Основная статистика
| CIK | 1011432 |
SEC Filings
All companies that sell securities in the United States must register with the Securities and Exchange Commission (SEC) and file reports on a regular basis.
These reports include company annual reports (10K, 10Q), news updates (8K), investor presentations (found in 8Ks), insider trades (form 4), ownership reports (13D, and 13G), and reports related to the specific securities sold, such as registration statements and prospectus. This page shows recent SEC filings related to CynergisTek Inc
SEC Filings (Chronological Order)
На этой странице представлен полный хронологический список документов SEC, за исключением документов о собственности, которые мы предоставляем в других местах.
| September 13, 2022 |
As filed with the Securities and Exchange Commission on [________], 2022 S-8 POS 1 cteks8pos.htm CYNERGISTEK, INC. - S-8 POS As filed with the Securities and Exchange Commission on [], 2022 Registration No. 333-172602 Registration No. 333-176462 Registration No. 333-220911 Registration No. 333-239488 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Post-Effective Amendment No. 2 to Registration No. 333-172602 Post-Effective Amendment No. 1 to Reg |
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| September 13, 2022 |
As filed with the Securities and Exchange Commission on [________], 2022 As filed with the Securities and Exchange Commission on [], 2022 Registration No. 333-249615 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Post-Effective Amendment No. 1 to Registration No. 333-249615 to FORM S-3 Registration Statement under The Securities Act of 1933 CYNERGISTEK, INC. (Exact name of registrant as specified in its charter) DELAWARE (State or other jurisdi |
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| September 13, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 15 CERTIFICATION AND NOTICE OF TERMINATION OF REGISTRATION UNDER SECTION 12(g) OF THE SECURITIES EXCHANGE ACT OF 1934 OR SUSPENSION OF DUTY TO FILE REPORTS UNDER SECTIONS 13 AND 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934. Commission File Number: 000-27507 CYNERGISTEK, INC. (Exact name of registrant as specified in its c |
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| September 13, 2022 |
As filed with the Securities and Exchange Commission on [________], 2022 As filed with the Securities and Exchange Commission on [], 2022 Registration No. 333-172602 Registration No. 333-176462 Registration No. 333-220911 Registration No. 333-239488 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Post-Effective Amendment No. 2 to Registration No. 333-172602 Post-Effective Amendment No. 1 to Registration No. 333-176462 Post-Effective Amendment No |
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| September 13, 2022 |
As filed with the Securities and Exchange Commission on [________], 2022 As filed with the Securities and Exchange Commission on [], 2022 Registration No. 333-172602 Registration No. 333-176462 Registration No. 333-220911 Registration No. 333-239488 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Post-Effective Amendment No. 2 to Registration No. 333-172602 Post-Effective Amendment No. 1 to Registration No. 333-176462 Post-Effective Amendment No |
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| September 13, 2022 |
As filed with the Securities and Exchange Commission on [________], 2022 As filed with the Securities and Exchange Commission on [], 2022 Registration No. 333-172602 Registration No. 333-176462 Registration No. 333-220911 Registration No. 333-239488 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Post-Effective Amendment No. 2 to Registration No. 333-172602 Post-Effective Amendment No. 1 to Registration No. 333-176462 Post-Effective Amendment No |
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| September 1, 2022 |
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: September 1, 2022 (Date of earliest event reported) CYNERGISTEK, INC. (Exact name of registrant as specified in its charter) Delaware 000-27507 37-1867101 (State or other jurisdiction of incorporation) (Commission Fil |
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| September 1, 2022 |
NOTIFICATION OF THE REMOVAL FROM LISTING AND REGISTRATION OF THE STATED SECURITIES NYSE American LLC hereby notifies the SEC of its intention to remove the entire class of the stated securities from listing and registration on the Exchange at the opening of business on September 12, 2022, pursuant to the provisions of Rule 12d2-2 (a). |
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| September 1, 2022 |
AMENDED AND RESTATED CERTIFICATE OF INCORPORATION OF CYNERGISTEK, INC. FIRST. The name of the corporation is CynergisTek, Inc. (the ?Corporation?). SECOND.The address of the Corporation?s registered office in the State of Delaware is 1209 Orange Street, Corporation Trust Center, Wilmington, Delaware, New Castle County, 19801. The name of its registered agent at such address is The Corporation Trus |
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| September 1, 2022 |
Amended and Restated Bylaws of CynergisTek, Inc. BY-LAWS OF CYNERGISTEK, INC. (a Delaware Corporation, the ?Corporation?) Adopted as of September 1, 2022 ARTICLE 1 OFFICES; REGISTERED AGENT Section 1.1Registered Office and Agent. The Corporation shall maintain in the State of Delaware a registered office and a registered agent whose business office is identical with such registered office. Section 1.2Principal Business Office. The Corporation sh |
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| August 31, 2022 |
CynergisTek Inc. Stockholders Approve Merger Agreement CynergisTek Inc. Stockholders Approve Merger Agreement AUSTIN, TX (August 31, 2022) ? CynergisTek, Inc. (NYSE American: CTEK), (?CynergisTek?) a leading cybersecurity, privacy, compliance, and IT audit firm helping organizations in highly regulated industries navigate emerging security and privacy issues, today announced that its stockholders have voted to approve the previously announced merger a |
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| August 31, 2022 |
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: August 31, 2022 (Date of earliest event reported) CYNERGISTEK, INC. (Exact name of registrant as specified in its charter) Delaware 000-27507 37-1867101 (State or other jurisdiction of incorporation) (Commission File |
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| August 24, 2022 |
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 Sta |
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| August 24, 2022 |
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: August 24, 2022 (Date of earliest event reported) CYNERGISTEK, INC. (Exact name of registrant as specified in its charter) DELAWARE 000-27507 37-1867101 (State or other jurisdiction of incorporation) (Commission File |
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| August 15, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 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 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: 000-27507 CYNERGISTEK, INC. |
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| August 15, 2022 |
EXHIBIT 10.2 REVOLVING PROMISSORY NOTE $750,000.00 August 12, 2022 FOR VALUE RECEIVED, the undersigned CynergisTek, Inc., a Delaware corporation (?Borrower?), hereby promises to pay to the order of Clearwater Compliance LLC, a Tennessee limited liability company (?Payee?), the principal sum of Seven Hundred Fifty Thousand Dollars and 00/100 ($750,000.00), or so much thereof as shall be advanced (e |
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| August 15, 2022 |
EXHIBIT 10.1 GUARANTY AND SECURITY AGREEMENT Dated as of August 12, 2022 among CYNERGISTEK, INC., as Borrower, Each Other Grantor Party Hereto and CLEARWATER COMPLIANCE LLC, as Secured Party GUARANTY AND SECURITY AGREEMENT THIS GUARANTY AND SECURITY AGREEMENT, dated as of August 12, 2022, by CynergisTek, Inc., a Delaware corporation (the ?Borrower?), and each of the other entities listed as a Gran |
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| July 25, 2022 |
Press Release of CynergisTek, Inc. dated July 25, 2022 CynergisTek, Inc. Announces Filing of Definitive Proxy Statement and sets August 31, 2022, for Special Meeting of Stockholders Special meeting of stockholders to be held on August 31, 2022 at 3:00 p.m. Central Time for stockholders to consider and vote on the proposed merger and merger agreement AUSTIN, TX (July 25, 2022) ? CynergisTek, Inc. (NYSE American: CTEK) (?CynergisTek?), a leading cyberse |
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| July 25, 2022 |
Financial Statements and Exhibits, 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: July 25, 2022 (Date of earliest event reported) CYNERGISTEK, INC. (Exact name of registrant as specified in its charter) Delaware 000-27507 37-1867101 (State or other jurisdiction of incorporation) (Commission File Nu |
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| July 25, 2022 |
CynergisTek, Inc. Announces Filing of Definitive Proxy Statement and sets August 31, 2022, for Special Meeting of Stockholders Special meeting of stockholders to be held on August 31, 2022 at 3:00 p.m. Central Time for stockholders to consider and vote on the proposed merger and merger agreement AUSTIN, TX (July 25, 2022) ? CynergisTek, Inc. (NYSE American: CTEK) (?CynergisTek?), a leading cyberse |
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| July 25, 2022 |
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: July 25, 2022 (Date of earliest event reported) CYNERGISTEK, INC. (Exact name of registrant as specified in its charter) Delaware 000-27507 37-1867101 (State or other jurisdiction of incorporation) (Commission File Nu |
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| July 25, 2022 |
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 Sta |
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| July 12, 2022 |
PREM14A 1 ctekprem14a.htm CYNERGISTEK, INC - FORM PREM14A 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 |
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| July 12, 2022 |
Exhibit 107 EX-FILING FEES Calculation of Filing Fee Tables SCHEDULE 14A (Form Type) CYNERGISTEK, INC. |
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| June 29, 2022 |
CynergisTek, Inc. Announces Expiration of the Excluded Party “Go-Shop” Period, Update Regarding Previously Announced Go-Shop Proposal AUSTIN, TX (June 29, 2022) – CynergisTek, Inc. (NYSE American: CTEK) (“CynergisTek”), leading cybersecurity, privacy, compliance, and IT audit firm helping organizations in highly regulated industries navigate emerging security and privacy issues, announces the expi |
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| June 29, 2022 |
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 June 29, 2022 Date of Report (Date of earliest event reported) CYNERGISTEK, INC. (Exact name of registrant as specified in its charter) DELAWARE (State or other jurisdiction of incorporation) 000-27507 37-1867101 (Commission File Num |
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| June 29, 2022 |
Press Release of CynergisTek, Inc. dated June 29, 2022 CynergisTek, Inc. Announces Expiration of the Excluded Party ?Go-Shop? Period, Update Regarding Previously Announced Go-Shop Proposal AUSTIN, TX (June 29, 2022) ? CynergisTek, Inc. (NYSE American: CTEK) (?CynergisTek?), leading cybersecurity, privacy, compliance, and IT audit firm helping organizations in highly regulated industries navigate emerging security and privacy issues, announces the expi |
