated as of June 20, 2024.

Exhibit 10.29 SIXTH AMENDMENT TO AIR CARGO CENTER LEASE THIS SIXTH AMENDMENT TO AIR CARGO CENTER LEASE (the "Sixth Amendment") is entered into as of the 20th day of June 2024, by and between MCP CARGO, LLC, a Nevada limited liability company ("Landlord") and A-M GLOBAL LOGISTICS, LLC, a Delaware limited liability company ("Tenant"). R E C I T A L S A. Landlord and Tenant entered into that certain

Non-Employee Director Compensation Policy, as amended and restated on November 15, 2023.

Exhibit 10.9 A-MARK PRECIOUS METALS, INC. 2014 Stock Award And Incentive Plan As Amended and Restated October 27, 2022 1. Purpose of the Plan. The purpose of this 2014 Stock Award and Incentive Plan (the "Plan") is to aid A-Mark Precious Metals, Inc., a Delaware corporation (the "Company"), in attracting, retaining, motivating and rewarding employees, non-employee directors and other persons who p

Third Amendment to Air Cargo Lease between MCP CARGO, LLC as Landlord, and A-M Global Logistics, LLC as tenant, dated as of April 20, 2018.

Exhibit 10.26 THIRD AMENDMENT TO AIR CARGO CENTER LEASE THIS THIRD AMENDMENT TO AIR CARGO CENTER LEASE (the "Third Amendment") is entered into as of the day of , 2018, by and between MCP CARGO, LLC, a Nevada limited liability company ("Landlord") and A-M GLOBAL LOGISTICS, LLC, a Delaware limited liability company ("Tenant"). R E C I T A L S A. Landlord and Tenant entered into that certain Air Carg

A-Mark Precious Metals Reports Preliminary Fiscal Fourth Quarter and Preliminary Full Year 2024 Results $9.7 Billion of Revenues for Full Year 2024 Preliminary Full Year 2024 Diluted Earnings per Share of $2.75 ($2.15 Excluding $14.4 Million Estimate

Exhibit 99.1 A-Mark Precious Metals Reports Preliminary Fiscal Fourth Quarter and Preliminary Full Year 2024 Results $9.7 Billion of Revenues for Full Year 2024 Preliminary Full Year 2024 Diluted Earnings per Share of $2.75 ($2.15 Excluding $14.4 Million Estimated Preliminary Remeasurement Gain) Company Reaffirms Regular Quarterly Cash Dividend of $0.20 per share Credit Facility Amended Increasing

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

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 29, 2024 A-MARK PRECIOUS METALS, INC. (Exact name of Registrant as Specified in Its Charter) Delaware 001-36347 11-2464169 (State or Other Jurisdiction of Incorporation or orga

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): June 24, 2024 A-MARK PRECIOUS METALS, INC. (Exact name of Registrant as Specified in Its Charter) Delaware 001-36347 11-2464169 (State or Other Jurisdiction of Incorporation) (Commiss

Joinder, Incremental Assumption Agreement and Ninth Amendment to Credit Agreement, effective as of June 24, 2024, among the Company, the other loan parties party thereto, the lenders party thereto and CIBC Bank USA as administrative agent for the lenders.

Execution Version EXHIBIT 10.1 JOINDER, INCREMENTAL ASSUMPTION AGREEMENT AND NINTH AMENDMENT TO CREDIT AGREEMENT THIS JOINDER, INCREMENTAL ASSUMPTION AGREEMENT AND NINTH AMENDMENT TO CREDIT AGREEMENT (this “Amendment”), effective as of June 24, 2024 (the “Ninth Amendment Effective Date”), is by and among A-MARK PRECIOUS METALS, INC., a Delaware corporation (the “Borrower”), the other Loan Parties

Financial Statements and Exhibits, Results of Operations and Financial Condition

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 07, 2024 A-MARK PRECIOUS METALS, INC. (Exact name of Registrant as Specified in Its Charter) Delaware 001-36347 11-2464169 (State or Other Jurisdiction of Incorporation or organiz

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q

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 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-36347 A-MARK PRECIOUS META

A-Mark Precious Metals Reports Fiscal Third Quarter 2024 Results Q3 FY 2024 Diluted Earnings Per Share of $0.21 Repurchased 204,396 Common Shares for $5 Million Expanded into Asia with the Previously Announced Acquisition of LPM Group Limited Company

Exhibit 99.1 A-Mark Precious Metals Reports Fiscal Third Quarter 2024 Results Q3 FY 2024 Diluted Earnings Per Share of $0.21 Repurchased 204,396 Common Shares for $5 Million Expanded into Asia with the Previously Announced Acquisition of LPM Group Limited Company Reaffirms Regular Quarterly Cash Dividend Policy of $0.20 per share El Segundo, CA – May 7, 2024 – A-Mark Precious Metals, Inc. (NASDAQ:

Code of Business Conduct and Ethics

EXHIBIT 14.1 A-MARK PRECIOUS METALS, INC. CODE OF BUSINESS CONDUCT AND ETHICS (Effective May 6, 2024) A-MARK PRECIOUS METALS, INC. This Code of Business Conduct and Ethics (this “Code”) has been prepared to focus the directors, executive officers and other employees of A-Mark Precious Metals, Inc. and of each of its U.S. and international subsidiaries (collectively, the “Company”) on areas of ethi

IDENTIFICATION AND CLASSIFICATION OF MEMBERS OF THE GROUP

EX-2 3 ex2.htm EXHIBIT 2 EXHIBIT 2 IDENTIFICATION AND CLASSIFICATION OF MEMBERS OF THE GROUP PREAETORIAN PR LLC HARRIS KUPPERMAN PRAETORIAN CAPITAL FUND LLC MONGOLIA (BARBADOS) CORP.

AMRK / A-Mark Precious Metals, Inc. / Praetorian PR LLC - SC 13G Passive Investment

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 A-Mark Precious Metals, Inc. (Name of Issuer) Common Stock (Title of Class of Securities) 00181T107 (CUSIP Number) March 26, 2024 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Schedule is file

JOINT FILING AGREEMENT

EX-1 2 ex1.htm EXHIBIT 1 EXHIBIT 1 JOINT FILING AGREEMENT In accordance with Rule 13d-1(f) 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 this Schedule 13G (including amendments thereto) with respect to the Common Stock of A-Mark Precious Metals, Inc. and further agree that this Joint Filing Agreement be include

AMRK / A-Mark Precious Metals, Inc. / AMERICAN CENTURY INVESTMENT MANAGEMENT INC - SC 13G/A Passive Investment

SC 13G/A 1 amarkpreciousmetals13g-a1.htm SC 13G/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1) * A-MARK PRECIOUS METALS, INC. (Name of Issuer) COMMON STOCK (Title of Class of Securities) 00181T107 (CUSIP Number) DECEMBER 31, 2023 (Date of Event Which Requires Filing of this Statement) Check the appr

A-Mark Precious Metals Reports Fiscal Second Quarter 2024 Results Q2 FY 2024 Diluted Earnings Per Share of $0.57 Repurchase of 440,092 Common Shares for $12 Million Asset Backed Securitization Notes Payable paid off at Maturity Company reaffirms regu

Exhibit 99.1 A-Mark Precious Metals Reports Fiscal Second Quarter 2024 Results Q2 FY 2024 Diluted Earnings Per Share of $0.57 Repurchase of 440,092 Common Shares for $12 Million Asset Backed Securitization Notes Payable paid off at Maturity Company reaffirms regular quarterly cash dividend policy of $0.20 per share El Segundo, CA – February 6, 2024 – A-Mark Precious Metals, Inc. (NASDAQ: AMRK), a

Financial Statements and Exhibits, Results of Operations and Financial Condition

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 06, 2024 A-MARK PRECIOUS METALS, INC. (Exact name of Registrant as Specified in Its Charter) Delaware 001-36347 11-2464169 (State or Other Jurisdiction of Incorporation or or

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q

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 December 31, 2023 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-36347 A-MARK PRECIOUS M

Eighth Amendment to Credit Agreement

Exhibit 10.1 EIGHTH AMENDMENT TO CREDIT AGREEMENT THIS EIGHTH AMENDMENT TO CREDIT AGREEMENT (this “Amendment”), effective as of December 21, 2023, is by and among A-MARK PRECIOUS METALS, INC., a Delaware corporation (the “Borrower”), the other Loan Parties party hereto, the Lenders party hereto, and CIBC BANK USA, as administrative agent for the Lenders (in such capacity, the “Agent”). RECITALS A.

Other Events, 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 15, 2023 A-MARK PRECIOUS METALS, INC. (Exact name of Registrant as Specified in Its Charter) Delaware 001-36347 11-2464169 (State or Other Jurisdiction of Incorporation or Or

A-Mark Precious Metals Reports Fiscal First Quarter 2024 Results Diluted Earnings per Share of $0.77 Repurchase of 171,268 Common Shares for $5.0 Million Company reaffirms regular quarterly cash dividend policy of $0.20 per share Credit Facility amen

Exhibit 99.1 A-Mark Precious Metals Reports Fiscal First Quarter 2024 Results Diluted Earnings per Share of $0.77 Repurchase of 171,268 Common Shares for $5.0 Million Company reaffirms regular quarterly cash dividend policy of $0.20 per share Credit Facility amended increasing liquidity and reclassifying debt to long term El Segundo, CA – November 7, 2023 – A-Mark Precious Metals, Inc. (NASDAQ: AM

Financial Statements and Exhibits, Results of Operations and Financial Condition

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 07, 2023 A-MARK PRECIOUS METALS, INC. (Exact name of Registrant as Specified in Its Charter) Delaware 001-36347 11-2464169 (State or Other Jurisdiction of Incorporation or or

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q

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 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-36347 A-MARK PRECIOUS

A-Mark Precious Metals, Inc. Incentive-Based Compensation Recovery Policy

Exhibit 10.1 A-Mark Precious Metals, Inc. Incentive-Based Compensation Recovery Policy Section 1. Introduction. The board of directors (the “Board”) of A-Mark Precious Metals, Inc. (the “Company”) has adopted this policy (the “Policy”) to provide for the recovery by the Company, in the event of a Recovery Trigger (as defined below), of certain incentive-based compensation received by certain curre

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

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 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)) ☒ Definitive Proxy State

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.

Exhibit 10.1 JOINDER AND SEVENTH AMENDMENT TO CREDIT AGREEMENT THIS JOINDER AND SEVENTH AMENDMENT TO CREDIT AGREEMENT (this “Amendment”), effective as of September 20, 2023 (the “Seventh Amendment Effective Date”), is by and among A-MARK PRECIOUS METALS, INC., a Delaware corporation (the “Borrower”), the other Loan Parties party hereto, BX CORPORATION, a Delaware corporation (“BX Corp.” or the “Ne

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): September 20, 2023 A-MARK PRECIOUS METALS, INC. (Exact name of Registrant as Specified in Its Charter) Delaware 001-36347 11-2464169 (State or Other Jurisdiction of Incorporation) (Co

List of Subsidiaries of A-Mark Precious Metals, Inc.

