# EDGAR Filing Document

**Accession Number:** 0001719489
**File Stem:** 0001193125-23-065826
**Filing Date:** 2023-3
**Character Count:** 16315
**Document Hash:** 99011ded3d2e72c2fc792c7a28f594e9
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001193125-23-065826.hdr.sgml**: 20230309

**ACCESSION NUMBER**: 0001193125-23-065826

**CONFORMED SUBMISSION TYPE**: 8-K

**PUBLIC DOCUMENT COUNT**: 19

**CONFORMED PERIOD OF REPORT**: 20230308

**ITEM INFORMATION**: Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year

**ITEM INFORMATION**: Financial Statements and Exhibits

**FILED AS OF DATE**: 20230309

**DATE AS OF CHANGE**: 20230309

**FILER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** Kaleyra, Inc.
- **CENTRAL INDEX KEY:** 0001719489
- **STANDARD INDUSTRIAL CLASSIFICATION:** SERVICES-COMPUTER PROCESSING & DATA PREPARATION [7374]
- **IRS NUMBER:** 823027430
- **STATE OF INCORPORATION:** DE
- **FISCAL YEAR END:** 1231

**FILING VALUES:**
- **FORM TYPE:** 8-K
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 001-38320
- **FILM NUMBER:** 23719090

**BUSINESS ADDRESS:**
- **STREET 1:** 17 STATE STREET
- **CITY:** NEW YORK
- **STATE:** NY
- **ZIP:** 10004
- **BUSINESS PHONE:** (917) 508-9185

**MAIL ADDRESS:**
- **STREET 1:** 17 STATE STREET
- **CITY:** NEW YORK
- **STATE:** NY
- **ZIP:** 10004

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** GigCapital, Inc.
- **DATE OF NAME CHANGE:** 20171012

?xml version="1.0" encoding="utf-8" ? 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): March 8, 2023

------

## KALEYRA, INC.

#### (Exact Name of Registrant as Specified in Charter)

------

---

| | | |
|:---|:---|:---|
| **Delaware** | **001-38320** | **82-3027430** |
| **(State or other jurisdiction**<br> **of incorporation)** | **(Commission**<br> **File Number)** | **(IRS Employer**<br> **Identification No.)** |

---

---

| | |
|:---|:---|
| **85 Broad Street, New York City, NY** | **10004** |
| **(Address of Principal Executive Offices)** | **(Zip Code)** |

---

#### +1 917 508 9185

#### (Registrant's telephone number, including area code)

------

Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions (*see* General Instruction A.2. below):

☐ Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)

☐ Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)

☐ Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))

☐ Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e 4(c))

Securities registered pursuant to Section 12(b) of the Act:

---

| | | |
|:---|:---|:---|
| **Title of each class** | **Trading**<br> **Symbols** | **Name of each exchange**<br> **on which registered** |
| Common Stock, par value $0.0001 per share | KLR | New York Stock Exchange |
| Warrants, at an exercise price of $11.50 per share of Common Stock | KLR WS | NYSE American LLC |

---

Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (§230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (§240.12b-2 of this chapter).

Emerging growth company ☐

If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. ☐

------

---

| | |
|:---|:---|
| **Item 5.03** | **Amendments to Article of Incorporation or Bylaws; Change in Fiscal Year**  |

---

On March 8, 2023, Kaleyra, Inc. (the "Company") filed with the Secretary of State of the State of Delaware a Certificate of Amendment (the "Certificate of Amendment") to the Company's Second Amended and Restated Certificate of Incorporation to effect a 1-for-3.5 reverse stock split (the "Reverse Stock Split") of the Company's issued and outstanding shares of common stock, par value $0.0001 per share (the "Common Stock"), effective as of 12:01 a.m. Eastern Time on March 9, 2023. Beginning with the opening of trading on March 9, 2023, Kaleyra's Common Stock will trade on the New York Stock Exchange on a split-adjusted basis under new CUSIP number 483379202 and will continue to trade under the symbol "KLR."

As a result of the Reverse Stock Split, every three and one-half (3.5) shares of Common Stock issued and outstanding has been converted into one (1) share of Common Stock. No fractional shares were issued in connection with the Reverse Stock Split. Stockholders who otherwise would have been entitled to receive fractional shares because they held a number of shares of Common Stock not evenly divisible by the Reverse Stock Split ratio were automatically entitled to receive an additional fraction of a share of Common Stock to round up to the next whole share.

The Reverse Stock Split did not reduce the number of authorized shares of Common Stock, or change the par values of the Common Stock. The Reverse Stock Split affected all stockholders uniformly and did not affect any stockholder's ownership percentage of the Company's shares of Common Stock (except to the extent that the Reverse Stock Split resulted in some of the stockholders receiving an additional fractional share).

All outstanding options, warrants, restricted stock units and similar securities entitling their holders to receive or purchase shares of Common Stock were adjusted as a result of the Reverse Stock Split, as required by the terms of each security. Prior to the Reverse Stock Split, Kaleyra had outstanding issued warrants listed on the NYSE American to purchase a total of 5,440,662 shares of Common Stock, with each whole warrant being exercisable to purchase one share of Common Stock at $11.50 per share. After giving effect to the Reverse Stock Split, these warrants are now exercisable for a total of approximately 1,554,475 shares of Common Stock, with an exercise price of $40.25 per common share.