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| June 29, 2022 |
Financial Statements and Exhibits, 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 June 29, 2022 Date of Report (Date of earliest event reported) CYNERGISTEK, INC. (Exact name of registrant as specified in its charter) DELAWARE (State or other jurisdiction of incorporation) 000-27507 37-1867101 (Commission File Num |
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| June 23, 2022 |
Press Release of CynergisTek, Inc. dated June 23, 2022 CynergisTek Inc. Announces Expiration of ?Go-Shop? Period and Qualification of an ?Excluded Party? AUSTIN, TX (June 23, 2022) ? CynergisTek, Inc. (NYSE American: CTEK) (?CynergisTek?), leading cybersecurity, privacy, compliance, and IT audit firm helping organizations in highly regulated industries navigate emerging security and privacy issues, announces the expiration of the initial ?go-shop? per |
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| June 23, 2022 |
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 June 23, 2022 Date of Report (Date of earliest event reported) CYNERGISTEK, INC. (Exact name of registrant as specified in its charter) DELAWARE (State or other jurisdiction of incorporation) 000-27507 37-1867101 (Commission File Num |
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| June 23, 2022 |
CynergisTek Inc. Announces Expiration of “Go-Shop” Period and Qualification of an “Excluded Party” CynergisTek Inc. Announces Expiration of ?Go-Shop? Period and Qualification of an ?Excluded Party? AUSTIN, TX (June 23, 2022) ? CynergisTek, Inc. (NYSE American: CTEK) (?CynergisTek?), leading cybersecurity, privacy, compliance, and IT audit firm helping organizations in highly regulated industries navigate emerging security and privacy issues, announces the expiration of the initial ?go-shop? per |
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| June 23, 2022 |
Financial Statements and Exhibits, 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 June 23, 2022 Date of Report (Date of earliest event reported) CYNERGISTEK, INC. (Exact name of registrant as specified in its charter) DELAWARE (State or other jurisdiction of incorporation) 000-27507 37-1867101 (Commission File Num |
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| June 3, 2022 |
CTEK / CynergisTek Inc / Beryl Capital Management LLC Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* Cynergistek, Inc. (Name of Issuer) Common Stock, par value $0.001 (Title of Class of Securities) 23258P105 (CUSIP Number) May 24, 2022 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to whic |
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| June 1, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D (Rule 13d-101) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO ? 240.13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO ? 240.13d-2(a) (Amendment No. 3)1 Cynergistek, Inc. (Name of Issuer) Common Stock, $0.001 par value (Title of Class of Securities) 23258P105 (CUSIP Number) ANDREW FREEDMAN, ESQ. MEAGAN |
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| May 23, 2022 |
Voting Agreement dated May 23, 2022 Voting Agreement THIS AGREEMENT (?Agreement?) is made and entered into as of the 23rd day of May 2022, by and among the undersigned stockholders (each, a ?Stockholder,? and collectively, the ?Stockholders?) of CynergisTek, Inc. |
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| May 23, 2022 |
Amendment to By-Laws of CynergisTek, Inc. AMENDMENT TO BY-LAWS OF CYNERGISTEK, INC. (A DELAWARE CORPORATION) EFFECTIVE MAY 23, 2022 On May 23, 2022, the Board of Directors (the ?Board?) of CynergisTek, Inc., a Delaware corporation (the ?Company?), adopted the following amendment to the By-Laws of the Company: Amendment of By-Laws WHEREAS, the Board has determined that it is desirable and in the best interests of the Company and its stockh |
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| May 23, 2022 |
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 May 23, 2022 Date of Report (Date of earliest event reported) CYNERGISTEK, INC. (Exact name of registrant as specified in its charter) DELAWARE (State or other jurisdiction of incorporation) 000-27507 37-1867101 (Commission File Numb |
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| May 23, 2022 |
CynergisTek Inc. Enters into a Definitive Agreement to be Acquired by Clearwater in a $17.7 million Transaction. CynergisTek?s Stockholders to Receive $1.25 Per Share in Cash AUSTIN, TX (May 23, 2022) ? CynergisTek, Inc. (NYSE American: CTEK), a leading cybersecurity, privacy, compliance, and IT audit firm helping organizations in highly regulated industries navigate emerging security and privacy |
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| May 23, 2022 |
CynergisTek, Inc., Clearwater Compliance LLC, and Clearwater Compliance Acquisition Company I* AGREEMENT AND PLAN OF MERGER by and among CYNERGISTEK, INC., CLEARWATER COMPLIANCE LLC and CLEARWATER COMPLIANCE ACQUISITION COMPANY I Dated as of May 23, 2022 TABLE OF CONTENTS Page Article I The Merger 1 1.1 The Merger 1 1.2 Effective Time of the Merger 2 1.3 Closing 2 1.4 Effects of the Merger 2 1.5 Directors and Officers of the Surviving Corporation 2 1.6 Conversion of Capital Stock 3 1.7 Surr |
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| May 23, 2022 |
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 May 23, 2022 Date of Report (Date of earliest event reported) CYNERGISTEK, INC. (Exact name of registrant as specified in its charter) DELAWARE (State or other jurisdiction of incorporation) 000-27507 37-1867101 (Commission File Numb |
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| May 23, 2022 |
CynergisTek, Inc., Clearwater Compliance LLC, and Clearwater Compliance Acquisition Company I* AGREEMENT AND PLAN OF MERGER by and among CYNERGISTEK, INC., CLEARWATER COMPLIANCE LLC and CLEARWATER COMPLIANCE ACQUISITION COMPANY I Dated as of May 23, 2022 TABLE OF CONTENTS Page Article I The Merger 1 1.1 The Merger 1 1.2 Effective Time of the Merger 2 1.3 Closing 2 1.4 Effects of the Merger 2 1.5 Directors and Officers of the Surviving Corporation 2 1.6 Conversion of Capital Stock 3 1.7 Surr |
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| May 23, 2022 |
Voting Agreement dated May 23, 2022 Voting Agreement THIS AGREEMENT (?Agreement?) is made and entered into as of the 23rd day of May 2022, by and among the undersigned stockholders (each, a ?Stockholder,? and collectively, the ?Stockholders?) of CynergisTek, Inc. |
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| May 23, 2022 |
Amendment to By-Laws of CynergisTek, Inc. AMENDMENT TO BY-LAWS OF CYNERGISTEK, INC. (A DELAWARE CORPORATION) EFFECTIVE MAY 23, 2022 On May 23, 2022, the Board of Directors (the ?Board?) of CynergisTek, Inc., a Delaware corporation (the ?Company?), adopted the following amendment to the By-Laws of the Company: Amendment of By-Laws WHEREAS, the Board has determined that it is desirable and in the best interests of the Company and its stockh |
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| May 23, 2022 |
Press Release of CynergisTek, Inc. dated May 23, 2022 CynergisTek Inc. Enters into a Definitive Agreement to be Acquired by Clearwater in a $17.7 million Transaction. CynergisTek?s Stockholders to Receive $1.25 Per Share in Cash AUSTIN, TX (May 23, 2022) ? CynergisTek, Inc. (NYSE American: CTEK), a leading cybersecurity, privacy, compliance, and IT audit firm helping organizations in highly regulated industries navigate emerging security and privacy |
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| May 23, 2022 |
Frequently Asked Questions 1.What does today?s announcement mean? Clearwater Compliance LLC (?Clearwater?) has agreed to acquire CynergisTek, Inc. (?CTEK,? ?we,? ?us,? ?our?). Our board of directors unanimously supports and believes the transaction is in the best interests of our stockholders, employees, and customers. The acquisition will be an all cash deal in which $1.25 per share will be paid |
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| May 23, 2022 |
Frequently Asked Questions 1.What does today?s announcement mean? Clearwater Compliance LLC (?Clearwater?) has agreed to acquire CynergisTek, Inc. (?CTEK,? ?we,? ?us,? ?our?). Our board of directors unanimously supports and believes the transaction is in the best interests of our stockholders, employees, and customers. The acquisition will be an all cash deal in which $1.25 per share will be paid |
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| May 18, 2022 |
Regulation FD Disclosure, 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 May 16, 2022 Date of Report (Date of earliest event reported) CYNERGISTEK, INC. (Exact name of registrant as specified in its charter) DELAWARE (State or other jurisdiction of incorporation) 000-27507 37-1867101 (Commission File Numb |
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| May 18, 2022 |
C O R P O R A T E P A R T I C I P A N T S C O R P O R A T E P A R T I C I P A N T S Bryan Flynn, Investor Relations Mac McMillan, President, and Chief Executive Officer Paul Anthony, Chief Financial Officer C O N F E R E N C E C A L L P A R T I C I P A N T S Matthew Hewitt, Craig-Hallum Capital Group P R E S E N T A T I O N Operator Good day, everyone. |
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| May 16, 2022 |
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 May 16, 2022 Date of Report (Date of earliest event reported) CYNERGISTEK, INC. (Exact name of registrant as specified in its charter) DELAWARE (State or other jurisdiction of incorporation) 000-27507 37-1867101 (Commission File Numb |
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| May 16, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 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: 000-27507 CYNERGISTEK, INC. |
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| May 16, 2022 |
CynergisTek Files First Quarter 2022 Financial Results CynergisTek Files First Quarter 2022 Financial Results Austin, Texas ? (May 16, 2022) ? CynergisTek, Inc. |
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| April 29, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K/A Amendment No. 1 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 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: 000 |
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| March 28, 2022 |
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 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: 000-27507 CYNERGISTEK, INC. (Exact |
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| March 28, 2022 |
CYNERGISTEK, INC. LIST OF SUBSIDIARIES EXHIBIT 21.1 CYNERGISTEK, INC. LIST OF SUBSIDIARIES Entity State of Incorporation Percentage of Ownership CTEK Solutions, Inc. California 100% CTEK Security, Inc. Texas 100% Delphiis, Inc. California 100% Backbone Enterprises, Inc. Minnesota 100% |
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| March 24, 2022 |
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 March 24, 2022 Date of Report (Date of earliest event reported) CYNERGISTEK, INC. (Exact name of registrant as specified in its charter) DELAWARE 000-27507 37-1867101 (State or other jurisdiction of incorporation) (Commission File Nu |
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| March 24, 2022 |
CynergisTek Reports Fourth Quarter and Full Year 2021 Financial Results CynergisTek Reports Fourth Quarter and Full Year 2021 Financial Results Austin, Texas ? (March 24, 2022) ? CynergisTek, Inc. |
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| December 1, 2021 |