Exhibit 21 Active Direct and Indirect Subsidiaries of A-Mark Precious Metals, Inc.

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K

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 June 30, 2023 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-36347 A-MARK PRECIOUS METALS, INC.

Description of Securities of Registrant. Incorporated by reference to Exhibit 4.1 to the Report on Form 10-K filed on September 12, 2023.

EXHIBIT 4.1 DESCRIPTION OF THE REGISTRANT’S SECURITIES REGISTERED PURSUANT TO SECTION 12 OF THE SECURITIES EXCHANGE ACT of 1934 A-Mark Precious Metals, Inc. (“A-Mark” or the “Company”) had one class of securities registered under Section 12 of the Securities Exchange Act of 1934, as amended: Common Stock, par value $0.01 per share (“Common Stock”). The following description of the Common Stock is

A-Mark Precious Metals Reports Fiscal Fourth Quarter and Full Year 2023 Results FY 2023 Diluted Earnings Per Share of $6.34 up from $5.45 in FY 2022 $9.3 Billion of Revenues for Full Year 2023 Record FY 2023 Non-GAAP EBITDA of $225 Million 46% Year-o

Exhibit 99.1 A-Mark Precious Metals Reports Fiscal Fourth Quarter and Full Year 2023 Results FY 2023 Diluted Earnings Per Share of $6.34 up from $5.45 in FY 2022 $9.3 Billion of Revenues for Full Year 2023 Record FY 2023 Non-GAAP EBITDA of $225 Million 46% Year-over-Year Increase in Direct-to-Consumer New Customers Company Declares Non-recurring Special Dividend of $1.00 per share El Segundo, CA –

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

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 31, 2023 A-MARK PRECIOUS METALS, INC. (Exact name of Registrant as Specified in Its Charter) Delaware 001-36347 11-2464169 (State or Other Jurisdiction of Incorporation or orga

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

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 05, 2023 A-MARK PRECIOUS METALS, INC. (Exact name of Registrant as Specified in Its Charter) Delaware 001-36347 11-2464169 (State or Other Jurisdiction of Incorporation or organi

Consulting Agreement, dated June 5, 2023, between A-Mark Precious Metals, Inc. and Michael R. Wittmeyer. Incorporated by reference to Exhibit 10.1 to the Report on Form 8-K filed on June 7, 2023.

Exhibit 10.1 A-MARK PRECIOUS METALS, INC. CONSULTING AGREEMENT Executed June 5, 2023 THIS CONSULTING AGREEMENT (this “Consulting Agreement”) is between A-Mark Precious Metals, Inc., a Delaware corporation (the “Company” or “A-Mark”), and MICHAEL R. WITTMEYER, an individual residing in Texas (“Consultant” or "Mr. Wittmeyer"). WHEREAS, Consultant currently is employed by JM Bullion, Inc., a subsidia

A-Mark Precious Metals Reports Fiscal Third Quarter 2023 Results Q3 FY 2023 Diluted Earnings Per Share of $1.46 up from $1.35 in Q2 FY 2023 Q3 FY 2023 EBITDA of $52MM up 7% from Q2 FY 2023 Company Repurchases 335,735 Common Shares for $9.8MM

Exhibit 99.1 A-Mark Precious Metals Reports Fiscal Third Quarter 2023 Results Q3 FY 2023 Diluted Earnings Per Share of $1.46 up from $1.35 in Q2 FY 2023 Q3 FY 2023 EBITDA of $52MM up 7% from Q2 FY 2023 Company Repurchases 335,735 Common Shares for $9.8MM El Segundo, CA – May 9, 2023 – A-Mark Precious Metals, Inc. (NASDAQ: AMRK), a leading fully integrated precious metals platform, reported results

Waiver and Fifth Amendment to Credit Agreement. Incorporated by reference to Exhibit 10.2 to the Report on Form 10-Q filed on May 10, 2023.

eXHIBIT 10.2 WAIVER AND FIFTH AMENDMENT TO CREDIT AGREEMENT THIS WAIVER AND FIFTH AMENDMENT TO CREDIT AGREEMENT (this “Amendment”), effective as of March 30, 2023, is by and among A-MARK PRECIOUS METALS, INC., a Delaware corporation (the “Borrower”), the other Loan Parties party hereto, the Lenders party hereto, and CIBC BANK USA, as administrative agent for the Lenders (in such capacity, the “Age

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q

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 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-36347 A-MARK PRECIOUS META

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

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 09, 2023 A-MARK PRECIOUS METALS, INC. (Exact name of Registrant as Specified in Its Charter) Delaware 001-36347 11-2464169 (State or Other Jurisdiction of Incorporation or organiz

Form of Indemnification Agreement. Incorporated by reference to Exhibit 10.1 to the Report on Form 10-Q filed on May 10, 2023.

eXHIBIT 10.1 FORM OF INDEMNIFICATION AGREEMENT THIS INDEMNIFICATION AGREEMENT (the “Agreement”) is made and entered into as of , between A-Mark Precious Metals, Inc., a Delaware corporation (the “Company”), and (“Indemnitee”). WITNESSETH THAT: WHEREAS, Indemnitee is the of the Company; and WHEREAS, at the request of the Company, the Indemnitee has served and expects to continue to serve on the Boa

A-Mark Precious Metals, Inc. 2121 Rosecrans Avenue, Suite 6300 El Segundo, California

CORRESP 1 filename1.htm Securities and Exchange Commission February 17, 2023 Page 1 A-Mark Precious Metals, Inc. 2121 Rosecrans Avenue, Suite 6300 El Segundo, California 90245 VIA EDGAR February 17, 2023 United States Securities and Exchange Commission Division of Corporation Finance Office of Trade & Services 100 F Street NE Washington, D.C. 20549 Attention: Tony Watson and Suying Li Re: A-Mark P

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, 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): February 14, 2023 A-MARK PRECIOUS METALS, INC. (Exact name of Registrant as Specified in Its Charter) Delaware 001-36347 11-2464169 (State or Other Jurisdiction of Incorporation or or

Amended and Restated Employment Agreement, dated February 14, 2023, between the Company and Gregory N. Roberts. Incorporated by reference to Exhibit 10.1 to the Report on Form 8-K filed on February 17, 2023.

Exhibit 10.1 A-Mark Precious Metals, Inc. EMPLOYMENT AGREEMENT Executed February 14, 2023 This Employment Agreement (this “Agreement”) is between A-MARK PRECIOUS METALS, INC., a Delaware corporation (the “Company” or “A-Mark”), and GREGORY N. ROBERTS, an individual (“Mr. Roberts”). WHEREAS, Mr. Roberts has served the Company as Chief Executive Officer and in related capacities under the Employment

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ☑ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended December 31, 2022 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-36347 A-MARK

AMRK / A-Mark Precious Metals Inc / AMERICAN CENTURY INVESTMENT MANAGEMENT INC - SC 13G Passive Investment

SC 13G 1 amarkpreciousmetals13g.htm SC 13G United States Securities and Exchange Commission Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* A-MARK PRECIOUS METALS, INC. (Name of Issuer) COMMON STOCK (Title of Class of Securities) 00181T107 (CUSIP Number) DECEMBER 31, 2022 (Date of Event Which Requires Filing of this Statement) Check the appropriate b

Fourth Amendment to Credit Agreement, effective as of December 8, 2022, by and among A-Mark Precious Metals, Inc., the Lenders party thereto, CIBC Bank USA, as administrative agent for the Lenders, and certain other parties thereto. Incorporated by reference to Exhibit 10.1 to the Report on Form 10-Q filed on February 8, 2023.

Exhibit 10.1 FOURTH AMENDMENT TO CREDIT AGREEMENT THIS FOURTH AMENDMENT TO CREDIT AGREEMENT (this “Amendment”), effective as of December 8, 2022, is by and among A-MARK PRECIOUS METALS, INC., a Delaware corporation (the “Borrower”), the other Loan Parties party hereto, the Lenders party hereto, and CIBC BANK USA, as administrative agent for the Lenders (in such capacity, the “Agent”). RECITALS A.

Employment Agreement, dated February 1, 2023, between A-Mark Precious Metals, Inc. and Brian Aquilino. Incorporated by reference to Exhibit 10.1 to the Report on Form 8-K filed on February 7, 2023.

EXHIBIT 10.1 February 1, 2023 Brian Aquilino [Address Redacted] Re: Terms of Employment as Chief Operating Officer Dear Brian: A-Mark Precious Metals, Inc. (the “Company”) is pleased to confirm the revised terms of your employment that become effective February 1, 2023 (the “Effective Date”), in your position as Chief Operating Officer of the Company. This letter agreement (the “Agreement”) specif

A-Mark Precious Metals Reports Fiscal Second Quarter 2023 Results Q2 FY 2023 Diluted Earnings Per Share of $1.35 up from $1.30 in Q2 FY 2022 230% YoY Increase in New Direct-to-Consumer (DTC) Customers, including customers acquired from BGASC

Exhibit 99.1 A-Mark Precious Metals Reports Fiscal Second Quarter 2023 Results Q2 FY 2023 Diluted Earnings Per Share of $1.35 up from $1.30 in Q2 FY 2022 230% YoY Increase in New Direct-to-Consumer (DTC) Customers, including customers acquired from BGASC El Segundo, CA – February 6, 2023 – A-Mark Precious Metals, Inc. (NASDAQ: AMRK), a leading fully integrated precious metals platform, reported re

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

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 01, 2023 A-MARK PRECIOUS METALS, INC. (Exact name of Registrant as Specified in Its Charter) Delaware 001-36347 11-2464169 (State or Other Jurisdiction of Incorporation or or

Financial Statements and Exhibits, Results of Operations and Financial Condition

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 08, 2022 A-MARK PRECIOUS METALS, INC. (Exact name of Registrant as Specified in Its Charter) Delaware 001-36347 11-2464169 (State or Other Jurisdiction of Incorporation or or

A-Mark Precious Metals Reports Fiscal First Quarter 2023 Results Q1 FY 2023 Diluted Earnings Per Share of $1.83 up from $1.08 in Q1 FY 2022 and $1.52 in Q4 FY 2022 37% YoY Increase in Gross Profit for the Quarter Company Affirms Regular Quarterly Cas

A-Mark Precious Metals Reports Fiscal First Quarter 2023 Results Q1 FY 2023 Diluted Earnings Per Share of $1.

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2022 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-36347 A-MAR

Joinder and Third Amendment to Credit Agreement, effective as of September 30, 2022, by and among A-Mark Precious Metals, Inc., the Lenders party thereto, CIBC Bank USA, as administrative agent for the Lenders, and certain other parties thereto. Incorporated by reference to Exhibit 10.1 to the Report on Form 8-K filed on November 8, 2022.

