Company: MGLD
Filing Date: 2025-01-27
Form Type: 424B5
Source: 0001493152-25-003788
Chunk: 29

Company: Marygold Companies, Inc.
Filing Date: 2025-01-27
Form: 424B5
Chunk 29
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 to lock-up agreements prior to the expiration of the lock-up period. When determining whether or not to release shares from the lock-up agreements, the underwriter will consider, among other factors, the security holder’s reasons for requesting release, the number of shares for which the release is being requested and market conditions at the time.

Our Relationships with the Underwriters

The underwriters and their affiliates may in the future engage in investment banking transactions and other commercial dealings in the ordinary course of business with us or our affiliates. The underwriters and their affiliates may in the future receive customary fees and commissions for these transactions.

In addition, in the ordinary course of its business activities, the underwriters and their affiliates may make or hold a broad array of investments and actively trade debt and equity securities (or related derivative securities) for their own account and for the accounts of their customers. Such investments and securities activities may involve securities and/or instruments of ours or our affiliates. The underwriters and their affiliates may also make investment recommendations and/or publish or express independent research views in respect of such securities or financial instruments and may hold, or recommend to clients that they acquire, long and/or short positions in such securities and instruments.

Indemnification

We have agreed to indemnify the underwriters against liabilities relating to the offering arising under the Securities Act of 1933, as amended (“Securities Act”), and the Securities Exchange Act, as well as liabilities arising from the material breach of any of the representations and warranties we make in the underwriting agreement, and to contribute to payments that the underwriters may be required to make for these liabilities.

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Price Stabilization, Short Positions, and Penalty Bids

Certain SEC rules may limit the ability of the underwriters to bid for or purchase shares before the distribution of the shares is completed. However, the underwriters may engage in the following activities in accordance with the rules:

| ● | Stabilizing                                                                                           
 transactions. The representative may make bids or purchases for the purpose of pegging,               
 fixing or maintaining the price of the shares, so long as stabilizing bids do not exceed              
 a specified maximum.                                                                                  |
| ● | Over-allotments                                                                                       
 and syndicate covering transactions. The underwriters may sell more shares of common                  
 stock in connection with this offering than the number of shares that they have committed             
 to purchase. This over-allotment creates a short position for the underwriters. This short            
 sales position may involve either “covered” short sales or “naked