Termination of a Material Definitive Agreement 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 November 30, 2021 Date of Report (Date of earliest event reported) CYNERGISTEK, INC. (Exact name of registrant as specified in its charter) DELAWARE (State or other jurisdiction of incorporation) 000-27507 37-1867101 (Commission File |
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| November 12, 2021 |
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 November 11, 2021 Date of Report (Date of earliest event reported) CYNERGISTEK, INC. (Exact name of registrant as specified in its charter) DELAWARE (State or other jurisdiction of incorporation) 000-27507 37-1867101 (Commission File |
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| November 12, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 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: 000-27507 CYNERGISTEK, INC. |
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| November 12, 2021 |
CynergisTek Reports Third Quarter 2021 Financial Results CynergisTek Reports Third Quarter 2021 Financial Results Austin, Texas ? (November 11, 2021) ? CynergisTek, Inc. |
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| October 14, 2021 |
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 October 12, 2021 Date of Report (Date of earliest event reported) CYNERGISTEK, INC. (Exact name of registrant as specified in its charter) DELAWARE (DE) (State or other jurisdiction of incorporation) 000-27507 37-1867101 (Commission |
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| October 14, 2021 |
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 October 13, 2021 Date of Report (Date of earliest event reported) CYNERGISTEK, INC. (Exact name of registrant as specified in its charter) DELAWARE (DE) (State or other jurisdiction of incorporation) 000-27507 37-1867101 (Commission |
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| October 14, 2021 |
EXECUTIVE EMPLOYMENT AGREEMENT THIS EXECUTIVE EMPLOYMENT AGREEMENT (?Agreement?) is made effective as of October 12, 2021 (?Effective Date?), by and between CynergisTek, Inc. |
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| October 14, 2021 |
Tim McMullen Joins CynergisTek as Chief Operating Officer Tim McMullen Joins CynergisTek as Chief Operating Officer Austin, TX ? October 13, 2021 - CynergisTek, Inc. |
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| October 1, 2021 |
SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 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 Statement ? Definitive Additional Materials ? Soliciting Material under Rule 14a-12 CYNERGISTEK, INC. |
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| August 26, 2021 |
SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 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 Statement ? Definitive Additional Materials ? Soliciting Material under Rule 14a-12 CYNERGISTEK, INC. |
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| August 16, 2021 |
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): August 16, 2021 CYNERGISTEK, INC. (Exact name of registrant as specified in its charter) DELAWARE (DE) (State or other jurisdiction of incorporation) 000-27507 37-1867101 (Commission |
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| August 16, 2021 |
CynergisTek Reports Improved Second Quarter 2021 Financial Results CynergisTek Reports Improved Second Quarter 2021 Financial Results Austin, Texas ? (August 16, 2021) ? CynergisTek, Inc. |
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| August 16, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 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 June 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: 000-27507 CYNERGISTEK, INC. |
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| August 16, 2021 |
Separation and Release Agreement dated August 11, 2021 SEPARATION AGREEMENT AND RELEASE This Separation Agreement (?Agreement?) is made and entered into by and between Caleb Barlow (?Barlow?) and CynergisTek, Inc. |
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| August 13, 2021 |
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 August 13, 2021 Date of Report (Date of earliest event reported) CYNERGISTEK, INC. (Exact name of registrant as specified in its charter) DELAWARE (DE) (State or other jurisdiction of incorporation) 000-27507 37-1867101 (Commission F |
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| August 13, 2021 |
EX-99.1 2 ctekex99z1.htm PRESS RELEASE CynergisTek Expands Expertise in Capital Markets, Investment Banking and Corporate Governance on its Board of Directors Austin, TX, August 13, 2021 — CynergisTek, Inc. (NYSE AMERICAN: CTEK), a leader in cybersecurity, privacy, and compliance, today announced that it has appointed John Flood to its board of directors. John was a founding partner of Craig-Hallu |
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| July 27, 2021 |
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 July 25, 2021 Date of Report (Date of earliest event reported) CYNERGISTEK, INC. (Exact name of registrant as specified in its charter) DELAWARE (DE) (State or other jurisdiction of incorporation) 000-27507 37-1867101 (Commission Fil |
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| July 26, 2021 |
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 July 26, 2021 Date of Report (Date of earliest event reported) CYNERGISTEK, INC. (Exact name of registrant as specified in its charter) DELAWARE (DE) (State or other jurisdiction of incorporation) 000-27507 37-1867101 (Commission Fil |
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| July 26, 2021 |
EXECUTIVE EMPLOYMENT AGREEMENT THIS EXECUTIVE EMPLOYMENT AGREEMENT (?Agreement?) is made effective as of July 26, 2021 (?Effective Date?), by and between CynergisTek, Inc. |
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| July 26, 2021 |
Confidential CynergisTek, Inc Announces the Return of Mac McMillan as CEO and President to Lead Next Phase of Growth Austin, TX ? July 26, 2021 - CynergisTek, Inc. |
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| May 13, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q [X] QUARTERLY REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2021 [ ] TRANSITION REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number 000-27507 CYNERGISTEK, INC. (Exact name of |
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| May 13, 2021 |
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 13, 2021 CYNERGISTEK, INC. (Exact name of registrant as specified in its charter) DELAWARE (State or other jurisdiction of incorporation) 000-27507 37-1867101 (Commission File Num |
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| May 13, 2021 |
CynergisTek Reports Improved First Quarter 2021 Financial Results CynergisTek Reports Improved First Quarter 2021 Financial Results Austin, Texas ? (May 13, 2021) ? CynergisTek, Inc. |
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| April 29, 2021 |
Annual Report - CYNERGISTEK - FORM 10K/A 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 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: 000 |
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| April 26, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14N UNDER THE SECURITIES EXCHANGE ACT OF 1934 (Amendment No. )* CYNERGISTEK, INC. (Name of Issuer) Common Stock (Title of Class of Securities) 23258P105 (CUSIP Number) [ ] Solicitation Pursuant to Section 240.14a-2(b)(7) [ ] Solicitation Pursuant to Section 240.14a-2(b)(8) [ ] Notice of Submission of a Nominee or Nomi |
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| March 25, 2021 |
Description of Listed Securities. Exhibit 4.1 CYNERGISTEK, INC. DESCRIPTION OF SECURITIES The following description of the common stock of CynergisTek, Inc. (?us,? ?our,? ?we,? or the ?Company?), which is the only security of the Company registered under Section 12 of the Securities Exchange Act of 1934, as amended (the ?Exchange Act?), is a summary and does not purport to be complete. It is subject to and qualified in its entiret |
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| March 25, 2021 |
EXECUTIVE EMPLOYMENT AGREEMENT THIS EXECUTIVE EMPLOYMENT AGREEMENT (?Agreement?) is made effective as of January 1, 2021 (?Effective Date?), by and between CynergisTek, Inc. |
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| March 25, 2021 |
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): March 25, 2021 CYNERGISTEK, INC. (Exact name of registrant as specified in its charter) DELAWARE (State or other jurisdiction of incorporation) 000-27507 37-1867101 (Commission File N |
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| March 25, 2021 |
CynergisTek Reports Fourth Quarter and Full-Year 2020 Financial Results CynergisTek Reports Fourth Quarter and Full-Year 2020 Financial Results Austin, Texas – (March 25, 2021) – CynergisTek, Inc. |
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| March 25, 2021 |
Annual Report - CYNERGISTEK 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 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: 000-27507 ??????? CYN |
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| March 25, 2021 |
CYNERGISTEK, INC. LIST OF SUBSIDIARIES Exhibit 21.1 CYNERGISTEK, INC. LIST OF SUBSIDIARIES Entity State of Incorporation Percentage of Ownership CTEK Solutions, Inc. California 100% CTEK Security, Inc. Texas 100% Delphiis, Inc. California 100% Backbone Enterprises, Inc. Minnesota 100% |
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| February 16, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 2)* CynergisTek, Inc. (Name of Issuer) Common Stock (Title of Class of Securities) 23258P105 (CUSIP Number) December 31, 2020 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Sched |
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| January 5, 2021 |
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 January 04, 2021 Date of Report (Date of earliest event reported) CYNERGISTEK, INC. (Exact name of registrant as specified in its charter) DELAWARE (State or other jurisdiction of incorporation) 000-27507 37-1867101 (Commission File |
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| November 12, 2020 |
CYNERGISTEK, INC. EQUITY DISTRIBUTION AGREEMENT November 12, 2020 CRAIG-HALLUM CAPITAL GROUP LLC 222 South Ninth Street, Suite 350, Minneapolis, Minnesota 55402 Ladies and Gentlemen: CynergisTek, Inc., a Delaware corporation (collectively with its subsidiaries and affiliates, including, without limitation, all entities disclosed or described in the Registration Statement (defined below) as being s |
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| November 12, 2020 |
Entry into a Material Definitive Agreement, Financial Statements and Exhibits - 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): November 12, 2020 CYNERGISTEK, INC. (Exact name of registrant as specified in its charter) DELAWARE (State or other jurisdiction of incorporation) 000-27507 37-1867101 (Commission Fil |
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| November 12, 2020 |
Financial Statements and Exhibits, Results of Operations and Financial Condition - 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): November 12, 2020 CYNERGISTEK, INC. (Exact name of registrant as specified in its charter) DELAWARE (State or other jurisdiction of incorporation) 000-27507 37-1867101 (Commission Fil |
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| November 12, 2020 |