Exhibit 10.1 JOINDER AND THIRD AMENDMENT TO CREDIT AGREEMENT THIS JOINDER AND THIRD AMENDMENT TO CREDIT AGREEMENT (this ?Amendment?), effective as of September 30, 2022, is by and among A-MARK PRECIOUS METALS, INC., a Delaware corporation (the ?Borrower?), the other Loan Parties party hereto, BUY GOLD AND SILVER CORP, a Delaware corporation (?BGSC?), MARKSMEN HOLDINGS, LLC, a Delaware limited liab

Calculation of Filing Fee Tables

Exhibit 107 Calculation of Filing Fee Tables Form S-8 (Form Type) A-Mark Precious Metals, Inc.

As filed with the Securities and Exchange Commission on November 4, 2022

As filed with the Securities and Exchange Commission on November 4, 2022 Registration No.

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.

EXHIBIT 3.2 AMENDED AND RESTATED BY-LAWS OF A-MARK PRECIOUS METALS, INC. October 27, 2022 ARTICLE 1 STOCKHOLDERS 1.1 Place of Meetings. Meetings of stockholders must be held at such place, either within or outside the State of Delaware, as the board of directors may designate from time to time. 1.2 Annual Meetings. Annual meetings of stockholders must be held at the day and time fixed, from time t

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year, Financial Statements and Exhibits, Other Events, 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): October 27, 2022 A-MARK PRECIOUS METALS, INC. (Exact name of Registrant as Specified in Its Charter) Delaware 001-36347 11-2464169 (State or Other Jurisdiction of Incorporation or org

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

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 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)) ? Definitive Proxy State

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K

3 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K (Mark One) ? ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended June 30, 2022 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-36347 A-MARK PRECIOUS

List of Subsidiaries of A-Mark Precious Metals, Inc.

Exhibit 21 Active Direct and Indirect Subsidiaries of A-Mark Precious Metals, Inc.

AMRK / A-Mark Precious Metals Inc / BENJAMIN JEFFREY D - SC 13D/A Activist Investment

SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13D (Rule 13d-101) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULE 13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(a) Under the Securities Exchange Act of 1934 (Amendment No. 3) A-MARK PRECIOUS METALS, INC. (Name of Issuer) Common Stock, Par Value $0.01 Per Share (Title of Class of Securities) 00181T 10

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, 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 18, 2022 A-MARK PRECIOUS METALS, INC. (Exact name of Registrant as Specified in Its Charter) Delaware 001-36347 11-2464169 (State or Other Jurisdiction of Incorporation or organiz

Employment Agreement, executed May 18, 2022, between A-Mark Precious Metals, Inc. and Thor Gjerdrum. Incorporated by reference to Exhibit 10.1 to the Report on Form 8-K dated May 20, 2022.

EXHIBIT 10.1 A-Mark Precious Metals, Inc. EMPLOYMENT AGREEMENT Executed May 18, 2022 This Employment Agreement (this ?Agreement?) is between A-MARK PRECIOUS METALS, INC., a Delaware corporation (the ?Company? or ?A-Mark?), and THOR C. GJERDRUM, an individual (?Mr. Gjerdrum?). WHEREAS, Mr. Gjerdrum has served the Company as President under the Employment Agreement between Mr. Gjerdrum and the Compa

Amended and Restated 2014 Stock Award And Incentive Plan. Incorporated by reference to Exhibit 10.2 to the Report on Form 10-Q filed on May 9, 2022.

Exhibit 10.2 A-MARK PRECIOUS METALS, INC. 2014 Stock Award And Incentive Plan As Amended and Restated February 23, 2022 1. Purpose of the Plan. The purpose of this 2014 Stock Award and Incentive Plan (the "Plan") is to aid A-Mark Precious Metals, Inc., a Delaware corporation (the "Company"), in attracting, retaining, motivating and rewarding employees, non-employee directors and other persons who

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2022 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-36347 A-MARK PR

irst Amendment to Credit Agreement (the “Credit Agreement”), effective as of April 22, 2022, among the Company, the other loan parties party thereto, CIBC Bank USA, as agent and joint lead arranger, Coöperatieve Rabobank U.A., Axos Bank, Brown Brothers Harriman, California Bank & Trust and First Foundation Bank as joint lead arrangers, and the various financial institutions party thereto as lenders. Incorporated by reference to Exhibit 10.1 to the Report on Form 10-Q filed on May 9, 2022.

EXHIBIT 10.1 EXECUTION VERSION FIRST AMENDMENT TO CREDIT AGREEMENT THIS FIRST AMENDMENT TO CREDIT AGREEMENT (this ?Amendment?), effective as of April 22, 2022, is by and among A-MARK PRECIOUS METALS, INC., a Delaware corporation (the ?Borrower?), the other Loan Parties party hereto, the Lenders party hereto, and CIBC BANK USA, as administrative agent for the Lenders (in such capacity, the ?Agent?)

Common Stock

Filed Pursuant to Rule 424(b)(3) Registration No. 333-263935 PROSPECTUS Common Stock This prospectus relates to the resale of up to an aggregate of 464,640 shares of common stock, par value $0.01 per share, of A-Mark Precious Metals, Inc., a Delaware corporation, that may be sold from time to time by the Selling Stockholders named in this prospectus. The shares were issued to the Selling Stockhold

A-Mark Precious Metal, Inc. 2121 Rosecrans Avenue, Suite 6300 El Segundo, CA 90245

A-Mark Precious Metal, Inc. 2121 Rosecrans Avenue, Suite 6300 El Segundo, CA 90245 April 7, 2022 VIA EDGAR United States Securities and Exchange Commission Division of Corporation Finance 100 F Street, NE Washington, DC 20549 Re: A-Mark Precious Metals, Inc. Registration Statement on Form S-3 File No. 333-263935 Ladies and Gentlemen: Pursuant to Rule 461 of Regulation C promulgated under the Secur

Filing Fee Table.

Exhibit 107 EX-FILING FEES Calculation of Filing Fee Tables Form S-3 (Form Type) A-MARK PRECIOUS METALS, INC.

As filed with the Securities and Exchange Commission on March 28, 2022

As filed with the Securities and Exchange Commission on March 28, 2022 Registration No.

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended December 31, 2021 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-36347 A-MARK

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers

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 23, 2021 A-MARK PRECIOUS METALS, INC. (Exact name of Registrant as Specified in Its Charter) Delaware 001-36347 11-2464169 (State or Other Jurisdiction of Incorporation or or

Credit Agreement (the “Credit Agreement”), dated December 21, 2021, among the Company, the other loan parties party thereto, CIBC Bank USA, as agent and joint lead arranger, Coöperatieve Rabobank U.A., Axos Bank, Brown Brothers Harriman, California Bank & Trust and First Foundation Bank as joint lead arrangers, and the various financial institutions party thereto as lenders.

Exhibit 10.1 CREDIT AGREEMENT dated as of December 21, 2021 Among A-MARK PRECIOUS METALS, INC., as Borrower, THE OTHER LOAN PARTIES PARTY HERETO, THE VARIOUS FINANCIAL INSTITUTIONS PARTY HERETO, as Lenders, CO?PERATIEVE RABOBANK U.A., NEW YORK BRANCH, as Joint Lead Arranger, AXOS BANK, as Joint Lead Arranger, BROWN BROTHERS HARRIMAN, as Joint Lead Arranger, CALIFORNIA BANK & TRUST, as Joint Lead A

Entry into a Material Definitive Agreement, Termination of 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): December 21, 2021 A-MARK PRECIOUS METALS, INC. (Exact name of Registrant as Specified in Its Charter) Delaware 001-36347 11-2464169 (State or Other Jurisdiction of Incorporation or or

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ?QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2021 OR ?TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-36347 A-MARK

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): October 28, 2021 A-MARK PRECIOUS METALS, INC. (Exact name of registrant as specified in its charter) Delaware 001-36347 11-2464169 (State or Other Jurisdiction of Incorporation) (Comm

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

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 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)) ? Definitive Proxy State

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K/A

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K/A ?ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Fiscal Year Ended June 30, 2021 OR ?TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission File Number: 001-36347 A-MARK PRECIOUS METALS, INC. (Exact name of registrant as speci

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K

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 June 30, 2021 OR ☐TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission File Number: 001-36347 A-MARK PRECIOUS METALS, INC. (Exact name of registrant as specifi

List of Subsidiaries of A-Mark Precious Metals, Inc.

Exhibit 21 Active Direct and Indirect Subsidiaries of A-Mark Precious Metals, Inc.

Entry into a Material Definitive Agreement, Financial Statements and Exhibits, Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant

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 16, 2021 A-MARK PRECIOUS METALS, INC. (Exact name of registrant as specified in its charter) Delaware 001-36347 11-2464169 (State or Other Jurisdiction of Incorporation) (Commiss

Seventh Amendment to Amended and Restated Uncommitted Credit Agreement and Amendment to Security Agreement, dated July 7, 2021

[Execution Version] SEVENTH AMENDMENT TO AMENDED AND RESTATED UNCOMMITTED CREDIT AGREEMENT This SEVENTH AMENDMENT TO AMENDED AND RESTATED UNCOMMITTED CREDIT AGREEMENT (this ?Seventh Amendment?) dated as of July 7, 2021 is among A-MARK PRECIOUS METALS, INC.

Eighth Amendment to Amended and Restated Uncommitted Credit Agreement and Amendment to Security Agreement, dated July 16, 2021.

Exhibit 10.1 EIGHTH AMENDMENT TO AMENDED AND RESTATED UNCOMMITTED CREDIT AGREEMENT This EIGHTH AMENDMENT TO AMENDED AND RESTATED UNCOMMITTED CREDIT AGREEMENT (this ?Eighth Amendment?) dated as of July 16, 2021 is among A-MARK PRECIOUS METALS, INC., a Delaware corporation (the ?Borrower?), the undersigned Lenders and CO?PERATIEVE RABOBANK U.A., NEW YORK BRANCH, as Administrative Agent (the ?Adminis

AMRK / A-Mark Precious Metals Inc / BENJAMIN JEFFREY D - SC 13D/A Activist Investment

SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13D (Rule 13d-101) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULE 13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(a) Under the Securities Exchange Act of 1934 (Amendment No. 2) A-MARK PRECIOUS METALS, INC. (Name of Issuer) Common Stock, Par Value $0.01 Per Share (Title of Class of Securities) 00181T 10

AMRK / A-Mark Precious Metals Inc / ROBERTS GREGORY N - SC 13D/A Activist Investment

SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13D (Rule 13d-101) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULE 13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(a) Under the Securities Exchange Act of 1934 (Amendment No. 2) A-MARK PRECIOUS METALS, INC. (Name of Issuer) Common Stock, Par Value $0.01 Per Share (Title of Class of Securities) 00181T 10

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2021 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-36347 A-MARK PR

Stock Ownership Guidelines for Directors, effective April 29, 2021. Incorporated by reference to Exhibit 10.2 to the Report on Form 10-Q filed on May 14, 2021.