The foregoing description of the Certificate of Amendment to the Second Amended and Restated Certificate of Incorporation of the Company is a summary of the material terms thereof, does not purport to be complete and is qualified in its entirety by reference to the full text of the Certificate of Amendment, which is filed with this report as Exhibit 3.1 and is incorporated herein by reference.

On March 9, 2023, the Company issued a press release announcing the Reverse Stock Split. A copy of the press release is filed herewith as Exhibit 99.1 hereto.

------

---

| | |
|:---|:---|
| **Item 9.01** | **Financial Statements and Exhibits.**  |

---

(a) Not applicable.

(b) Not applicable.

(c) Not applicable.

(d) Exhibits.

The exhibits required by this item are set forth on the Exhibit Index attached hereto.

---

| | |
|:---|:---|
| **Exhibit<br>Number** |  |
| &nbsp;&nbsp;&nbsp;&nbsp;3.1 | [Certificate of Amendment to the Second Amended and Restated Certificate of Incorporation of Kaleyra, Inc., effective March 9, 2023](d477568dex31.htm) |
| 99.1 | [Press Release, dated March 9, 2023](d477568dex991.htm) |
| 104 | Cover Page Interactive Data File (embedded within the inline XBRL document) |

---

------

#### SIGNATURE
Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.

Dated: March 9, 2023

---

| | |
|:---|:---|
| By: | /s/ Dario Calogero |
| Name: | Dario Calogero |
| Title: | Chief Executive Officer and President |

---

## Exhibit 3.1

**Exhibit 3.1** 

---

| | |
|:---|:---|
| **<u>Delaware</u>** | **Page 1** |
| The First State |  |

---

***I, JEFFREY W. BULLOCK, SECRETARY OF STATE OF THE STATE OF DELAWARE, DO HEREBY CERTIFY THE ATTACHED IS A TRUE AND CORRECT COPY OF THE CERTIFICATE OF AMENDMENT OF "KALEYRA, INC.", FILED IN THIS OFFICE ON THE EIGHTH DAY OF MARCH, A.D. 2023, AT 3:44 O`CLOCK P.M.***

***AND I DO HEREBY FURTHER CERTIFY THAT THE EFFECTIVE DATE OF THE AFORESAID CERTIFICATE OF AMENDMENT IS THE NINTH DAY OF MARCH, A.D. 2023 AT 12:01 O'CLOCK A.M.***

---

| | |
|:---|:---|
|  6527093 8100 ![LOGO](g477568g79c66.jpg)  | ![LOGO](g477568g66z15.jpg) <br> Authentication: 202868850 |
|  SR# 20230915720 | Date: 03-08-23 |
|  You may verify this certificate online at corp.delaware.gov/authver.shtml |  |

---

------

State of Delaware<br>Secretary of State<br>Division of Corporations<br>Delivered 03:44 PM 03/08/2023<br>FILED 03:44 PM 03/08/2023<br>SR 20230915720 - File Number 6527093

**CERTIFICATE OF AMENDMENT** 

**TO THE** 

**SECOND AMENDED AND RESTATED CERTIFICATE OF INCORPORATION** 

**OF** 

**KALEYRA, INC.** 

Kaleyra, Inc., a corporation organized and existing under the laws of the State of Delaware (the "Corporation"), hereby certifies that:

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;1. The name of the Corporation is Kaleyra, Inc. The date of filing of the Corporation's original Certificate
of Incorporation with the Secretary of State of the State of Delaware was October 9, 2017, under the name GigCapital, Inc.

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;2. This Certificate of Amendment to the Second Amended and Restated Certificate of Incorporation was duly
authorized and adopted by the Corporation's Board of Directors and stockholders in accordance with Section 242 of the General Corporation Law of the State of Delaware and amends the provisions of the Company's Second Amended and
Restated Certificate of Incorporation.

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;3. The amendment to the existing Second Amended and Restated Certificate of Incorporation being effected hereby is
as follows:

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;a. Add the following paragraph at the end of the Fourth Section as a new Section 4.5:

"Section 4.5 <u>Reverse Stock Split</u>. Upon this Amendment to the Amended and Restated Certificate becoming effective pursuant to the DGCL (the "***Reverse Stock Split Effective Time***"), each three and one-half (3.5) shares of Common Stock issued and outstanding immediately prior to the Reverse Stock Split Effective Time shall automatically be reclassified and combined into one (1) validly issued, fully paid and non-assessable share of Common Stock, without any further action by the Corporation or the holder thereof (the "***Reverse Stock Split***"). No fractional shares shall be issued in connection with the Reverse Stock Split. Stockholders who otherwise would be entitled to receive fractional shares because they hold a number of shares not evenly divisible by the Reverse Stock Split ratio will automatically be entitled to receive an additional fraction of a share of common stock to round up to the next whole share."