CynergisTek Reports Third Quarter 2020 Financial Results Exhibit 99.1 CynergisTek Reports Third Quarter 2020 Financial Results Austin, Texas – (November 12, 2020) – CynergisTek, Inc. (NYSE AMERICAN: CTEK), a leader in cybersecurity, privacy, and compliance, today announced financial results for the three and nine months ended September 30, 2020. Recent Operational Highlights ·Won three significant new managed service contracts in the third quarter oLarg |
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| November 12, 2020 |
CYNERGISTEK, INC. Up to $5,000,000 Shares of Common Stock Filed Pursuant to Rule 424(b)(5) Registration No. 333-249615 PROSPECTUS SUPPLEMENT (To Prospectus dated October 22, 2020) CYNERGISTEK, INC. Up to $5,000,000 Shares of Common Stock We have entered into an Equity Distribution Agreement, or the Distribution Agreement, with Craig-Hallum Capital Group LLC, or Craig-Hallum, dated November 12, 2020, relating to the sale of shares of our common stock, par |
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| November 12, 2020 |
7 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q [X] QUARTERLY REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2020 [ ] TRANSITION REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number 000-27507 CYNERGISTEK, INC. (Exact n |
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| October 27, 2020 |
October 27, 2020 VIA EDGAR United States Securities and Exchange Commission Division of Corporation Finance 100 F Street, N. |
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| October 22, 2020 |
As filed with the Securities and Exchange Commission on October 22, 2020. Registration No. 333- UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM S-3 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 CYNERGISTEK, INC. (Exact name of registrant as specified in its charter) DELAWARE 37-1867101 (State or other jurisdiction of incorporation or organization) (I.R.S. Emp |
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| August 19, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D (Rule 13d-101) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO § 240.13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO § 240.13d-2(a) (Amendment No. 2)1 Cynergistek, Inc. (Name of Issuer) Common Stock, $0.001 par value (Title of Class of Securities) 23258P105 (CUSIP Number) JOSEPH M. MANKO, JR. HORTON C |
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| August 13, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q [X] QUARTERLY REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2020 [ ] TRANSITION REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number 000-27507 CYNERGISTEK, INC. (Exact name of |
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| June 26, 2020 |
Registration No. 333- UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM S-8 Registration Statement under the Securities Act of 1933 CYNERGISTEK, INC. (Exact name of registrant as specified in its charter) DELAWARE 37-1867101 (State or other jurisdiction of incorporation or organization) (I.R.S. Employer Identification Number) 11940 Jollyville Road, Suite 300-N Austin, Te |
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| June 16, 2020 |
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 15, 2020 CYNERGISTEK, INC. (Exact name of registrant as specified in its charter) DELAWARE (State or other jurisdiction of incorporation) 000-27507 37-1867101 (Commission File Nu |
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| June 9, 2020 |
CTEK 14A Proxy 2019 filed.doc 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 Statement ☒Definitive Additional Materials ☐Solici |
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| May 14, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q [X] QUARTERLY REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2020 [ ] TRANSITION REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number 000-27507 CYNERGISTEK, INC. (Exact name of |
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| May 1, 2020 | ||
| April 28, 2020 |
Annex A to the Registrant’s Definitive Proxy Statement filed with the SEC on April 28, 2020 CTEK 14A Proxy 2019 filed.doc 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 Statement ☐ Definitive Additional Materials ☐ S |
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| April 20, 2020 |
NOTE SBA Loan # 15790471-07 SBA Loan Name CynergisTek, Inc. Date April 16, 2020 Loan Amount $2,825,500.00 Interest Rate 1.00% Borrower CynergisTek, Inc. Operating Company N/A Lender BMO Harris Bank National Association 1.PROMISE TO PAY: In return for the Loan, Borrower promises to pay to the order of Lender the amount of $2,825,500.00, interest on the unpaid principal balance, and all other amount |
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| April 20, 2020 |
CTEK Form 8-K (BMO Loan)-4819-3009-9550 ver. 2 PA.doc 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 20, 2020 CYNERGISTEK, INC. (Exact name of registrant as specified in its charter) DELAWARE 000-27507 37-1867101 (State or o |
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| April 9, 2020 |
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 9, 2020 CYNERGISTEK, INC. (Exact name of registrant as specified in its charter) DELAWARE (State or other jurisdiction of incorporation) 000-27507 37-1867101 (Commission File Nu |
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| April 9, 2020 |
Exhibit 99.1 April 9, 2020 CynergisTek, Inc. Board of Directors Re: Resignation as Director Ladies and Gentlemen: I hereby resign as a member of the Board of Directors of CynergisTek, Inc. (the “Company”), including as a member of any and all committees of the Company’s Board of Directors on which I presently serve, effective as of April 9, 2020. This resignation is not a result of a disagreement |
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| April 8, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D (Rule 13d-101) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO § 240.13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO § 240.13d-2(a) (Amendment No. 1)1 Cynergistek, Inc. (Name of Issuer) Common Stock, $0.001 par value (Title of Class of Securities) 23258P105 (CUSIP Number) JOSEPH M. MANKO, JR. HORTON C |
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| April 7, 2020 |
FUNDING WARRANT THIS WARRANT AND THE SECURITIES ISSUABLE UPON EXERCISE OF THIS WARRANT HAVE NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE “ACT”), OR QUALIFIED UNDER ANY STATE OR FOREIGN SECURITIES LAWS AND MAY NOT BE OFFERED FOR SALE, SOLD, PLEDGED, HYPOTHECATED OR OTHERWISE TRANSFERRED OR ASSIGNED UNLESS (I) A REGISTRATION STATEMENT COVERING SUCH SHARES IS EFFECTIVE UNDER |
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| April 7, 2020 |
INITIAL WARRANT THIS WARRANT AND THE SECURITIES ISSUABLE UPON EXERCISE OF THIS WARRANT HAVE NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE “ACT”), OR QUALIFIED UNDER ANY STATE OR FOREIGN SECURITIES LAWS AND MAY NOT BE OFFERED FOR SALE, SOLD, PLEDGED, HYPOTHECATED OR OTHERWISE TRANSFERRED OR ASSIGNED UNLESS (I) A REGISTRATION STATEMENT COVERING SUCH SHARES IS EFFECTIVE UNDER |
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| April 7, 2020 |
SECURITIES PURCHASE AGREEMENT THIS SECURITIES PURCHASE AGREEMENT (“Agreement”) is made effective as of April 3, 2020, by and between CynergisTek, Inc. |
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| April 7, 2020 |
REGISTRATION RIGHTS AGREEMENT THIS REGISTRATION RIGHTS AGREEMENT (this “Agreement”), dated as of April 3, 2020, is made by and between CynergisTek, Inc. |
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| April 7, 2020 |
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 3, 2020 CYNERGISTEK, INC. (Exact name of registrant as specified in its charter) DELAWARE (State or other jurisdiction of incorporation) 000-27507 37-1867101 (Commission File Nu |
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| March 30, 2020 |
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): March 30, 2020 CYNERGISTEK, INC. (Exact name of registrant as specified in its charter) DELAWARE 000-27507 37-1867101 (State or other jurisdiction of incorporation or organization) (C |
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| March 30, 2020 |
ctek10k filed.docx UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C.20549 FORM 10-K [X] ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2019. [ ] 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: 000-27507 CYNER |
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| March 30, 2020 |
CynergisTek Reports Full-Year 2019 Financial Results Driving Market Demand with Bolstered Sales Team CynergisTek Reports Full-Year 2019 Financial Results Driving Market Demand with Bolstered Sales Team Austin, Texas – March 30, 2020 – CynergisTek, Inc. |
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| March 30, 2020 |
EX-21.1 3 ctekex21z1.htm EXHIBIT 21.1 Exhibit 21.1 CYNERGISTEK, INC. LIST OF SUBSIDIARIES Entity State of Incorporation Percentage of Ownership CTEK Solutions, Inc. California 100% CTEK Security, Inc. Texas 100% Delphiis, Inc. California 100% Backbone Enterprises, Inc. Minnesota 100% |
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| March 30, 2020 |
CYNERGISTEK, INC. DESCRIPTION OF SECURITIES Exhibit 4.8 CYNERGISTEK, INC. DESCRIPTION OF SECURITIES The following description of the common stock of CynergisTek, Inc. (“us,” “our,” “we,” or the “Company”), which is the only security of the Company registered under Section 12 of the Securities Exchange Act of 1934, as amended (the “Exchange Act”), is a summary and does not purport to be complete. It is subject to and qualified in its entiret |
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| February 28, 2020 |
CynergisTek Appoints Three New Board Members Firm Expands Expertise in Security, Healthcare, Public Company, Business Development, and C-Suite Leadership Austin, TX, February 27, 2020 — CynergisTek, Inc. |
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| February 28, 2020 |
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 27, 2020 CYNERGISTEK, INC. (Exact name of registrant as specified in its charter) DELAWARE (State or other jurisdiction of incorporation) 000-27507 37-1867101 (Commission Fil |
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| February 14, 2020 |
Exhibit 99.1 JOINT FILING AGREEMENT In accordance with Rule 13d-1(k)(1)(iii) 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 a Statement on Schedule 13D (including additional amendments thereto) with respect to the Common Stock, $0.001 par value, of Cynergistek, Inc., a Delaware corporation. This Joint Filing Agr |
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| February 14, 2020 |
AUXO / AUXILIO, Inc. / Horton Capital Management, Llc - THE SCHEDULE 13D Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D (Rule 13d-101) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO § 240.13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO § 240.13d-2(a) (Amendment No. )1 Cynergistek, Inc. (Name of Issuer) Common Stock, $0.001 par value (Title of Class of Securities) 23258P105 (CUSIP Number) JOSEPH M. MANKO, JR. HORTON CA |
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| February 12, 2020 |
AUXO / AUXILIO, Inc. / A.R. Schmeidler & Co., Inc. - CYNERGISTEK - 13G Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1) * Cynergistek Inc. (Name of Issuer) Common Stock (Title of Class of Securities) 23258P105 (CUSIP Number) December 31, 2019 (Date of Event which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Sched |
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| February 10, 2020 |