Exhibit 10.2 A-MARK PRECIOUS METALS, INC. Stock Ownership Guidelines For Directors The Board of Directors of A-Mark Precious Metals, Inc. believes that Directors more effectively carry out their duties on behalf of A-Mark?s stockholders if the Directors are themselves stockholders. Accordingly, effective April 29, 2021, the Board has adopted these Stock Ownership Guidelines For Directors, setting

Non-Employee Director Compensation Policy, dated April 20, 2021. Incorporated by reference to Exhibit 10.1 to the Report on Form 10-Q filed on May 14, 2021.

Exhibit 10.1 A-Mark Precious Metals, Inc. Non-Employee Director Compensation Policy April 29, 2021 On April 20, 2021, the Compensation Committee of the Board of Directors (the ?Board?) of A-Mark Precious Metals, Inc. (the ?Company?) amended and restated this Compensation Policy for members of the Board who are not employed by the Company (each, a ?Non-Employee Director?), subject to the approval o

Form of Deferred Stock Units Agreement for Non-Employee Directors. Incorporated by reference to Exhibit 10.4 to the Report on Form 10-Q filed on May 14, 2021.

Exhibit 10.4 A-Mark Precious Metals, Inc. 2014 Stock Award and Incentive Plan Deferred Stock Units Agreement ? Non-Employee Director This Deferred Stock Units Agreement (the "Agreement") confirms the grant on April 29, 2021 (the "Grant Date") by A-Mark Precious Metals, Inc., a Delaware corporation (the "Company" or ?A-Mark?), to ("Grantee"), of Deferred Stock Units (the "DSUs") relating to A-Mark

Form of Restricted Stock Units Agreement for Non-Employee Directors. Incorporated by reference to Exhibit 10.3 to the Report on Form 10-Q filed on May 14, 2021.

EX-10.3 4 amrk-ex103624.htm EX-10.3 Exhibit 10.3 A-Mark Precious Metals, Inc. 2014 Stock Award and Incentive Plan Restricted Stock Units Agreement – Non-Employee Director This Restricted Stock Units Agreement (the "Agreement") confirms the grant on April 29, 2021 (the "Grant Date") by A-Mark Precious Metals, Inc., a Delaware corporation (the "Company" or “A-Mark”), to ("Grantee"), of Restricted St

Sixth Amendment to Amended and Restated Uncommitted Credit Agreement and Amendment to Security Agreement, dated March 26, 2021.

EXHIBIT 10.1 SIXTH AMENDMENT TO AMENDED AND RESTATED UNCOMMITTED CREDIT AGREEMENT AND AMENDMENT TO SECURITY AGREEMENT This SIXTH AMENDMENT TO AMENDED AND RESTATED UNCOMMITTED CREDIT AGREEMENT AND AMENDMENT TO SECURITY AGREEMENT (this ?Sixth Amendment?) dated as of March 26, 2021 is among A-MARK PRECIOUS METALS, INC., a Delaware corporation (the ?Borrower?), the undersigned Lenders and CO?PERATIEVE

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): March 26, 2021 A-MARK PRECIOUS METALS, INC. (Exact name of registrant as specified in its charter) Delaware 001-36347 11-2464169 (State or Other Jurisdiction of Incorporation) (Commis

A-Mark Closes Previously Announced Acquisition of Retailer JM Bullion JM Bullion’s CEO and Co-Founder Michael Wittmeyer and Former JMB Chairman Kendall Saville, along with Technology Executive Monique Sanchez, Join A-Mark’s Board of Directors

A-Mark Closes Previously Announced Acquisition of Retailer JM Bullion JM Bullion?s CEO and Co-Founder Michael Wittmeyer and Former JMB Chairman Kendall Saville, along with Technology Executive Monique Sanchez, Join A-Mark?s Board of Directors El Segundo, CA ? March 19, 2021 ? A-Mark Precious Metals, Inc.

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Entry into a Material Definitive Agreement, Financial Statements and Exhibits, Completion of Acquisition or Disposition of Assets, 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 19, 2021 A-MARK PRECIOUS METALS, INC. (Exact name of registrant as specified in its charter) Delaware 001-36347 11-2464169 (State or Other Jurisdiction of Incorporation) (Commis

Underwriting Agreement, dated as of March 4, 2021

EX-1.1 2 tm218190d4ex1-1.htm EXHIBIT 1.1 Exhibit 1.1 A-Mark Precious Metals, Inc. UNDERWRITING AGREEMENT 2,500,000 Shares of Common Stock March 4, 2021 D.A. Davidson & Co. 611 Anton Blvd., Suite 600 Costa Mesa, CA 92626 as Representative of the several Underwriters named in Schedule I hereto Ladies and Gentlemen: A-Mark Precious Metals, Inc., a Delaware corporation (the “Company”), proposes, subje

2,500,000 Shares Common Stock

Filed Pursuant to Rule 424(b)2 Registration No. 333-249060 Prospectus Supplement (to Prospectus dated March 4, 2021) 2,500,000 Shares Common Stock We are offering 2,500,000 shares of our common stock, par value $0.01 per share, pursuant to this prospectus supplement and the accompanying prospectus. Our common stock is listed on the Nasdaq Global Select Market under the symbol ?AMRK.? On March 3, 2

Regulation FD Disclosure, Entry into a Material Definitive Agreement, Financial Statements and Exhibits

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 4, 2021 A-MARK PRECIOUS METALS, INC. (Exact name of registrant as specified in its charter) (Exact name of registrant as specified in its charter) Delaware 001-36347 11-246169 (State or othe

A-Mark Precious Metals Announces Pricing of Public Offering of Common Stock

Exhibit 99.1 A-Mark Precious Metals Announces Pricing of Public Offering of Common Stock El Segundo, CA – March 4, 2021 – A-Mark Precious Metals, Inc. (NASDAQ: AMRK) (A-Mark), a leading fully integrated precious metals platform, today announced that it had priced an offering of 2,500,000 shares of its common stock at a price to the public of $28.00 per share. All of the shares of common stock are

A-Mark Precious Metal, Inc. 2121 Rosecrans Avenue, Suite 6300 El Segundo, CA 90245

A-Mark Precious Metal, Inc. 2121 Rosecrans Avenue, Suite 6300 El Segundo, CA 90245 March 4, 2021 VIA EDGAR United States Securities and Exchange Commission Division of Corporation Finance 100 F Street, NE Washington, DC 20549 Re: A-Mark Precious Metals, Inc. Registration Statement on Form S-3 File No. 333-249060 Ladies and Gentlemen: Pursuant to Rule 461 of Regulation C promulgated under the Secur

[Signature Page Follows]

March 4, 2021 VIA EDGAR United States Securities and Exchange Commission Division of Corporation Finance 100 F Street, NE Washington, DC 20549 Re: A-Mark Precious Metals, Inc.

- S-3/A

As filed with the Securities and Exchange Commission on March 1, 2021 Registration No.

Regulation FD Disclosure, Financial Statements and Exhibits

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 25, 2021 A-MARK PRECIOUS METALS, INC. (Exact name of registrant as specified in its charter) (Exact name of registrant as specified in its charter) Delaware 001-36347 11-246169 (State or

A-Mark Precious Metals Provides Financial Guidance for Fiscal Third Quarter 2021

Exhibit 99.1 A-Mark Precious Metals Provides Financial Guidance for Fiscal Third Quarter 2021 El Segundo, CA – February 25, 2021 – A-Mark Precious Metals, Inc. (NASDAQ: AMRK) (A-Mark), a leading fully integrated precious metals platform, has provided guidance for its fiscal third quarter ending March 31, 2021 in connection with the proposed underwritten offering of its common stock announced on Fe

A-Mark Precious Metals, Inc. Free Writing Prospectus

KL Draft 2/25/21 Filed Pursuant to Rule 433 Issuer Free Writing Prospectus Dated February 25, 2021 Related to Preliminary Prospectus and Preliminary Prospectus Supplement, each dated February 24, 2021, Registration Statement No.

- S-3/A

As filed with the Securities and Exchange Commission on February 24, 2021 Registration No.

A-Mark to Acquire Leading E-commerce Retailer JM Bullion, Creating the Industry’s Preeminent Fully Integrated Precious Metals Platform

Exhibit 99.1 A-Mark to Acquire Leading E-commerce Retailer JM Bullion, Creating the Industry’s Preeminent Fully Integrated Precious Metals Platform El Segundo, CA – February 9, 2021 – A-Mark Precious Metals, Inc. (NASDAQ: AMRK) (A-Mark), a leading fully integrated precious metals platform, has entered into a definitive agreement with JM Bullion, Inc. (JMB), a leading e-commerce retailer of preciou

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, 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): February 8, 2021 A-MARK PRECIOUS METALS, INC. (Exact name of registrant as specified in its charter) Delaware 001-36347 11-2464169 (State or Other Jurisdiction of Incorporation) (Comm

Stock Purchase Agreement, dated as of February 8, 2021, by and among A-Mark Precious Metals, Inc., the other stockholders of JM Bullion, Inc. signatory thereto, and Michael R. Wittmeyer, an individual, in his capacity as the Representative. Incorporated by reference to Exhibit 2.1 to the Report on Form 8-K filed on February 11, 2021.

Exhibit 2.1 EXECUTION VERSION STOCK PURCHASE AGREEMENT Dated as of February 8, 2021 by and among A-MARK PRECIOUS METALS, INC. the other SHAREHOLDERS of JM BULLION, Inc. and MICHAEL R. WITTMEYER in his capacity as the Representative TABLE OF CONTENTS Page ARTICLE I DEFINITIONS; INTERPRETATION 2 1.1 Definitions 2 1.2 Interpretation; Usage 17 ARTICLE II PURCHASE AND SALE OF SHARES; THE CLOSING 18 2.1

Quarterly Report - 10-Q

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ☑ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended December 31, 2020 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-36347 A-MARK

our quarterly reports on Form 10-Q for the fiscal quarter ended September 30, 2020 filed with the SEC on November 12, 2020

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2020 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-36347 A-MAR

Other Events, Submission of Matters to a Vote of Security Holders - 8-K

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 29, 2020 A-MARK PRECIOUS METALS, INC. (Exact name of registrant as specified in its charter) Delaware 001-36347 11-2464169 (State or Other Jurisdiction of Incorporation) (Comm

Form of Indenture. †

Exhibit 4.1 A-MARK PRECIOUS METALS, INC. INDENTURE DATED AS OF [ ], 20 [ ], as Trustee CROSS-REFERENCE TABLE* Trust Indenture Act Section Indenture Section 310(a)(1) 7.10 (a)(2) 7.10 (a)(3) N.A. (a)(4) N.A. (a)(5) 7.10 (b) 7.10 (c) N.A. 311(a) 7.11 (b) 7.11 (c) N.A. 312(a) 2.06 (b) 11.03 (c) 11.03 313(a) 7.06 (b)(2) 7.06; 7.07 (c) 7.06; 11.02 (d) 7.06 314(a) 4.03; 11.02 (b) N.A. (c)(1) 11.04 (c)(2

- S-3

As filed with the Securities and Exchange Commission on September 25, 2020 Registration No.

our definitive proxy statement on Schedule 14A for our 2020 annual meeting of stockholders, filed with the SEC on September 18, 2020; and

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 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)) ☒ Definitive Proxy State

Annual Report - 10-K

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 June 30, 2020 OR ☐TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission File Number: 001-36347 A-MARK PRECIOUS METALS, INC. (Exact name of registrant as specifi

List of Subsidiaries of A-Mark Precious Metals, Inc.