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;4. This Certificate of Amendment to the Second Amended and Restated Certificate of Incorporation shall be
effective at 12:01 a.m. Eastern Time on Thursday, March 9, 2023.

\*\*\*\*

*(Signature page follows)* 

------

IN WITNESS WHEREOF, the Corporation has caused this Certificate of Amendment to the Second Amended and Restated Certificate of Incorporation to be signed by its duly authorized officer on this 8<sup>th</sup> day of March, 2023.

---

| | |
|:---|:---|
|  **KALEYRA, INC.** | **KALEYRA, INC.** |
| By: | ![LOGO](g477568g44g98.jpg)  |
|  | Name: Dario Calogero |
|  | Title: Chief Executive Officer |

---

[Signature Page to Certificate of Amendment]

## Exhibit 99.1

**Exhibit 99.1**![LOGO](g477568g0309120638590.jpg)

**Kaleyra announces 1-for-3.5 Reverse Stock Split** 

**Effective as of 12:01 am ET on March 9th** 

**NEW YORK – March 9, 2023 – Kaleyra, Inc. (NYSE: KLR) (NYSE American: KLR WS) ("Kaleyra" or the "Company"),** an enterprise Communication Platform as a Service (CPaaS) business, today announced the approved 1-for-3.5 reverse stock split of the Company's issued and outstanding common stock is effective as of 12:01 am ET on March 9, 2023.

On March 6, 2023, Kaleyra, Inc. (the "Company") announced that following shareholder approval at the Special Meeting of the stockholders held on February 14, 2023, the Company's Board of Directors has approved a 1-for-3.5 reverse stock split (the "Reverse Stock Split") of the Company's issued and outstanding shares of common stock, par value $0.0001 per share (the "Common Stock") effective upon the related Amendment to the Company's Second Amended and Restated Certificate of Incorporation becoming effective pursuant to Delaware law. Beginning with the opening of trading on March 9, 2023, Kaleyra's Common Stock will trade on the New York Stock Exchange on a split-adjusted basis under the new CUSIP number 483379202 and will continue to trade under the symbol "KLR."

As a result of the Reverse Stock Split, every three and one-half (3.5) shares of Common Stock issued and outstanding will be converted into one (1) share of Common Stock. No fractional shares shall be issued in connection with the Reverse Stock Split. Stockholders who otherwise would be entitled to receive fractional shares because they hold a number of shares of Common Stock not evenly divisible by the Reverse Stock Split ratio will automatically be entitled to receive an additional fraction of a share of Common Stock to round up to the next whole share.

The Reverse Stock Split will not reduce the number of authorized shares of Common Stock or change the par values of the Common Stock. The Reverse Stock Split will affect all stockholders uniformly and will not affect any stockholder's ownership percentage of the Company's shares of Common Stock (except to the extent that the Stock Split would result in some of the stockholders receiving an additional fractional share). All outstanding options, warrants, restricted stock units, and similar securities entitling their holders to receive or purchase shares of Common Stock will be adjusted as a result of the Reverse Stock Split, as required by the terms of each security.

Prior to the reverse split, Kaleyra has outstanding issued warrants to purchase a total of 5,440,662 shares of common stock, with each whole warrant being exercisable to purchase one share of common stock at $11.50 per share. After giving effect to the reverse split, these warrants are now exercisable for a total of approximately 1,554,475 shares of common stock with an exercise price of $40.25 per common share.

Additional information about the reverse stock split can be found in the Company's definitive proxy statement (the "Proxy Statement") filed with the Securities and Exchange Commission (the "SEC") on January 9, 2023 which is available free of charge at the SEC's website, www.sec.gov, and on the Company's website at https://www.investors.kaleyra.com/.

------

**About Kaleyra** 

Kaleyra, Inc. (NYSE: KLR) (NYSE American: KLR WS) is a global group providing mobile communication services to financial institutions, e-commerce players, OTTs, software companies, logistic enablers, healthcare providers, retailers, and other large organizations worldwide. Through its proprietary platform and robust APIs, Kaleyra manages multi-channel integrated communication services, consisting of messaging, rich messaging and instant messaging, video, push notifications, e-mail, voice services, and chatbots. Kaleyra's technology makes it possible to safely and securely manage billions of messages monthly with over 1,600 operator connections in 190+ countries, including all tier-1 US carriers. For more information, please visit <u>www.investors.kaleyra.com</u>.

**Kaleyra Contacts** 

**Marketing Contacts:** 

Zephrin Lasker

Executive Vice President, Marketing & Strategic Alliances

<u>zephrin.lasker@kaleyra.com</u> 

Lori Perkins

Senior Director – Marketing and Communications

<u>lori.perkins@kaleyra.com</u> 

**Investor Contacts:** 

Colin Gillis

Vice President of Investor Relations

<u>colin.gillis@kaleyra.com</u> 

Shannon Devine or Mark Schwalenberg

MZ North America

203-741-8811

<u>KLR@mzgroup.us</u>