AUXO / AUXILIO, Inc. / PERRITT CAPITAL MANAGEMENT INC Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1)* CynergisTek, Inc. (Name of Issuer) Common Stock (Title of Class of Securities) 23258P105 (CUSIP Number) December 31, 2019 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Sched |
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| January 14, 2020 |
BACKBONE ENTERPRISES, INC. Table of Contents Exhibit 99.2 Financial Statements with Independent Auditors’ Report BACKBONE ENTERPRISES, INC. As of December 31, 2018 and for the Year Then Ended BACKBONE ENTERPRISES, INC. Table of Contents Independent Auditors’ Report Financial Statements: Balance Sheet – December 31, 2018 4 Statement of Income – Year Ended December 31, 2018 5 Statement of Stockholders’ Equity – Year Ended December 31, 2018 6 S |
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| January 14, 2020 |
CYNERGISTEK, INC. UNAUDITED PRO FORMA CONDENSED CONSOLIDATED FINANCIAL STATEMENTS Exhibit 99.3 CYNERGISTEK, INC. UNAUDITED PRO FORMA CONDENSED CONSOLIDATED FINANCIAL STATEMENTS The following unaudited pro forma condensed consolidated financial statements give the effect to the acquisition by CynergisTek, Inc. (“CynergisTek”), of Backbone Enterprises, Inc., (“Backbone”) following the execution on October 31, 2019, of a Stock Purchase Agreement (the “Agreement”) with Backbone and |
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| January 14, 2020 |
1 BACKBONE ENTERPRISES, INC. Table of Contents EXHIBIT 99.4 BACKBONE ENTERPRISES, INC. Unaudited Condensed Financial Statements As of September 30, 2019, and for the Nine Months Ended September 30, 2019 and 2018 1 BACKBONE ENTERPRISES, INC. Table of Contents Financial Statements (unaudited): Balance Sheet – September 30, 2019 3 Statements of Income – Nine Months Ended September 30, 2019 and 2018 4 Statements of Stockholders’ Equity – Nine Mont |
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| January 14, 2020 |
Financial Statements and Exhibits, Completion of Acquisition or Disposition of Assets 8-KA Cynergistek Filed.docx UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K/A (Amendment No. 1) 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 31, 2019 CYNERGISTEK, INC. (Exact name of registrant as specified in its charter) DELAWARE (State or other jurisdiction of inco |
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| December 30, 2019 |
AUXO / AUXILIO, Inc. / Horton Capital Partners, LLC - SC 13G Passive Investment SC 13G SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G (Rule 13d-102) Information to be Included in Statements Filed Pursuant to § 240.13d-1(b), (c) and (d) and Amendments Thereto Filed Pursuant to § 240.13d-2 Under the Securities Exchange Act of 1934 CYNERGISTEK, INC. (Name of Issuer) Common Stock, Par Value $0.01 Per Share (Title of Class of Securities) 23258P105 (CUSIP Nu |
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| December 30, 2019 |
EX-99.2 Exhibit 99.2 JOINT FILING AGREEMENT The undersigned hereby agree that the foregoing statement on Schedule 13G is filed on behalf of each of the undersigned in accordance with the provisions of Rule 13d-1(k) under the Securities Exchange Act of 1934, as amended, and that all subsequent amendments to this statement on Schedule 13G may be filed on behalf of each of the undersigned without the |
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| December 6, 2019 |
UNITED STATES 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): June 4, 2019 CYNERGISTEK, INC. (Exact name of registrant as specified in its charter) DELAWARE (State or other jurisdiction of incorporation) 000-27507 37-1867101 (Commission File N |
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| November 13, 2019 |
CynergisTek Reports Third Quarter 2019 Financial Results Continues to Execute on Strategic Plan Through Acquisition Austin, Texas – (November 11, 2019) – CynergisTek, Inc. |
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| November 13, 2019 |
Operator: Good day and welcome to the CynergisTek Third Quarter 2019 Earnings Call. |
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| November 13, 2019 |
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 11, 2019 CYNERGISTEK, INC. (Exact name of registrant as specified in its charter) DELAWARE (State or other jurisdiction of incorporation) 000-27507 37-1867101 (Commission Fil |
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| November 12, 2019 |
AUXO / AUXILIO, Inc. 10-Q - Quarterly Report - 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q [X] QUARTERLY REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2019 [ ] TRANSITION REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number 000-27507 CYNERGISTEK, INC. (Exact nam |
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| November 1, 2019 |
Execution Version STOCK PURCHASE AGREEMENT among CYNERGISTEK, INC., BACKBONE ENTERPRISES INC., CERTAIN STOCKHOLDERS OF BACKBONE ENTERPRISES INC., And WALTER ZUNIGA, as Seller Representative Dated as of October 31, 2019 TABLE OF CONTENTS Page Article I DEFINITIONS1 Article II SALE AND PURCHASE OF SHARES10 2.1Sale and Purchase of Shares10 2.2Purchase Price10 2.3Closing Statement11 2.4Post-Closing Ca |
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| November 1, 2019 |
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 31, 2019 CYNERGISTEK, INC. (Exact name of registrant as specified in its charter) DELAWARE (State or other jurisdiction of incorporation) 000-27507 37-1867101 (Commission File |
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| November 1, 2019 |
CynergisTek, Inc. Acquires Backbone Consultants to Bolster its Market Position as a Leader in Cybersecurity, Compliance, and Data Privacy Acquisition Adds Security, IT Audit, and Data Privacy Capabilities to its Growing Managed Professional Service Offerings Austin, TX — November 1, 2019 – CynergisTek, Inc., (NYSE AMERICAN: CTEK), a leader in cybersecurity, privacy, and compliance, today announced |
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| August 13, 2019 |
AUXO / AUXILIO, Inc. 10-Q - Quarterly Report - 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q [X] QUARTERLY REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2019 [ ] TRANSITION REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number 000-27507 CYNERGISTEK, INC. (Exact name of |
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| August 2, 2019 |
Resignation letter of Drexel DeFord Jr. dated August 1, 2019 |
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| August 2, 2019 |
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 1, 2019 CYNERGISTEK, INC. (Exact name of registrant as specified in its charter) DELAWARE (State or other jurisdiction of incorporation) 000-27507 37-1867101 (Commission File N |
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| July 16, 2019 |
CynergisTek, Inc. Announces Retirement of Founder and Thought Leader Mac McMillan and Appoints His Successor Caleb Barlow as President & Chief Executive Officer to Lead the Company’s Next Stage of Growth. Austin, TX – July 15, 2019 — CynergisTek, Inc. (NYSE AMERICAN: CTEK), today announced the appointment of Caleb Barlow to the positions of President and Chief Executive Officer, to succeed retirin |
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| July 16, 2019 |
EXECUTIVE EMPLOYMENT AGREEMENT THIS EXECUTIVE EMPLOYMENT AGREEMENT (“Agreement”) is made effective as of August 1, 2019 (“Effective Date”), by and between CynergisTek, Inc. |
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| July 16, 2019 |
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 15, 2019 CYNERGISTEK, INC. (Exact name of registrant as specified in its charter) DELAWARE (State or other jurisdiction of incorporation) 000-27507 37-1867101 (Commission File Nu |
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| June 6, 2019 |
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 4, 2019 CYNERGISTEK, INC. (Exact name of registrant as specified in its charter) DELAWARE (State or other jurisdiction of incorporation) 000-27507 37-1867101 (Commission File Num |
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| May 14, 2019 |
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 13, 2019 CYNERGISTEK, INC. (Exact name of registrant as specified in its charter) DELAWARE 000-27507 37-1867101 (State or other jurisdiction of incorporation or organization) (Com |
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| May 14, 2019 |
CynergisTek Reports First Quarter 2019 Financial Results Firm Achieved 32% Year Over Year Revenue Growth and Expanded Managed Security Service Offerings Austin, Texas – (May 13, 2019) – CynergisTek, Inc. |
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| May 14, 2019 |
AUXO / AUXILIO, Inc. 10-Q Quarterly Report 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q [X] QUARTERLY REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2019 [ ] TRANSITION REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number 000-27507 CYNERGISTEK, INC. (Exact name of |
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| April 18, 2019 | ||
| April 18, 2019 |
SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant x Filed by a Party other than the Registrant o Check the appropriate box: oPreliminary Proxy Statement oConfidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) xDefinitive Proxy Statement oDefinitive Additional Materials oSoliciting Material under Rule 14a-12 CYNERGISTEK, INC. |
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| March 27, 2019 |
AUXO / AUXILIO, Inc. 10-K (Annual Report) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C.20549 FORM 10-K [X] ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2018. [ ] 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: 000-27507 CYNERGISTEK, INC. (Exact |
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| March 26, 2019 |
Regulation FD Disclosure, 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 20, 2019 CYNERGISTEK, INC. (Exact name of registrant as specified in its charter) DELAWARE 000-27507 37-1867101 (State or other jurisdiction of (Commission File Number) (I.R.S. |
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| March 26, 2019 |
SUBLEASE AGREEMENT This SUBLEASE AGREEMENT (“Sublease”) is made as of March 20, 2019 by and between CynergisTek, Inc. |
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| March 26, 2019 |
CynergisTek, Inc. Sells Managed Print Services Business to Vereco, LLC for $30 Million Deal Allows CynergisTek to Become Pure Play Cybersecurity Company Austin, TX — March 20, 2019 – CynergisTek, Inc., (NYSE AMERICAN: CTEK), a leader in healthcare cybersecurity, privacy, and compliance, today announced that it has closed a transaction to sell the assets used in its Managed Print Services (MPS) bus |
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| March 26, 2019 |
Execution Version ASSET PURCHASE AGREEMENT by and among CTEK SOLUTIONS, INC., CYNERGISTEK, INC. and VERECO, LLC March 20, 2019 Execution Version TABLE OF CONTENTS Article I DEFINITIONS1 Article II PURCHASE AND SALE10 Section 2.01Purchase and Sale of Assets10 Section 2.02Excluded Assets12 Section 2.03Assumed Liabilities13 Section 2.04Excluded Liabilities13 Section 2.05Purchase Price13 Section 2.06P |
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| February 14, 2019 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* Cynergistek Inc. (Name of Issuer) Common Stock (Title of Class of Securities) 23258P105 (CUSIP Number) December 31, 2018 (Date of Event which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Schedul |
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| February 11, 2019 |