Exhibit 21 Active Direct and Indirect Subsidiaries of A-Mark Precious Metals, Inc.

Third Amendment to Amended and Restated Uncommitted Credit Agreement with Cooperative Rabobank U.A., New York Branch as Administrative Agent and Joint Lead Arranger; Natixis, New York Branch as Syndication Agent and Joint Lead Arranger; and the Lenders named therein.

Exhibit 10.22 THIRD AMENDMENT TO AMENDED AND RESTATED UNCOMMITTED CREDIT AGREEMENT AND CONSENT This THIRD AMENDMENT TO AMENDED AND RESTATED UNCOMMITTED CREDIT AGREEMENT AND CONSENT (this “Third Amendment”) dated as of September 2, 2020 is among A-MARK PRECIOUS METALS, INC., a Delaware corporation (the “Borrower”), the undersigned Lenders and COÖPERATIEVE RABOBANK U.A., NEW YORK BRANCH, as Administ

Increase Agreement, dated as of September 2, 2020, by and among A-Mark Precious Metals, Inc., Coöperatieve Rabobank U.A., New York Branch, as Administrative Agent, and the Increasing Lenders named therein. Incorporated by reference to Exhibit 10.1 to the Report on Form 8-K dated September 2, 2020.

Exhibit 10.1 INCREASE AGREEMENT INCREASE AGREEMENT, dated as of September 1, 2020 (this “Agreement”), prepared pursuant to Section 2.19(e) of the Amended and Restated Uncommitted Credit Agreement dated as of March 29, 2019 (as amended, supplemented or modified through the date hereof, the “Existing Credit Agreement”; as modified hereby and as further amended, supplemented or otherwise modified fro

A-Mark Precious Metals Expands Revolving Credit Facility to $257.5 Million

Exhibit 99.1 A-Mark Precious Metals Expands Revolving Credit Facility to $257.5 Million El Segundo, CA – September 2, 2020 – A-Mark Precious Metals, Inc. (NASDAQ: AMRK), a leading full-service provider of products and services to the global precious metals market, has expanded its existing credit facility from $220 million to $257.5 million. The expanded credit facility will become effective on Se

Entry into a Material Definitive Agreement, Financial Statements and Exhibits, Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant - 8-K

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 2, 2020 A-MARK PRECIOUS METALS, INC. (Exact name of registrant as specified in its charter) Delaware 001-36347 11-246169 (State or Other Jurisdiction of Incorporation) (Comm

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers - 8-K-BM RESIGNATION

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 12, 2020 A-MARK PRECIOUS METALS, INC. (Exact name of registrant as specified in its charter) Delaware 001-36347 11-246169 (State or Other Jurisdiction of Incorporation) (Commis

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, 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 14, 2020 A-MARK PRECIOUS METALS, INC. (Exact name of registrant as specified in its charter) Delaware 001-36347 11-246169 (State or Other Jurisdiction of Incorporation) (Commissio

Terms of Employment as Chief Operating Officer, dated May 14, 2020

EXHIBIT 10.1 May 14, 2020 Brian Aquilino PO Box 3838 Manhattan Beach, CA 90266 Re:Terms of Employment as Chief Operating Officer Dear Brian: A-Mark Precious Metals, Inc. (the “Company”) is pleased to confirm your promotion, effective March 9, 2020 (the “Effective Date”), to the position of Chief Operating Officer of the Company. This letter agreement (the “Agreement”) specifies the terms and condi

- S-8

As filed with the Securities and Exchange Commission on May 8, 2020 Registration No.

Quarterly Report - 10-Q

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, 2020 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-36347 A-MARK PRECIOUS META

A-Mark Precious Metals Renews $270 Million Revolving Credit Facility

EX-99 3 a8-kxexx991xamrkxraboxren.htm EXHIBIT 99 A-Mark Precious Metals Renews $270 Million Revolving Credit Facility El Segundo, CA – March 20, 2020 – A-Mark Precious Metals, Inc. (NASDAQ: AMRK), a leading full-service provider of products and services to the global precious metals market, has executed the renewal of its existing $270 million credit facility, which consists of a $220 million revo

Second Amendment to Amended and Restated Uncommitted Credit Agreement with Cooperative Rabobank U.A., New York Branch as Administrative Agent and Joint Lead Arranger; Natixis, New York Branch as Syndication Agent and Joint Lead Arranger; and the Lenders named therein.

Exhibit 10.1 SECOND AMENDMENT TO AMENDED AND RESTATED UNCOMMITTED CREDIT AGREEMENT This SECOND AMENDMENT TO AMENDED AND RESTATED UNCOMMITTED CREDIT AGREEMENT (this “Second Amendment”) dated as of March 20, 2020 is among A-MARK PRECIOUS METALS, INC., a Delaware corporation (the “Borrower”), the undersigned Lenders, NATIXIS, NEW YORK BRANCH, as Syndication Agent and a Joint Lead Arranger and COÖPERA

Entry into a Material Definitive Agreement, Financial Statements and Exhibits

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 20, 2020 A-MARK PRECIOUS METALS, INC. (Exact name of registrant as specified in its charter)(Exact name of registrant as specified in its charter) Delaware 001-36347 11-246169 (State or othe

A-Mark Precious Metals Strengthens Senior Leadership Through Promotions of Experienced Team Members

Exhibit 99.1 A-Mark Precious Metals Strengthens Senior Leadership Through Promotions of Experienced Team Members El Segundo, CA – March 9, 2020 – A-Mark Precious Metals, Inc. (NASDAQ: AMRK), a leading full-service provider of products and services to the global precious metals market, has strengthened its senior leadership team through the promotions of key contributors Brian Aquilino and Kevin Pe

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Financial Statements and Exhibits

ECURITIES 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 9, 2020 A-MARK PRECIOUS METALS, INC. (Exact name of registrant as specified in its charter) (Exact name of registrant as specified in its charter) Delaware 001-36347 11-2464169 (State or othe

AMRK / A-Mark Precious Metals, Inc. 10-Q - Quarterly Report - 10-Q

Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q þ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended December 31, 2019 OR o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-36347

AMRK / A-Mark Precious Metals, Inc. 10-K/A - Annual Report - 10-K/A

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K/A ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Fiscal Year Ended June 30, 2019 Commission File Number: 001-36347 A-MARK PRECIOUS METALS, INC. (Exact name of registrant as specified in its charter) Delaware (State of Incorporation) 11-2464169 (IRS Employer I.D. No.)2121

AMRK / A-Mark Precious Metals, Inc. CORRESP - -

Kathleen Simpson-Taylor Chief Financial Officer and Executive Vice President A-Mark Precious Metals, Inc.

First Amendment to Amended and Restated Uncommitted Credit Agreement, dated as of January 13, 2020, by and among A-Mark Precious Metals, Inc., Coöperatieve Rabobank U.A., New York Branch, as Administrative Agent, and the Lenders named therein.

EXHBIT 10.1 FIRST AMENDMENT TO AMENDED AND RESTATED UNCOMMITTED CREDIT AGREEMENT This FIRST AMENDMENT TO AMENDED AND RESTATED UNCOMMITTED CREDIT AGREEMENT (this “First Amendment”) dated as of January 20, 2020 is among A-MARK PRECIOUS METALS, INC., a Delaware corporation (the “Borrower”), the undersigned Lenders, NATIXIS, NEW YORK BRANCH, as Syndication Agent and COÖPERATIEVE RABOBANK U.A., NEW YOR

Entry into a Material Definitive Agreement, Financial Statements and Exhibits, Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant

ECURITIES 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 13, 2020 A-MARK PRECIOUS METALS, INC. (Exact name of registrant as specified in its charter) (Exact name of registrant as specified in its charter) Delaware 001-36347 11-2464169 (State or o

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Financial Statements and Exhibits

ECURITIES 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 22, 2019 A-MARK PRECIOUS METALS, INC. (Exact name of registrant as specified in its charter) (Exact name of registrant as specified in its charter) Delaware 001-36347 11-2464169 (State or

Employment Agreement, executed November 22, 2019, between A-Mark Precious Metals, Inc. and Greg Roberts. Incorporated by Reference to Exhibit 10.1 to the Report on Form 8-K dated November 22, 2019.

EX-10.1 2 a101robertsemplagmtxeffx7.htm EXHIBIT 10.1 Exhibit 10.1 A-Mark Precious Metals, Inc. EMPLOYMENT AGREEMENT Executed November 22, 2019 This Employment Agreement (this “Agreement”) is between A-MARK PRECIOUS METALS, INC., a Delaware corporation (the “Company” or “A-Mark”), and GREGORY N. ROBERTS, an individual (“Mr. Roberts”). WHEREAS, Mr. Roberts has served the Company as Chief Executive O

AMRK / A-Mark Precious Metals, Inc. 10-Q - Quarterly Report - 10-Q

Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q þ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2019 OR o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-3634

Other Events, Submission of Matters to a Vote of Security Holders

ECURITIES 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 30, 2019 A-MARK PRECIOUS METALS, INC. (Exact name of registrant as specified in its charter) (Exact name of registrant as specified in its charter) Delaware 001-36347 11-2464169 (State or o

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers

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 1, 2019 A-MARK PRECIOUS METALS, INC. (Exact name of registrant as specified in its charter) (Exact name of registrant as specified in its charter) Delaware 001-36347 11-246169 (State or ot

AMRK / A-Mark Precious Metals, Inc. DEF 14A - -

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section14(a) of the Securities Exchange Act of 1934 Filed by the Registrant [X] 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)) [X] Definitive Pr

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Financial Statements and Exhibits

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 10, 2019 A-MARK PRECIOUS METALS, INC. (Exact name of registrant as specified in its charter) (Exact name of registrant as specified in its charter) Delaware 001-36347 11-246169 (State or

A-Mark Precious Metals Appoints Kathleen Simpson-Taylor as Chief Financial Officer

EX-99.1 2 form8-kxcfoxresignationxe.htm EXHIBIT 99.1 Exhibit 99.1 A-Mark Precious Metals Appoints Kathleen Simpson-Taylor as Chief Financial Officer El Segundo, CA – September 16, 2019 – A-Mark Precious Metals, Inc. (NASDAQ: AMRK), a leading full-service provider of products and services to the global precious metals market, has appointed Executive Vice President, Controller and Assistant Secretar

List of Subsidiaries of A-Mark Precious Metals, Inc

Exhibit 21 Active Direct and Indirect Subsidiaries of A-Mark Precious Metals, Inc.

