Company: MGLD
Filing Date: 2025-09-23
Form Type: DEF 14A
Source: 0001493152-25-014569
Chunk: 28

Company: Marygold Companies, Inc.
Filing Date: 2025-09-23
Form: DEF 14A
Chunk 28
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:----|:----------------------------------------------------------------------------|-----:|:----|:-----------------------------------------------------------------------------------------------------------------------------------------------|----------:|
| Equity compensation plans approved by security holders – stock options |     |                                                                                             | 343,667 |     | $                                                                           | 1.32 |     |                                                                                                                                                | 3,993,567 |
| Equity compensation plans approved by security holders                 |     |                                                                                             |       - |     |                                                                             |    - |     |                                                                                                                                                |         — |
| Total                                                                  |     |                                                                                             | 343,667 |     | $                                                                           | 1.32 |     |                                                                                                                                                | 3,993,567 |

Our 2021 Omnibus Equity Incentive Plan is intended to provide incentives to our officers, non-employee directors, employees, and consultants by providing such individuals with opportunities to purchase or acquire our stock pursuant to options granted which qualify as Incentive Stock Options under Section 422(b) of the Internal Revenue Code of 1986, as amended, non-qualified stock options, and restricted stock and other awards or grants.

Delinquent Section 16(a) Reports

Section 16(a) of the Securities Exchange Act and the rules thereunder require executive officers and directors, and persons who own more than ten percent of our common stock (“10% holders”), to file with the SEC electronically initial reports of beneficial ownership of our shares on a Form 3 and reports of subsequent changes in beneficial ownership of our shares on Form 4 or Form 5. Based solely on our review of these forms (and amendments thereto) filed with the SEC and certifications from our officers and directors, we believe that all officers and directors and 10% holders complied with the filing requirements applicable to them for the year ended June 30, 2025, in a timely manner.

Prohibition of Pledging and Hedging

We prohibit our directors and executive officers from entering into any derivative transaction in our shares (including short sales, forwards, equity swaps, options or collars, or other instruments that are based on our stock price). In addition, directors and executive officers are prohibited from pledging shares of our stock as collateral or security for indebtedness.

<div align='center'>CERTAIN RELATIONSHIPS AND RELATED

TRANSACTIONS, AND DIRECTOR INDEPENDENCE</div>

Except as described below, since the beginning of the last completed fiscal year we have not been a party to any transaction and there is no currently proposed transaction in which we were a participant or are to