AUXO / AUXILIO, Inc. / PERRITT CAPITAL MANAGEMENT INC Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* CynergisTek, Inc. (Name of Issuer) Common Stock (Title of Class of Securities) 23258P105 (CUSIP Number) December 31, 2018 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Schedu |
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| November 8, 2018 |
AUXO / AUXILIO, Inc. 10-Q (Quarterly Report) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q [X] QUARTERLY REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2018 [ ] TRANSITION REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number 000-27507 CYNERGISTEK, INC. (Exact nam |
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| August 14, 2018 |
CTEK Second Quarter 2018 Earnings Transcript CTEK Second Quarter 2018 Earnings Transcript C O R P O R A T E P A R T I C I P A N T S Bryan Flynn, Investor Relations Mac McMillan, Chief Executive Officer Paul Anthony, Chief Financial Officer JD Abouchar, Chairman C O N F E R E N C E C A L L P A R T I C I P A N T S Brian Flynn, Investors Relations Matt Hewitt, Craig-Hallum Andrew D'Silva, B. |
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| August 14, 2018 |
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): August 9, 2018 CYNERGISTEK, INC. (Exact name of registrant as specified in its charter) DELAWARE 000-27507 37-1867101 (State or other jurisdiction of incorporation or organization) (C |
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| August 14, 2018 |
CynergisTek Reports Second Quarter 2018 Financial Results Managed Services and Professional Services Continue to be in High Demand for Healthcare Mission Viejo, California – (August 9, 2018) – CynergisTek, Inc. |
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| August 9, 2018 |
AUXO / AUXILIO, Inc. CYNERGISTEK, INC. - FORM 10-Q SEC FILING (Quarterly Report) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q [X] QUARTERLY REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2018 [ ] TRANSITION REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number 000-27507 CYNERGISTEK, INC. (Exact name of |
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| May 18, 2018 |
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 17, 2018 CYNERGISTEK, INC. (Exact name of registrant as specified in its charter) DELAWARE (State or other jurisdiction of incorporation) 000-27507 37-1867101 (Commission File Num |
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| May 15, 2018 |
CTEK First Quarter 2018 Earnings Script CTEK First Quarter 2018 Earnings Script Participants Bryan Flynn – Investor Relations Mac McMillan – Chief Executive Officer Paul Anthony – Chief Financial Officer Operator Welcome to CynergisTek’s 2018 first quarter earnings Conference Call. |
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| May 15, 2018 |
CynergisTek Reports First Quarter 2018 Financial Results Company Assists Leading Healthcare Organizations in Building Cybersecurity and Privacy Programs Mission Viejo, California – (May 14, 2018) – CynergisTek, Inc. |
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| May 15, 2018 |
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 14, 2018 CYNERGISTEK, INC. (Exact name of registrant as specified in its charter) DELAWARE 000-27507 37-1867101 (State or other jurisdiction of incorporation or organization) (Com |
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| May 14, 2018 |
AUXO / AUXILIO, Inc. 10-Q (Quarterly Report) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q [X] QUARTERLY REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2018 [ ] TRANSITION REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number 000-27507 CYNERGISTEK, INC. (Exact name of |
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| April 6, 2018 |
SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant x Filed by a Party other than the Registrant o Check the appropriate box: oPreliminary Proxy Statement oConfidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) xDefinitive Proxy Statement oDefinitive Additional Materials oSoliciting Material under Rule 14a-12 CYNERGISTEK, INC. |
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| March 28, 2018 |
Exhibit 10.45 to our Form 10-K filed on March 28, 2018 Exhibit 10.44 FIRST AMENDMENT TO EXECUTIVE EMPLOYMENT AGREEMENT THIS FIRST AMENDMENT TO EXECUTIVE EMPLOYMENT AGREEMENT (this “Amendment”) is made and entered into effective as of January 1, 2018 (the “Effective Date”) by and between CynergisTek, Inc., a Delaware corporation (f/k/a Auxilio, Inc., a Nevada corporation) (“Company”), and Michael H. McMillan (“Executive”). RECITALS A. Company and Execu |
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| March 28, 2018 |
Exhibit 21.1 CYNERGISTEK, INC. LIST OF SUBSIDIARIES Entity State of Incorporation Percentage of Ownership CTEK Solutions, Inc. California 100% CTEK Security, Inc. Texas 100% Delphiis, Inc. California 100% |
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| March 28, 2018 |
AUXO / AUXILIO, Inc. 10-K (Annual Report) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C.20549 FORM 10-K [X]ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2017. [ ]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: 000-27507 CYNERGISTEK, INC. (Exact n |
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| March 28, 2018 |
Exhibit 10.44 to our Form 10-K filed on March 28, 2018 Exhibit 10.45 FIRST AMENDMENT TO EXECUTIVE EMPLOYMENT AGREEMENT THIS FIRST AMENDMENT TO EXECUTIVE EMPLOYMENT AGREEMENT (this “Amendment”) is made and entered into effective as of January 1, 2018 (the “Effective Date”) by and between CynergisTek, Inc., a Delaware corporation (f/k/a Auxilio, Inc., a Nevada corporation) (“Company”), and Paul T. Anthony (“Executive”). RECITALS A. Company and Executive |
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| March 26, 2018 |
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): March 26, 2018 CYNERGISTEK, INC. (Exact name of registrant as specified in its charter) DELAWARE 000-27507 37-1867101 (State or other jurisdiction of incorporation or organization) (C |
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| March 26, 2018 |
CynergisTek Reports Fourth Quarter and Full Year 2017 Financial Results Service Development and Market Needs Drive Company Growth Mission Viejo, California – (March 26, 2018) – CynergisTek, Inc. |
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| March 12, 2018 |
CynergisTek Makes Advance Payment of Bank Debt and Negotiates New Financing with BMO Harris Bank CynergisTek Makes Advance Payment of Bank Debt and Negotiates New Financing with BMO Harris Bank Mission Viejo, CA – March 12, 2018 - CynergisTek, Inc. |
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| March 12, 2018 |
Separation Agreement and Mutual Release dated March 12, 2018 THIS INSTRUMENT AND THE RIGHTS AND OBLIGATIONS EVIDENCED HEREBY ARE SUBORDINATE IN THE MANNER AND TO THE EXTENT SET FORTH IN THAT CERTAIN SUBORDINATION AND INTERCREDITOR AGREEMENT (THE “SUBORDINATION AGREEMENT”) DATED AS OF MARCH 12, 2018 BY AND AMONG MICHAEL HERNANDEZ (THE “SUBORDINATED CREDITOR”), CYNERGISTEK, INC. |
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| March 12, 2018 |
Severance Payment Note dated March 12, 2018 THIS INSTRUMENT AND THE RIGHTS AND OBLIGATIONS EVIDENCED HEREBY ARE SUBORDINATE IN THE MANNER AND TO THE EXTENT SET FORTH IN THAT CERTAIN SUBORDINATION AND INTERCREDITOR AGREEMENT (THE “SUBORDINATION AGREEMENT”) DATED AS OF MARCH 12, 2018 BY AND AMONG MICHAEL HERNANDEZ (THE “SUBORDINATED CREDITOR”), CYNERGISTEK, INC. |
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| March 12, 2018 |
Amended and Restated McMillan Seller Note dated March 12, 2018 THIS INSTRUMENT AND THE RIGHTS AND OBLIGATIONS EVIDENCED HEREBY ARE SUBORDINATE IN THE MANNER AND TO THE EXTENT SET FORTH IN THAT CERTAIN SUBORDINATION AND INTERCREDITOR AGREEMENT (THE “SUBORDINATION AGREEMENT”) DATED AS OF MARCH 12, 2018 BY AND AMONG MICHAEL MCMILLAN (THE “SUBORDINATED CREDITOR”), CYNERGISTEK, INC. |
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| March 12, 2018 |
Pledge and Security Agreement dated March 12, 2018 Pledge and Security Agreement This Pledge and Security Agreement (this “Agreement”), dated as of March 12, 2018, is made by and among CYNERGISTEK, INC. |
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| March 12, 2018 |
Credit Agreement dated March 12, 2018 $17,250,000 Term Loan Facility $5,000,000 Revolving Credit Facility CREDIT AGREEMENT dated as of March 12, 2018 by and among CynergisTek, Inc. |
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| March 12, 2018 |
Earn-out Note dated March 12, 2018 THIS INSTRUMENT AND THE RIGHTS AND OBLIGATIONS EVIDENCED HEREBY ARE SUBORDINATE IN THE MANNER AND TO THE EXTENT SET FORTH IN THAT CERTAIN SUBORDINATION AND INTERCREDITOR AGREEMENT (THE “SUBORDINATION AGREEMENT”) DATED AS OF MARCH 12], 2018 BY AND AMONG MICHAEL HERNANDEZ (THE “SUBORDINATED CREDITOR”), CYNERGISTEK, INC. |
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| March 12, 2018 |
AMENDMENT TO STOCK PURCHASE AGREEMENT THIS AMENDMENT TO STOCK PURCHASE AGREEMENT (this “Amendment”) is made and entered into as of March 12, 2018 by and among CynergisTek, Inc. |
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| March 12, 2018 |
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 12, 2018 CYNERGISTEK, INC. (Exact name of registrant as specified in its charter) DELAWARE 000-27507 37-1867101 (State or other jurisdiction of incorporation or organization) (C |
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| November 22, 2017 |
As filed with the Securities and Exchange Commission on November 22 , 2017. Registration No. 333- 220888 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 AMENDMENT NO. 1 TO FORM S-3 Registration Statement under the Securities Act of 1933 CYNERGISTEK, INC. (Exact name of registrant as specified in its charter) DELAWARE 37-1867101 (State or other jurisdiction of incorporation |
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| November 17, 2017 |
Cynergistek, Inc. 27271 Las Ramblas, Suite 200 Mission Viejo, CA 92691 November 17, 2017 VIA EDGAR United States Securities and Exchange Commission 100 F Street, N.E. Washington, D.C. 20549 Attention: Division of Corporation Finance Re:Cynergistek, Inc. Registration Statement on Form S-3 File No. 333-220888 Pursuant to Rule 461 of the General Rules and Regulations under the Securities Act of 1933, |
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| November 13, 2017 |
AUXO / AUXILIO, Inc. 10-Q (Quarterly Report) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q [X] QUARTERLY REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2017 [ ] TRANSITION REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number 000-27507 CYNERGISTEK, INC. (Exact nam |
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| November 9, 2017 |
CynergisTek Reports Third Quarter 2017 Financial Results Taps Industry Veterans to Drive Growth CynergisTek Reports Third Quarter 2017 Financial Results Taps Industry Veterans to Drive Growth Mission Viejo, California ? (November 9, 2017) ? CynergisTek, Inc. |
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| November 9, 2017 |
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 9, 2017 CYNERGISTEK, INC. (Exact name of registrant as specified in its charter) DELAWARE 000-27507 37-1867101 (State or other jurisdiction of incorporation or organization) |
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| October 11, 2017 |