AMRK / A-Mark Precious Metals, Inc. 10-K - Annual Report - 10-K

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 June 30, 2019 Commission File Number: 001-36347 A-MARK PRECIOUS METALS, INC. (Exact name of registrant as specified in its charter) Delaware (State of Incorporation) 11-2464169 (IRS Employe

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Financial Statements and Exhibits

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 1, 2019 A-MARK PRECIOUS METALS, INC. (Exact name of registrant as specified in its charter)(Exact name of registrant as specified in its charter) Delaware 001-36347 11-246169 (State or othe

Employment Agreement, executed August 1, 2019, between A-Mark Precious Metals, Inc. and Thor Gjerdrum. Incorporated by reference to Exhibit 10.1 to the Report on Form 8-K dated August 1, 2019.

Exhibit 10.1 A-Mark Precious Metals, Inc. EMPLOYMENT AGREEMENT Executed August 1, 2019 (As corrected August 6, 2019) This Employment Agreement (this “Agreement”) is between A-MARK PRECIOUS METALS, INC., a Delaware corporation (the “Company” or “A-Mark”), and THOR C. GJERDRUM, an individual (“Mr. Gjerdrum”). WHEREAS, Mr. Gjerdrum has served the Company as President under the Employment Agreement be

AMRK / A-Mark Precious Metals, Inc. 10-Q Quarterly Report 10-Q

Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q þ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2019 OR o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-36347 A-

Amended and Restated Uncommitted Credit Agreement, dated as of March 29, 2019, by and among A-Mark Precious Metals, Inc., as Borrower, Cooperatieve Rabobank U.A. as Administrative Agent and Joint Lead Arranger/Bookrunner, Natixis as Syndication Agent and Joint Lead Arranger, and the Lenders named therein. Incorporated by reference to Exhibit 10.1 to the Report on Form 8-K dated February 28, 2019.

EXHIBIT 10.1 AMENDED AND RESTATED UNCOMMITTED CREDIT AGREEMENT Dated as of March 29, 2019 by and among A-MARK PRECIOUS METALS, INC., as the Borrower THE LENDERS PARTY HERETO, COÖPERATIEVE RABOBANK U.A., NEW YORK BRANCH, as Administrative Agent and NATIXIS, NEW YORK BRANCH, as Syndication Agent and Joint Lead Arranger COÖPERATIEVE RABOBANK U.A., NEW YORK BRANCH, as Joint Lead Arranger and Bookrunne

A-Mark Precious Metals Renews $260 Million Revolving Credit Facility

Exhibit 99.1 A-Mark Precious Metals Renews $260 Million Revolving Credit Facility El Segundo, CA – March 1, 2019 – A-Mark Precious Metals, Inc. (NASDAQ: AMRK), a leading full-service provider of products and services to the global precious metals market, has executed the renewal of its existing $260 million credit facility, which consists of a $210 million revolving credit facility with a $50 mill

Entry into a Material Definitive Agreement, Financial Statements and Exhibits

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 28, 2019 A-MARK PRECIOUS METALS, INC. (Exact name of registrant as specified in its charter)(Exact name of registrant as specified in its charter) Delaware 001-36347 11-246169 (State or o

AMRK / A-Mark Precious Metals, Inc. 10-Q (Quarterly Report)

Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q þ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended December 31, 2018 OR o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-36347

Other Events

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 7, 2018 A-MARK PRECIOUS METALS, INC. (Exact name of registrant as specified in its charter) Delaware 001-36347 11-246169 (State or other jurisdiction of incorporation or organization) (Co

Other Events

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 30, 2018 A-MARK PRECIOUS METALS, INC. (Exact name of registrant as specified in its charter) Delaware 001-36347 11-246169 (State or other jurisdiction of incorporation or organization) (Co

AMRK / A-Mark Precious Metals, Inc. 10-Q (Quarterly Report)

Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q þ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2018 OR o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-3634

AMRK / A-Mark Precious Metals, Inc. DEF 14A

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section14(a) of the Securities Exchange Act of 1934 Filed by the Registrant [X] 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)) [X] Definitive Pr

AMRK / A-Mark Precious Metals, Inc. 10-K (Annual Report)

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 June 30, 2018 Commission File Number: 001-36347 A-MARK PRECIOUS METALS, INC. (Exact name of registrant as specified in its charter) Delaware (State of Incorporation) 11-2464169 (IRS Employe

List of Subsidiaries of A-Mark Precious Metals, Inc.

Exhibit 21 Active Direct and Indirect Subsidiaries of A-Mark Precious Metals, Inc.

Master Indenture, dated as of September 14, 2018, between AM Capital Funding, LLC, a limited liability company organized under the laws of the State of Delaware, and Citibank, N.A., a national banking association, as indenture trustee. Incorporated by reference to Exhibit 10.1 to the Report on Form 8-K/A as filed with the Securities and Exchange Commission on September 17, 2018.

EXECUTION VERSION ` AM CAPITAL FUNDING, LLC Issuer CITIBANK, N.A. Trustee MASTER INDENTURE Dated as of September 14, 2018 TABLE OF CONTENTS Page ARTICLE I DEFINITIONS AND CONSTRUCTION 5 Section 1.01. Definitions 5 Section 1.02. Rules of Construction 5 Section 1.03. Supplements Controlling. 5 ARTICLE II THE NOTES 6 Section 2.01. Form Generally 6 Section 2.02. Denominations 6 Section 2.03. Execution

Transfer and Sale Agreement, dated as of September 14, 2018, by and between Collateral Finance Corporation, a Delaware corporation, and AM Capital Funding, LLC, a Delaware limited liability company. Incorporated by reference to Exhibit 10.3 to the Report on Form 8-K/A as filed with the Securities and Exchange Commission on September 17, 2018.

EX-10.3 4 a-mark2018x1xtransferandsa.htm EXHIBIT 10.3 EXECUTION VERSION Collateral Finance Corporation a Delaware corporation, and AM Capital Funding, LLC, a Delaware limited liability company TRANSFER AND SALE AGREEMENT dated as of September 14, 2018 TABLE OF CONTENTS SECTION HEADING PAGE DEFINITIONS 1 ARTICLE 2 SALE TO THE TRANSFEROR; IDENTIFICATION OF ADDITIONAL DESIGNATED ACCOUNTS2 Section 2.0

Series 2018-1 Supplement, dated as of September 14, 2018, between AM Capital Funding, LLC, a limited liability company organized under the laws of the State of Delaware, and Citibank, N.A., as indenture trustee. Incorporated by reference to Exhibit 10.2 to the Report on Form 8-K/A as filed with the Securities and Exchange Commission on September 17, 2018.

EXECUTION VERSION AM CAPITAL FUNDING, LLC Issuer CITIBANK, N.A. Indenture Trustee On behalf of the Series 2018-1 Noteholders, Class A and Class B SERIES 2018-1 SUPPLEMENT Dated as of September 14, 2018 to MASTER INDENTURE Dated as of September 14, 2018 $72,000,000 SECURED SENIOR TERM NOTES, SERIES 2018-1, CLASS A $28,000,000 SECURED SUBORDINATED TERM NOTES, SERIES 2018-1, CLASS B Table of Contents

A-Mark Precious Metals Subsidiary Closes $100 Million Offering of Secured Term Notes Capital Enables A-Mark Subsidiary, Collateral Finance Corporation (CFC), to Expand Loan Portfolio and Complementary Products

A-Mark Precious Metals Subsidiary Closes $100 Million Offering of Secured Term Notes Capital Enables A-Mark Subsidiary, Collateral Finance Corporation (CFC), to Expand Loan Portfolio and Complementary Products El Segundo, CA – September 14, 2018 – AM Capital Funding, LLC, an indirect subsidiary of A-Mark Precious Metals, Inc.

Entry into a Material Definitive Agreement, Financial Statements and Exhibits, Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant

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): September 14, 2018 A-MARK PRECIOUS METALS, INC. (Exact name of registrant as specified in its charter) Delaware 11-2464169 (State or other jurisdiction of incorporation or organization) (I.R.S.

Regulation FD Disclosure

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 7, 2018 A-MARK PRECIOUS METALS, INC. (Exact name of registrant as specified in its charter) Delaware 11-2464169 (State or other jurisdiction of incorporation or organization) (I.R.S. employer

AMRK / A-Mark Precious Metals, Inc. 10-Q (Quarterly Report)

Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q þ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2018 OR o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-36347 A-

Entry into a Material Definitive Agreement, Financial Statements and Exhibits

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 20, 2018 A-MARK PRECIOUS METALS, INC. (Exact name of registrant as specified in its charter) Delaware 11-2464169 (State or other jurisdiction of incorporation or organization) (I.R.S. employ

Tenth Amendment to Uncommitted Credit Agreement, dated as of March 20, 2018, by and among A-Mark Precious Metals, Inc., Coöperatieve Rabobank U.A., New York Branch, as Administrative Agent, and the Lenders named therein.

EX-10.1 2 a8ktenthamendmentxexh101.htm EXHIBIT 10.1 Exhibit 10.1 TENTH AMENDMENT TO UNCOMMITTED CREDIT AGREEMENT This TENTH AMENDMENT TO UNCOMMITTED CREDIT AGREEMENT (this “Tenth Amendment”) dated as of March 20, 2018 is among A-MARK PRECIOUS METALS, INC., a Delaware corporation (the “Borrower”), the undersigned Lenders and COÖPERATIEVE RABOBANK U.A., NEW YORK BRANCH, as Administrative Agent (the

AMRK / A-Mark Precious Metals, Inc. 10-Q (Quarterly Report)

Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q þ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended December 31, 2017 OR o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-36347

EIGHTH AMENDMENT TO UNCOMMITTED CREDIT AGREEMENT

EIGHTH AMENDMENT TO UNCOMMITTED CREDIT AGREEMENT This EIGHTH AMENDMENT TO UNCOMMITTED CREDIT AGREEMENT (this “Eighth Amendment”) dated as of November 13, 2017 is among A-MARK PRECIOUS METALS, INC.

