Company: MGLD
Filing Date: 2025-11-07
Form Type: 10-Q
Source: 0001493152-25-021259
Chunk: 79

Company: Marygold Companies, Inc.
Filing Date: 2025-11-07
Form: 10-Q
Item: Part I, Item 2
Chunk 79
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d-15(f) under the
Securities Exchange Act) during the quarterly period covered by this report that have materially affected or are reasonably likely to
materially affect our internal controls over financial reporting.

24

PART
II - OTHER INFORMATION

Item
1. Legal Proceedings

Refer
to “Note 10. Commitments And Contingencies – Litigation” in our Condensed Consolidated Financial Statements included
in this Report.

Item
1A. Risk Factors

We
are subject to certain risks and uncertainties in our business operations. You should carefully consider the factors discussed under
“Item 1A -Risk Factors” in our Annual Report on Form 10-K for our fiscal year ended June 30, 2025 (“2025 Form 10-K”).
The risks discussed in our 2025 Form 10-K, our other filings with the SEC, and the risks discussed herein could materially affect our
business, financial condition, results of operations and the market for our shares. The risks described in our 2025 Form 10-K and our
other SEC filings are not the only risks we face. Additional risks and uncertainties not currently known to us or that we currently deem
to be immaterial also may materially and adversely affect our business, financial condition or operating results.

Item
2. Unregistered Sales of Equity Securities and Use of Proceeds

None.

Item
3. Defaults Upon Senior Securities

None.

Item
4. Mine Safety Disclosures

Not
applicable.

Item
5. Other Information

Securities
Trading Plans of Directors and Executive Officers

During
the fiscal quarter ended September 30, 2025, none of the Company’s directors or officers, as defined in Section 16 of the Securities
Exchange Act of 1934, adopted or terminated any contract, instruction or written plan for the purchase or sale of Company securities
that was intended to satisfy the affirmative defense conditions of Rule 10b5-1(c) or any “non-Rule 10b5-1 trading arrangement”
as defined under Item 408(a) of Regulation S-K.

Item
6. Exhibits

The
following exhibits are filed or incorporated by reference as part of this Form 10-Q:

    Exhibit No.
     
    Description

    31.1
     
    Certification of Principal Executive Officer pursuant to Rules 13a-14(a) or 15d-14(a) of the Securities Exchange Act of 1934, as amended, as