As filed with the Securities and Exchange Commission on October 11, 2017. Registration No. 333- UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM S-8 Registration Statement under the Securities Act of 1933 CYNERGISTEK, INC. (Exact name of registrant as specified in its charter) DELAWARE 37-1867101 (State or other jurisdiction of incorporation or organization) (I.R.S. Emp |
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| October 10, 2017 |
As filed with the Securities and Exchange Commission on October 10, 2017. Registration No. 333- UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM S-3 Registration Statement under the Securities Act of 1933 CYNERGISTEK, INC. (Exact name of registrant as specified in its charter) DELAWARE 37-1867101 (State or other jurisdiction of incorporation or organization) (I.R.S. Emp |
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| October 6, 2017 |
Mac McMillan Appointed CEO of CynergisTek McMillan to Drive Growth in Security and Security Remediation Services for the Healthcare Industry Austin, TX, October 4, 2017 - CynergisTek, Inc. |
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| October 6, 2017 |
CynergisTek Announces New Appointments to Leadership Team Financial Leader Judy Krandel Joins Company?s Board of Directors, Healthcare Expert Angela Rivera Joins as Executive Vice President of Operations Austin, TX, October 6, 2017 ? CynergisTek, Inc. |
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| October 6, 2017 |
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 2, 2017 CYNERGISTEK, INC. (Exact name of registrant as specified in its charter) DELAWARE 000-27507 37-1867101 (State or other jurisdiction of incorporation or organization) ( |
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| September 8, 2017 |
JOINDER NUMBER 1 TO AMENDED AND RESTATED CREDIT AGREEMENT JOINDER NUMBER 1 TO AMENDED AND RESTATED CREDIT AGREEMENT Reference is hereby made to the Amended and Restated Credit Agreement (as amended, and in effect from time to time, the ?Agreement?) made as of the 13th day of January, 2017, by and among Auxilio, Inc. |
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| September 8, 2017 |
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 7, 2017 CYNERGISTEK, INC. (Exact name of registrant as specified in its charter) Delaware (State or other jurisdiction of incorporation) 000-27507 37-1867101 (Commission Fil |
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| September 8, 2017 |
AGREEMENT AND PLAN OF MERGER OF AUXILIO, INC., A NEVADA CORPORATION, INTO CYNERGISTEK, INC., A DELAWARE CORPORATION This Agreement and Plan of Merger (the “Plan”) is effective as of September 7, 2017, by and between Auxilio, Inc., a Nevada corporation (the “Company”) and CynergisTek, Inc., a Delaware corporation and a wholly owned subsidiary of the Company (“SubCo”). WHEREAS, the Company is a corp |
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| September 8, 2017 |
Supplement No. 1 (this ?Supplement?) dated as of September 7, 2017, to the Security Agreement, dated as of January 13, 2017 (as amended, restated, supplemented or otherwise modified from time to time, the ?Security Agreement?) by each of the parties listed on the signature pages thereto and those additional entities that thereafter become parties thereto (collectively, jointly and severally, ?Gran |
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| September 8, 2017 |
CERTIFICATE OF INCORPORATION OF CYNERGISTEK, INC. I, the undersigned, for the purpose of creating and organizing a corporation under the provisions of and subject to the requirements of the General Corporation Law of the State of Delaware (the ?DGCL?), certify as follows: 1.The name of the corporation is CynergisTek, Inc. (the ?Corporation?). 2.The address of the registered office of the Corporati |
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| September 8, 2017 |
BY-LAWS OF CYNERGISTEK, INC. (A DELAWARE CORPORATION) ADOPTED AS OF JULY 26, 2017 ARTICLE I. CORPORATE OFFICES 1.1Registered Office. The registered office of CynergisTek, Inc., a Delaware corporation (the ?Corporation?), shall be in the City of Wilmington, State of Delaware. The name of the registered agent of the corporation at such location is Corporation Service Company. 1.2Principal Office. Th |
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| September 1, 2017 |
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 1, 2017 AUXILIO, INC. (Exact name of registrant as specified in its charter) Nevada (State or other jurisdiction of incorporation) 000-27507 88-0350448 (Commission File Numb |
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| September 1, 2017 |
AMENDMENT NO. 2 TO THE AUXILIO, INC. 2011 STOCK INCENTIVE PLAN AMENDMENT NO. 2 TO THE AUXILIO, INC. 2011 STOCK INCENTIVE PLAN WHEREAS, the Board of Directors (the ?Board?) of Auxilio, Inc., a corporation organized under the laws of Nevada (the ?Company?), originally adopted the Auxilio Inc. 2011 Stock Incentive Plan (as amended from time to time, the ?Plan?); and WHEREAS, the Board may, at any time, amend the Plan provided that such amendment does not adverse |
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| September 1, 2017 |
UNITED STATES 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): June 8, 2017 AUXILIO, INC. (Exact name of registrant as specified in its charter) Nevada (State or other jurisdiction of incorporation) 000-27507 88-0350448 (Commission File Number) |
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| September 1, 2017 |
AMENDMENT NO. 1 TO THE AUXILIO, INC. 2011 STOCK INCENTIVE PLAN AMENDMENT NO. 1 TO THE AUXILIO, INC. 2011 STOCK INCENTIVE PLAN WHEREAS, the Board of Directors (the “Board”) of Auxilio, Inc., a corporation organized under the laws of Nevada (the “Company”), originally adopted the Auxilio, Inc. 2011 Stock Incentive Plan (as amended from time to time, the “Plan”); and WHEREAS, the Board may, at any time, amend the Plan provided that such amendment does not advers |
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| August 10, 2017 |
AUXO / AUXILIO, Inc. AUXILIO INC - FORM 10-Q SEC FILING (Quarterly Report) SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q [X] QUARTERLY REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2017 [ ] TRANSITION REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number 000-27507 AUXILIO, INC. (Exact name of registrant as spec |
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| June 12, 2017 |
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 8, 2017 AUXILIO, INC. (Exact name of registrant as specified in its charter) Nevada (State or other jurisdiction of incorporation) 000-27507 88-0350448 (Commission File Number) ( |
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| May 10, 2017 |
AUXILIO INC - Form 10-Q SEC filing UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| May 9, 2017 |
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 9, 2017 AUXILIO, INC. (Exact name of registrant as specified in its charter) Nevada (State or other jurisdiction of incorporation) 000-27507 88-0350448 (Commission File Number) (I |
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| May 9, 2017 |
Auxilio Inc. Reports First Quarter 2017 Financial Results Auxilio Inc. Reports First Quarter 2017 Financial Results MISSION VIEJO, CA– (May 9, 2017) – Auxilio, Inc. (NYSE MKT: AUXO), a leading provider of enterprise security and document workflow solutions for the healthcare industry, today announced financial results for the first quarter ended March 31, 2017. Financial and operational highlights for the first quarter of 2017 include: Revenues for the |
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| May 2, 2017 |
Auxilio Announces New Chief Operating Officer Industry Veteran to Lead Operational Functions Amid Increasing Demand for Specialized Support MISSION VIEJO, CA, ? May 2, 2017 ? Auxilio, Inc. |
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| May 2, 2017 |
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 27, 2017 AUXILIO, INC. (Exact name of registrant as specified in its charter) Nevada (State or other jurisdiction of incorporation) 000-27507 88-0350448 (Commission File Number) |
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| April 27, 2017 | ||
| April 26, 2017 |
SCHEDULE 14A (Amendment No. 1) Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant x Filed by a Party other than the Registrant o Check the appropriate box: o Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) x Definitive Proxy Statement o Definitive Additional Materials o Soliciting Ma |
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| April 21, 2017 |
SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant x Filed by a Party other than the Registrant o Check the appropriate box: o Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) x Definitive Proxy Statement o Definitive Additional Materials o Soliciting Material under Rule 14a-12 AUXILIO, INC. |
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| April 7, 2017 |
SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant x Filed by a Party other than the Registrant o Check the appropriate box: x Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) o Definitive Proxy Statement o Definitive Additional Materials o Soliciting Material under Rule 14a-12 AUXILIO, INC. |
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| April 5, 2017 |
Auxilio Announces New Appointment to Board of Directors Health System CIO Theresa Meadows Elected to Advise Leading Enterprise Security and Document Solutions Company MISSION VIEJO, CA, ? April, 04, 2017 ? Auxilio, Inc. |
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| April 5, 2017 |
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 4, 2017 AUXILIO, INC. (Exact name of registrant as specified in its charter) Nevada (State or other jurisdiction of incorporation) 000-27507 88-0350448 (Commission File Number) |
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| March 30, 2017 |
CYNERGISTEK, INC. Table of Contents EXHIBIT 99.4 CYNERGISTEK, INC. Unaudited Condensed Financial Statements As of September 30, 2016, and for the Three and Nine Months Ended September 30, 2016 and 2015 CYNERGISTEK, INC. Table of Contents Financial Statements (unaudited): Balance Sheet – September 30, 2016 3 Statements of Income – Three and Nine Months Ended September 30, 2016 and 2015 4 Statements of Cash Flows – Nine Months Ended S |
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| March 30, 2017 |
AUXILIO, INC. UNAUDITED PRO FORMA CONDENSED CONSOLIDATED FINANCIAL STATEMENTS Exhibit 99.3 AUXILIO, INC. UNAUDITED PRO FORMA CONDENSED CONSOLIDATED FINANCIAL STATEMENTS The following unaudited pro forma condensed consolidated financial statements give the effect to the acquisition by Auxilio, Inc. (?Auxilio?), of CynergisTek, Inc., (?CynergisTek?) following the execution on January 13, 2017, of a Stock Purchase Agreement (the ?Agreement?) with CynergisTek and Dr. Michael G. |
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| March 30, 2017 |
Financial Statements and Exhibits, Completion of Acquisition or Disposition of Assets UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K/A AMENDMENT NO. 1 CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 January 13, 2017 Date of Report (Date of earliest event reported) AUXILIO, INC. (Exact name of registrant as specified in its charter) Nevada 000-27507 88-0350448 (State of Incorporation) (Commission File Number) (I |
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| March 30, 2017 |