A-MARK PRECIOUS METALS, INC. 2014 Stock Award And Incentive Plan As Amended and Restated November 2, 2017

EX-10.2 3 ex102.htm EXHIBIT 10.2 Exhibit 10.2 A-MARK PRECIOUS METALS, INC. 2014 Stock Award And Incentive Plan As Amended and Restated November 2, 2017 1. Purpose of the Plan. The purpose of this 2014 Stock Award and Incentive Plan (the "Plan") is to aid A-Mark Precious Metals, Inc., a Delaware corporation (the "Company"), in attracting, retaining, motivating and rewarding employees, non-employee

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q þ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934

Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q þ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2017 OR o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-3634

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Other Events

Document 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 2, 2017 A-MARK PRECIOUS METALS, INC. (Exact name of registrant as specified in its charter) Delaware (State or other jurisdiction of incorporation or organization) (I.R.S. employ

A-Mark Precious Metals DEF 14A

Document UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section14(a) of the Securities Exchange Act of 1934 Filed by the Registrant [X] 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)) [X] Defi

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 June 30, 2017 Commission File Number: 001-36347 A-MARK PR

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 June 30, 2017 Commission File Number: 001-36347 A-MARK PRECIOUS METALS, INC. (Exact name of registrant as specified in its charter) Delaware (State of Incorporation) 11-2464169 (IRS Employe

Subsidiaries of A-Mark Precious Metals, Inc. 100% owned except where indicated Name of Subsidiary Jurisdiction of Incorporation Collateral Finance Corporation Delaware A-Mark Trading AG Austria Transcontinental Depository Services, LLC Delaware A-M G

Subsidiaries of A-Mark Precious Metals, Inc. 100% owned except where indicated Name of Subsidiary Jurisdiction of Incorporation Collateral Finance Corporation Delaware A-Mark Trading AG Austria Transcontinental Depository Services, LLC Delaware A-M Global Logistics, LLC Delaware AM&ST Associates, LLC Delaware (55% owned) Goldline, Inc. Delaware

Agreement of Subordination dated as of August 28, 2017, among A-Mark Precious Metals, Inc., Coöperatieve Rabobank U.A. New York Branch, as administrative agent on behalf of itself and the other senior creditors referred to therein, and the subordinate creditors named therein. Incorporated by reference to Exhibit 10.6 filed with the Company’s Current Report on Form 8-K filed with the Securities and Exchange Commission on September 1, 2017.

EX-10.6 6 a8-k8x31x17xexh106.htm EXHIBIT 10.6 Exhibit 10.6 AGREEMENT OF SUBORDINATION Agreement of Subordination dated as of August 28, 2017 (this “Agreement”) by and among A-Mark Precious Metals, Inc., a Delaware corporation (hereinafter called the “Debtor”), each of the undersigned creditors under the caption “SUBORDINATE CREDITORS” (together with their respective heirs, and permitted successors

A-Mark Precious Metals Closes Acquisition of Goldline International Assets

Exhibit Exhibit 99.2 A-Mark Precious Metals Closes Acquisition of Goldline International Assets El Segundo, CA – August 28, 2017 – A-Mark Precious Metals, Inc. (NASDAQ: AMRK) , a full-service precious metals trading company and an official distributor for all the major sovereign mints, has completed its previously announced acquisition of substantially all the assets of Los Angeles-based Goldline,

Security Agreement, dated as of August 28, 2017, made by Goldline Acquisition Corp. in favor of the secured parties named therein. Incorporated by reference to Exhibit 10.3 filed with the Company’s Current Report on Form 8-K filed with the Securities and Exchange Commission on September 1, 2017.

Exhibit Exhibit 10.3 THIS INSTRUMENT AND ALL THE OBLIGATIONS, RIGHTS, TERMS AND PROVISIONS HEREUNDER, ARE SUBORDINATED PURSUANT TO, AND SUBJECT IN ALL RESPECTS TO, THE TERMS AND PROVISIONS OF THE AGREEMENT OF SUBORDINATION DATED AS OF AUGUST 28, 2017 AMONG GOLDLINE ACQUISITION CORP., EACH SUBORDINATE CREDITOR PARTY THERETO AND CO?PERATIEVE RABOBANK U.A., NEW YORK BRANCH, AS AGENT, AS AMENDED, SUPP

Guaranty, dated as of August 28, 2017, by A-Mark Precious Metals, Inc. in favor of the lenders referenced therein. Incorporated by reference to Exhibit 10.4 filed with the Company’s Current Report on Form 8-K filed with the Securities and Exchange Commission on September 1, 2017.

Exhibit Exhibit 10.4 THIS INSTRUMENT AND ALL THE OBLIGATIONS, RIGHTS, TERMS AND PROVISIONS HEREUNDER, ARE SUBORDINATED PURSUANT TO, AND SUBJECT IN ALL RESPECTS TO, THE TERMS AND PROVISIONS OF THE AGREEMENT OF SUBORDINATION DATED AS OF AUGUST 28, 2017 AMONG A-MARK PRECIOUS METALS, INC., EACH SUBORDINATE CREDITOR PARTY THERETO AND CO?PERATIEVE RABOBANK U.A., NEW YORK BRANCH, AS AGENT, AS AMENDED, SU

Agreement of Subordination dated as of August 28, 2017, among Goldline Acquisition Corp., Coöperatieve Rabobank U.A. New York Branch, as administrative agent on behalf of itself and the other senior creditors referred to therein, and the subordinate creditors named therein. Incorporated by reference to Exhibit 10.5 filed with the Company’s Current Report on Form 8-K filed with the Securities and Exchange Commission on September 1, 2017.

EX-10.5 5 a8-k8x31x17xexh105.htm EXHIBIT 10.5 Exhibit 10.5 AGREEMENT OF SUBORDINATION Agreement of Subordination dated as of August 28, 2017 (this “Agreement”) by and among Goldline Acquisition Corp., a Delaware corporation (hereinafter called the “Debtor”), each of the undersigned creditors under the caption “SUBORDINATE CREDITORS” (together with their respective heirs, and permitted successors a

Credit Agreement, dated as of August 28, 2017, among Goldline Acquisition Corp. and the lenders set forth on Exhibit A thereto. Incorporated by reference to Exhibit 10.2 filed with the Company’s Current Report on Form 8-K filed with the Securities and Exchange Commission on September 1, 2017.

Exhibit Exhibit 10.2 THIS INSTRUMENT AND ALL THE OBLIGATIONS, RIGHTS, TERMS AND PROVISIONS HEREUNDER, ARE SUBORDINATED PURSUANT TO, AND SUBJECT IN ALL RESPECTS TO, THE TERMS AND PROVISIONS OF THE AGREEMENT OF SUBORDINATION DATED AS OF AUGUST 28, 2017 AMONG GOLDLINE ACQUISITION CORP., EACH SUBORDINATE CREDITOR PARTY THERETO AND COÖPERATIEVE RABOBANK U.A., NEW YORK BRANCH, AS AGENT, AS AMENDED, SUPP

Entry into a Material Definitive Agreement, Financial Statements and Exhibits, Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant, Completion of Acquisition or Disposition of Assets

Document 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 28, 2017 A-MARK PRECIOUS METALS, INC. (Exact name of registrant as specified in its charter) Delaware 11-2464169 (State or other jurisdiction of incorporation or organization) (I.R

Entry into a Material Definitive Agreement, Financial Statements and Exhibits

Document 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 18, 2017 A-MARK PRECIOUS METALS, INC. (Exact name of registrant as specified in its charter) Delaware 11-2464169 (State or other jurisdiction of incorporation or organization) (I.R

Seventh Amendment to Uncommitted Credit Agreement, dated as of August 18, 2017, among A-Mark Precious Metals, Inc., a Delaware corporation, Natixis New York Branch, as Syndication Agent and Cooperatieve Rabobank U.A., New York Branch, as Administrative Agent, and the other lenders named therein. Incorporated by reference to Exhibit 10.1 filed with the Company's Current Report on Form 8-K filed with the Securities and Exchange Commission on August 24, 2017.

Exhibit Exhibit 10.1 SEVENTH AMENDMENT TO UNCOMMITTED CREDIT AGREEMENT This SEVENTH AMENDMENT TO UNCOMMITTED CREDIT AGREEMENT (this “ Seventh Amendment ”) dated as of August 18, 2017 is among A-MARK PRECIOUS METALS, INC. , a Delaware corporation (the “ Borrower ”), the undersigned Lenders, NATIXIS, NEW YORK BRANCH , as Syndication Agent and COÖPERATIEVE RABOBANK U.A., NEW YORK BRANCH , as Administ

Asset Purchase Agreement, dated as of August 14, 2017, by and between Goldline Acquisition Corp. and Goldline, LLC. Incorporated by reference to Exhibit 10.1 filed with the Company’s Current Report on Form 8-K filed with the Securities and Exchange Commission on August 18, 2017.

Exhibit Exhibit 10.1 ASSET PURCHASE AGREEMENT This ASSET PURCHASE AGREEMENT , is made and entered into as of this 14 th day of August, 2017, by and between GOLDLINE ACQUISITION CORP., a Delaware corporation (the “ Buyer ”) and GOLDLINE, LLC, a Delaware limited liability company (the “ Seller ”). WHEREAS , the Seller is engaged in the business of the direct marketing and sale of precious metals and

A-Mark Precious Metals Acquires the Assets of Goldline International Acquisition Adds Large Client Base and Distribution, Along with Significant Upsell Opportunity for A-Mark

EX-99.1 3 a8-kexhibit991.htm EXHIBIT 99.1 Exhibit 99.1 A-Mark Precious Metals Acquires the Assets of Goldline International Acquisition Adds Large Client Base and Distribution, Along with Significant Upsell Opportunity for A-Mark El Segundo, CA – August 14, 2017 – A-Mark Precious Metals, Inc. (NASDAQ: AMRK), a full-service precious metals trading company and an official distributor for all the maj

Entry into a Material Definitive Agreement, Financial Statements and Exhibits

Document 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 14, 2017 A-MARK PRECIOUS METALS, INC. (Exact name of registrant as specified in its charter) Delaware 11-2464169 (State or other jurisdiction of incorporation or organization) (I.R

Entry into a Material Definitive Agreement

Document 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 30, 2017 A-MARK PRECIOUS METALS, INC. (Exact name of registrant as specified in its charter) Delaware 11-2464169 (State or other jurisdiction of incorporation or organization) (I.R.S.

A-Mark Precious Metals S-8

Document As filed with the Securities and Exchange Commission on May 17, 2017 Registration No.

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q þ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934

Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q þ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2017 OR o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-36347 A-

AMRK / A-Mark Precious Metals, Inc. / Anderson Charles C - SC 13D/A Activist Investment

SC 13D/A SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 13D/A (Rule 13d-101) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO § 240.

A-Mark Precious Metals ESP

Document Cary Dickson Chief Financial Officer and Executive Vice President A-Mark Precious Metals, Inc.

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q þ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934

Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q þ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended December 31, 2016 OR o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-36347

Other Events

Document 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 26, 2017 A-MARK PRECIOUS METALS, INC. (Exact name of registrant as specified in its charter) Delaware (State or other jurisdiction of incorporation or organization) (I.R.S. employ

A-Mark Precious Metals DEF 14A

Document UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section14(a) of the Securities Exchange Act of 1934 Filed by the Registrant [X] 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)) [X] Defi

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q þ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934

Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q þ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2016 OR o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-3634

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K/A Amendment No. 1 ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Fiscal Year Ended June 30, 2016 Commission File Number: 0

Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K/A Amendment No. 1 ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the Fiscal Year Ended June 30, 2016 Commission File Number: 001-36347 A-MARK PRECIOUS METALS, INC. (Exact name of registrant as specified in its charter) Delaware (State of Incorporation) 11-24

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 June 30, 2016 Commission File Number: 001-36347 A-MARK PR

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 June 30, 2016 Commission File Number: 001-36347 A-MARK PRECIOUS METALS, INC. (Exact name of registrant as specified in its charter) Delaware (State of Incorporation) 11-2464169 (IRS Employe

First Amendment to Uncommitted Credit Agreement, dated as of June 30, 2016, among A-Mark Precious Metals, Inc., Cooperatieve Rabobank U.A.New York Branch, as Administrative Agent and the lenders named therein. Incorporated by reference to Exhibit 10.9 to the Report on Form 10-K for the year ended June 30, 2016.

Exhibit 10.9 Execution Form FIRST AMENDMENT TO UNCOMMITTED CREDIT AGREEMENT This FIRST AMENDMENT TO UNCOMMITTED CREDIT AGREEMENT (this ?First Amendment?) dated as of June , 2016 is among A-MARK PRECIOUS METALS, INC., a Delaware corporation (the ?Borrower?), the undersigned Lenders and CO?PERATIEVE RABOBANK U.A., NEW YORK BRANCH, as Administrative Agent (the ?Agent?). Capitalized terms used herein

Lease Agreement, dated as of July 7, 2016, between The Plaza CP LLP and A-Mark Precious Metals, Inc. Incorporated by reference to Exhibit 10.6 to the Report on Form 10-K for the year ended June 30, 2016.

Exhibit 10.6 LEASE AGREEMENT THIS LEASE AGREEMENT (this "Lease") is made and entered into as of July 7, 2016, by and between Lessor and Lessee, as defined below. Lessor and Lessee are hereinafter sometimes individually referred to as ?Party,? or collectively referred to as ?Parties.? Lessor hereby agrees to lease to Lessee and Lessee hereby agrees to lease from Lessor, the Premises, as defined bel

Subsidiaries of A-Mark Precious Metals, Inc. 100% owned except where indicated

Exhibit 21 Subsidiaries of A-Mark Precious Metals, Inc. 100% owned except where indicated Name of Subsidiary Jurisdiction of Incorporation Collateral Finance Corporation Delaware A-Mark Trading AG Austria Transcontinental Depository Services, LLC Delaware A-M Global Logistics, LLC Delaware AM&ST Associates, LLC Delaware (55% owned)

Asset Purchase Agreement, dated as of August 31, 2016, between SilverTowne, L.P. and AM&ST Associates, LLC. Incorporated by reference to Exhibit 10.8 to the Report on Form 10-K for the year ended June 30, 2016.

EX-10.8 4 ex108silvertowneapa.htm EXHIBIT 10.8 Exhibit 10.8 ASSET PURCHASE AGREEMENT BY AND BETWEEN SILVER TOWNE, L.P. AS SELLER AND AM&ST ASSOCIATES, LLC AS BUYER Dated: August 31, 2016 ASSET PURCHASE AGREEMENT THIS ASSET PURCHASE AGREEMENT (the “Agreement”) dated as of August 31, 2016 is between SILVER TOWNE, L.P., an Indiana limited partnership (“Seller”), and AM&ST ASSOCIATES, LLC, a Delaware

Limited Liability Company Agreement of AM&ST Associates, LLC, effective as of August 31, 2016, between A-Mark Precious Metals, Inc. and Silver Towne, L.P. Incorporated by reference to Exhibit 10.7 to the Report on Form 10-K for the year ended June 30, 2016.

Exhibit 10.7 LIMITED LIABILITY COMPANY AGREEMENT OF AM&ST ASSOCIATES, LLC A Delaware Limited Liability Company Dated August 31, 2016 ` 1 TABLE OF CONTENTS Page ARTICLE I FORMATION AND OTHER ORGANIZATIONAL MATTERS 1 Section 1.1. Formation 1 Section 1.2. Name 1 Section 1.3. Term 1 Section 1.4. Business 2 Section 1.5. Names and Addresses of Members 2 Section 1.6. Registered Office and Principal Place

Second Amendment to Uncommitted Credit Agreement, dated as of June 30, 2016, among A-Mark Precious Metals, Inc., Cooperatieve Rabobank U.A.New York Branch, as Administrative Agent and the lenders named therein. Incorporated by reference to Exhibit 10.10 to the Report on Form 10-K for the year ended June 30, 2016.

Exhibit 10.10 [Execution Copy] SECOND AMENDMENT TO UNCOMMITTED CREDIT AGREEMENT This SECOND AMENDMENT TO UNCOMMITTED CREDIT AGREEMENT (this “Second Amendment”) dated as of August 31, 2016 is among A-MARK PRECIOUS METALS, INC., a Delaware corporation (the “Borrower”), the undersigned Lenders and COÖPERATIEVE RABOBANK U.A., NEW YORK BRANCH, as Administrative Agent (the “Agent”). Capitalized terms us

Employment Agreement, executed September 7, 2016, between A-Mark Precious Metals, Inc. and Thor Gjerdrum. Incorporated by reference to Exhibit 10.1 to the Report on Form 8-K dated August 31, 2016.

EX-10.1 2 a8-kxtgpresidentxemplxkxe.htm EXHIBIT 10.1 Exhibit 10.1 A-Mark Precious Metals, Inc. EMPLOYMENT AGREEMENT Executed September 7, 2016 This Employment Agreement (this “Agreement”) is between A-MARK PRECIOUS METALS, INC., a Delaware corporation (the “Company” or “A-Mark”), and THOR C. GJERDRUM, an individual (“Mr. Gjerdrum”). WHEREAS, Mr. Gjerdrum has served the Company as Chief Operating O

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Entry into a Material Definitive Agreement, Financial Statements and Exhibits

Document 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 31, 2016 A-MARK PRECIOUS METALS, INC. (Exact name of registrant as specified in its charter) Delaware 11-2464169 (State or other jurisdiction of incorporation or organization) (I.R

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q þ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934

Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q þ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2016 OR ¨ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-36347 A-

Uncommitted Credit Agreement, dated March 31, 2016, by and among Coöperatieve Rabobank U.A., New York Branch, Coöperatieve Rabobank U.A., New York Branch, Brown Brothers Harriman & CO., BNP Paribas, Natixis, New York Branch, Bank Hapoalim B.M., and A-Mark Precious Metals, Inc. Incorporated by reference to Exhibit 10.1 to the Report on Form 8-K filed with the Securities and Exchange Commission on April 5, 2016.

Exhibit 10.1 UNCOMMITTED CREDIT AGREEMENT Dated as of March 31, 2016 by and among A-MARK PRECIOUS METALS, INC., as the Borrower THE LENDERS PARTY HERETO, and COÖPERATIEVE RABOBANK U.A., NEW YORK BRANCH, as Administrative Agent COÖPERATIEVE RABOBANK U.A., NEW YORK BRANCH, as Sole Lead Arranger and Sole Bookrunner THIS AGREEMENT PROVIDES FOR AN UNCOMMITTED FACILITY WITH A DEMAND FEATURE. ALL LOANS A

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 31, 2016 A-MARK PRECIOUS METALS, INC. (E

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 31, 2016 A-MARK PRECIOUS METALS, INC. (Exact name of registrant as specified in its charter) Delaware 11-2464169 (State or other jurisdiction of incorporation or organization) (I.R.S. employ

Security Agreement, dated March 31, 2016, between Coöperatieve Rabobank U.A., New York Branch, and A-Mark Precious Metals, Inc. Incorporated by reference to Exhibit 10.2 to the Report on Form 8-K filed with the Securities and Exchange Commission on April 5, 2016.

Exhibit 10.3 SECURITY AGREEMENT (Borrower) (Floating Lien) This SECURITY AGREEMENT dated as of March 31, 2016 (this “Agreement”), is between A-Mark Precious Metals, Inc., a Delaware corporation (the “Debtor”), and Coöperatieve Rabobank U.A., New York Branch (“Rabobank”), in its capacity as Administrative Agent (as defined in the Credit Agreement referred to below) on behalf of and for the ratable

Form of Promissory Note. Incorporated by reference to Exhibit 10.3 to the Report on Form 8-K filed with the Securities and Exchange Commission on April 5, 2016.

Exhibit 10.3 FORM OF PROMISSORY NOTE $ March 31, 2016 New York, New York FOR VALUE RECEIVED, A-MARK PRECIOUS METALS, INC., a Delaware corporation (the ?Borrower?), hereby promises to pay to (the ?Lender?), for account of its respective applicable lending offices provided for by the Credit Agreement referred to below, the principal sum of Dollars (or such lesser amount as shall equal the aggregate

Employment Agreement, executed February 19, 2016, between A-Mark Precious Metals, Inc. and Gregory N. Roberts. Incorporated by reference to Exhibit 10.1 to the Report on Form 8-K dated February 19, 2016.

Exhibit EXHIBIT 10.1 A-Mark Precious Metals, Inc. EMPLOYMENT AGREEMENT Executed February 19, 2016 This Employment Agreement (this ?Agreement?) is between A-MARK PRECIOUS METALS, INC., a Delaware corporation (the ?Company? or ?A-Mark?), and GREGORY N. ROBERTS, an individual (?Mr. Roberts?). WHEREAS, Mr. Roberts has served the Company as Chief Executive Officer and in related capacities under the Em

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Financial Statements and Exhibits

8-K 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 19, 2016 A-MARK PRECIOUS METALS, INC. (Exact name of registrant as specified in its charter) Delaware 11-2464169 (State or other jurisdiction of incorporation or organization) (I.R.S.

AMRK / A-Mark Precious Metals, Inc. / BANK OF AMERICA CORP /DE/ - NONE Passive Investment

Schedule 13G UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 02)* A-MARK PRECIOUS METALS INC (Name of Issuer) Common Stock (Title of Class of Securities) 00181T107 (CUSIP Number) December 31, 2015 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursu

AMRK / A-Mark Precious Metals, Inc. / BANK OF AMERICA CORP /DE/ - NONE Passive Investment

Schedule 13G UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 01)* A-MARK PRECIOUS METALS INC (Name of Issuer) Common Stock (Title of Class of Securities) 00181T107 (CUSIP Number) December 31, 2015 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursu

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q þ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934

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 December 31, 2015 OR o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-36347

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Other Events

8-K 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 2, 2016 A-MARK PRECIOUS METALS, INC. (Exact name of registrant as specified in its charter) Delaware 11-2464169 (State or other jurisdiction of incorporation or organization) (I.R.S.

A-Mark Precious Metals DEF 14A

DEF 14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section14(a) of the Securities Exchange Act of 1934 Filed by the Registrant [X] 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)) [X] Defin

A-Mark Precious Metals 144

144 UNITED STATES OMB APPROVAL SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 OMB Number 3235-0101 Expires: May 31, 2017 Estimated average burden hours per response .... 1.0 FORM 144 SEC USE ONLY NOTICE OF PROPOSED SALE OF SECURITIES PURSUANT TO RULE 144 UNDER THE SECURITIES ACT OF 1933 DOCUMENT SEQUENCE NO. ATTENTION: Transmit for filing 3 copies of this form concurrently with either p