CYNERGISTEK, INC. Table of Contents Exhibit 99.2 Financial Statements with Independent Auditors? Report CYNERGISTEK, INC. As of December 31, 2015 and 2014 and for the Years Then Ended CYNERGISTEK, INC. Table of Contents Independent Auditors? Report Financial Statements: Balance Sheets ? December 31, 2015 and 2014 4 Statements of Income ? Years Ended December 31, 2015 and 2014 5 Statements of Stockholders? Equity ? Years Ended Decemb |
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| March 29, 2017 |
Exhibit 21.1 AUXILIO, INC. LIST OF SUBSIDIARIES Entity State of Incorporation Percentage of Ownership Auxilio Solutions, Inc. California 100% Delphiis, Inc. California 100% |
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| March 29, 2017 |
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 [X] ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2016. [ ] 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: 000-27507 AUXILIO, INC. (Exact nam |
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| March 29, 2017 |
Exhibit 14 AUXILIO, INC. CODE OF BUSINESS CONDUCT AND ETHICS As adopted by the Board of Directors on October 27, 2016 I. Introduction This Code of Business Conduct and Ethics (“Code”) has been adopted by our Board of Directors and summarizes the standards that must guide the actions of all employees, officers and directors of the Company and its subsidiaries. While covering a wide range of busines |
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| March 28, 2017 |
Auxilio Inc. Reports Fourth Quarter and Full Year 2016 Results Exhibit 99.1 Auxilio Inc. Reports Fourth Quarter and Full Year 2016 Results MISSION VIEJO, CA-(March 27th, 2017) - Auxilio, Inc. (NYSE MKT: AUXO), a leading provider of enterprise security and document workflow solutions for the healthcare industry, today announced financial results for the fourth quarter and year ended December 31, 2016. Financial and operational highlights for the fourth quarter |
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| March 28, 2017 |
Exhibit 99.3 |
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| March 28, 2017 |
Auxilio Fourth Quarter and Full Year 2016 Earnings Call Script Exhibit 99.2 Auxilio Fourth Quarter and Full Year 2016 Earnings Call Script Operator: Thank you for joining Auxilio Inc.'s Fourth Quarter and Full Year 2016 conference call to discuss the results. This call is being broadcast live online. A webcast replay will be available at the company's website for 15 days. I will now turn the call over to Mike Cole from MZ Group ? Auxilio's investor relations |
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| March 28, 2017 |
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 27, 2017 AUXILIO, INC. (Exact name of registrant as specified in its charter) Nevada (State or other jurisdiction of incorporation) 000-27507 88-0350448 (Commission File Number) |
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| February 9, 2017 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-A FOR REGISTRATION OF CERTAIN CLASSES OF SECURITIES PURSUANT TO SECTION 12(b) OR (g) OF THE SECURITIES EXCHANGE ACT OF 1934 AUXILIO, INC. (Exact name of registrant as specified in its charter) Nevada 88-0350448 (State of incorporation or organization) (IRS Employer Identification No.) 27271 Las Ramblas, Suite 200 Missio |
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| January 20, 2017 |
CTEK / CynergisTek, Inc. / Mathews Michael G. Jr. - SC 13D Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No.)* AUXILIO, INC. (Name of Issuer) Common Stock, par value $0.001 per share (Title of Class of Securities) 05334N204 (CUSIP Number) Auxilio, Inc. 26300 La Alameda, Suite 100, Mission Viejo, CA 92691 (949) 614-0700 (Name, Address and Telephone Number of Person |
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| January 20, 2017 |
CTEK / CynergisTek, Inc. / Mcmillan Michael Henry - SC 13D Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No.)* AUXILIO, INC. (Name of Issuer) Common Stock, par value $0.001 per share (Title of Class of Securities) 05334N204 (CUSIP Number) Auxilio, Inc. 26300 La Alameda, Suite 100, Mission Viejo, CA 92691 (949) 614-0700 (Name, Address and Telephone Number of Person |
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| January 17, 2017 |
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 13, 2017 AUXILIO, INC. (Exact name of registrant as specified in its charter) Nevada (State or other jurisdiction of incorporation) 000-27507 88-0350448 (Commission File Numbe |
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| January 17, 2017 |
Exhibit 99.10 Auxilio has Acquired Healthcare IT Security Solutions Leader, CynergisTek for up to $34.3 Million Deal Will Expand CynergisTek Capabilities with Addition of New Services, Tools and Personnel from Redspin, an Auxilio Company Mission Viejo, CA, January 17, 2017 ? Auxilio, Inc. (OTCQB: AUXOD), a leading provider of complete document workflow solutions and IT security services for the he |
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| January 17, 2017 |
Exhibit 99.9 SUBORDINATION AGREEMENT This SUBORDINATION AGREEMENT (this "Agreement"), dated as of January 13, 2017, is entered into by and among Dr. Michael G. Mathews ("Mathews") and Michael H. McMillan ("McMillan," and together with Mathews, sometimes collectively referred to herein as "Subordinate Creditors," and each individually as a "Subordinate Creditor"), Auxilio, Inc., a Nevada corporatio |
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| January 17, 2017 |
Exhibit 99.1 STOCK PURCHASE AGREEMENT by and among AUXILIO, INC., CYNERGISTEK, INC., DR. MICHAEL G. MATHEWS, and MICHAEL H. MCMILLAN January 13, 2017 TABLE OF CONTENTS Page ARTICLE I. 1 PURCHASE AND SALE OF STOCK; SALE CONSIDERATION; THE CLOSING; ADJUSTMENTS 1 1.01. Purchase and Sale of Stock 1 1.02. Sale Consideration; Closing Estimates 1 1.03. The Closing 2 1.04. The Closing Transactions 2 1.05. |
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| January 17, 2017 |
EXECUTIVE EMPLOYMENT AGREEMENT Exhibit 99.5 EXECUTIVE EMPLOYMENT AGREEMENT This Executive Employment Agreement ("Agreement") is made effective as of January 13, 2017 ("Effective Date"), by and between Auxilio, Inc., a Nevada corporation ("Company") and Dr. Michael G. Mathews ("Executive"). This Agreement is entered into pursuant to a transaction contemplated by that certain Purchase Agreement (as defined below) wherein Company |
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| January 17, 2017 |
Exhibit 99.7 Amended and Restated Credit Agreement January 13, 2017 among AUXILIO, INC., a Nevada corporation, AUXILIO SOLUTIONS, INC., a California corporation, DELPHIIS, INC., a California corporation, CYNERGISTEK, INC., a Texas corporation, and such other direct or indirect Subsidiaries that may hereafter become parties hereto, as Borrowers, AVIDBANK, a California banking corporation, as Agent, |
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| January 17, 2017 |
EXECUTIVE EMPLOYMENT AGREEMENT Exhibit 99.6 EXECUTIVE EMPLOYMENT AGREEMENT This Executive Employment Agreement ("Agreement") is made effective as of January 13, 2017 ("Effective Date"), by and between Auxilio, Inc., a Nevada corporation ("Company") and Michael H. McMillan ("Executive"). This Agreement is entered into pursuant to a transaction contemplated by that certain Purchase Agreement (as defined below) wherein Company pur |
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| January 17, 2017 |
Exhibit 99.8 SECURITY AGREEMENT This SECURITY AGREEMENT, dated as of January 13, 2017, is entered into by and among the Persons listed on the signature pages hereof as "Grantors" and those additional entities that hereafter become parties hereto by executing the form of Supplement attached hereto as Annex 2 (each sometimes individually referred to herein as a "Grantor" and collectively, the "Grant |
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| January 17, 2017 |
Exhibit 99.3 THIS INSTRUMENT AND THE OBLIGATIONS EVIDENCED HEREBY ARE EXPRESSLY SUBORDINATED PURSUANT TO THAT CERTAIN SUBORDINATION AGREEMENT, DATED AS OF JANUARY 13, 2017 (THE "SUBORDINATION AGREEMENT"), AMONG THE HOLDER OF THIS INSTRUMENT, THE MAKER OF THIS INSTRUMENT, AND AVIDBANK, A CALIFORNIA BANKING CORPORATION. EACH SUCCESSIVE HOLDER OF THIS INSTRUMENT OR ANY PORTION HEREOF, OR OF ANY RIGHT |
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| January 17, 2017 |
Exhibit 99.2 REGISTRATION RIGHTS AGREEMENT This Registration Rights Agreement (this "Agreement"), dated as of January 13, 2017, is made by and among Auxilio, Inc., a Nevada corporation (the "Company"), Dr. Michael G. Mathews ("Mathews") and Michael H. McMillan ("McMillan" and together with Mathews, the "Selling Stockholders"). Each of the Company, Mathews, and McMillan may be referred to herein as |
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| January 17, 2017 |
Exhibit 99.4 THIS INSTRUMENT AND THE OBLIGATIONS EVIDENCED HEREBY ARE EXPRESSLY SUBORDINATED PURSUANT TO THAT CERTAIN SUBORDINATION AGREEMENT, DATED AS OF JANUARY 13, 2017 (THE "SUBORDINATION AGREEMENT"), AMONG THE HOLDER OF THIS INSTRUMENT, THE MAKER OF THIS INSTRUMENT, AND AVIDBANK, A CALIFORNIA BANKING CORPORATION. EACH SUCCESSIVE HOLDER OF THIS INSTRUMENT OR ANY PORTION HEREOF, OR OF ANY RIGHT |
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| January 12, 2017 |
CERTIFICATE OF AMENDMENT TO ARTICLES OF INCORPORATION OF AUXILIO, INC. Exhibit 3 APPENDIX A CERTIFICATE OF AMENDMENT TO ARTICLES OF INCORPORATION OF AUXILIO, INC. |
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| January 12, 2017 |
AUXILIO 8-K (Current Report/Significant Event) 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 12, 2017 AUXILIO, INC. (Exact name of registrant as specified in its charter) Nevada (State or other jurisdiction of incorporation) 000-27507 88-0350448 (Commission File Numbe |
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| January 12, 2017 |
Auxilio, Inc. Announces 1-for-3 Reverse Stock Split Exhibit 99 Auxilio, Inc. Announces 1-for-3 Reverse Stock Split MISSION VIEJO, CA ? January 12, 2017 - Auxilio, Inc. (OTCQB : AUXO ), a leading provider of complete document solutions and IT security for the healthcare industry, today announced a reverse stock split of its shares of common stock at a ratio of 1-for-3. The reverse stock split will be effective at 5:00 p.m. Pacific Time on January 12 |
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| November 10, 2016 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q [X] QUARTERLY REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2016 [ ] TRANSITION REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number 000-27507 AUXILIO, INC. (Exact name of |
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| August 8, 2016 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q [X] QUARTERLY REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2016 [ ] TRANSITION REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number 000-27507 AUXILIO, INC. (Exact name of regi |
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| May 25, 2016 |
Exhibit 99.1 Auxilio, Inc. Announces Appointments to its Board of Directors Adds Significant Healthcare IT, Finance, Governance and Microcap Experience to Board MISSION VIEJO, CA ? May 23, 2016 ? Auxilio, Inc. (OTCQB: AUXO), a leading provider of Managed Print Services (MPS) and IT Security for the healthcare industry, today announces the addition of Drex DeFord and Mark Roberson to its Board of D |
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| May 25, 2016 |
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 19, 2016 AUXILIO, INC. (Exact name of registrant as specified in its charter) Nevada (State or other jurisdiction of incorporation) 000-27507 88-0350448 (Commission File Number) ( |
