# EDGAR Filing Document

**Accession Number:** 0001015383
**File Stem:** 0001493152-23-007359
**Filing Date:** 2023-3
**Character Count:** 10124
**Document Hash:** 5969031c4a108318dc7eef30db720305
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001493152-23-007359.hdr.sgml**: 20230313

**ACCESSION NUMBER**: 0001493152-23-007359

**CONFORMED SUBMISSION TYPE**: 8-K

**PUBLIC DOCUMENT COUNT**: 43

**CONFORMED PERIOD OF REPORT**: 20230313

**ITEM INFORMATION**: Regulation FD Disclosure

**ITEM INFORMATION**: Financial Statements and Exhibits

**FILED AS OF DATE**: 20230313

**DATE AS OF CHANGE**: 20230313

**FILER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** AMMO, INC.
- **CENTRAL INDEX KEY:** 0001015383
- **STANDARD INDUSTRIAL CLASSIFICATION:** ORDNANCE & ACCESSORIES, (NO VEHICLES/GUIDED MISSILES) [3480]
- **IRS NUMBER:** 300957912
- **STATE OF INCORPORATION:** DE
- **FISCAL YEAR END:** 0331

**FILING VALUES:**
- **FORM TYPE:** 8-K
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 001-13101
- **FILM NUMBER:** 23725854

**BUSINESS ADDRESS:**
- **STREET 1:** 7681 E. GRAY RD
- **STREET 2:** SCOTTSDALE
- **CITY:** SCOTTSDALE
- **STATE:** AZ
- **ZIP:** 85260
- **BUSINESS PHONE:** 480-947-0001

**MAIL ADDRESS:**
- **STREET 1:** 7681 E. GRAY RD
- **STREET 2:** SCOTTSDALE
- **CITY:** SCOTTSDALE
- **STATE:** AZ
- **ZIP:** 85260

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** RETROSPETTIVA INC
- **DATE OF NAME CHANGE:** 19970602

?xml version="1.0" encoding="utf-8"?

**UNITED STATES**

**SECURITIES AND EXCHANGE COMMISSION**

**Washington, DC 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): **<u>March 13, 2023</u>**

**<u>AMMO, INC.</u>**

(Exact name of registrant as specified in its charter)

---

| | | |
|:---|:---|:---|
| **Delaware** | **001-13101** | **83-1950534** |
| (State or other jurisdiction of<br> incorporation or organization) | (Commission<br> File Number) | (IRS Employer<br> Identification No.) |

---

**7681 E. Gray Rd.**

**<u>Scottsdale, Arizona 85260</u>**

(Address of principal executive offices)

**<u>(480) 947-0001</u>**

(Registrant's telephone number, including area code)

(Former name or former address, if changed since last report)

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:

☐ 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 Symbol(s)** | **Name of each exchange on which registered** |
| Common Stock, $0.001 par value | POWW | The Nasdaq Stock Market LLC (Nasdaq Capital Market) |
| 8.75% Series A Cumulative Redeemable Perpetual Preferred Stock, $0.001 par value | POWWP | The Nasdaq Stock Market LLC (Nasdaq Capital Market) |

---

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 7.01 Regulation FD Disclosure.**

On March 13, 2023, Ammo, Inc. (the "Company") issued a press release announcing its participation in the 35th Annual Roth Conference being held on March 12-14, 2023 at The Ritz Carlton, Laguna Niguel in Dana Point, California. The press release is attached to this Current Report on Form 8-K as Exhibit 99.1 The materials attached as Exhibit 99.2 to this Current Report on Form 8-K will be distributed to the participants of such conference, which information is incorporated herein by reference.

The information in this Item in this Current Report on Form 8-K, Exhibits 99.1 and 99.2 attached hereto are being furnished and shall not be deemed "filed" for purposes of Section 18 of the Securities Exchange Act of 1934 (the "Exchange Act") or otherwise subject to the liabilities of that section, nor shall it be deemed incorporated by reference in any filing under the Securities Act of 1933 or the Exchange Act, regardless of any general incorporation language in such filing.

**Item 9.01 Financial Statements and Exhibits.**

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;(d) Exhibits

99.1 [Press Release dated March 13, 2023.](ex99-1.htm) <br> 99.2 [Investor Presentation-March 2023 Roth Conference](ex99-2.htm) <br> 104 Cover Page Interactive Data File (embedded within the Inline XBRL document)

SIGNATURES

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.

---

| | | |
|:---|:---|:---|
|  | **AMMO, INC.** | **AMMO, INC.** |
| Dated: March 13, 2023 | By: | */s/ Robert D. Wiley* |
|  |  | Robert D. Wiley |
|  |  | Chief Financial Officer |

---

## Exhibit 99.1

**Exhibit 99.1**

---

| | |
|:---|:---|
| ![](ex99-1_001.jpg) | ![](ex99-1_002.jpg) |

---

**AMMO, Inc. to Participate in Fireside Chat at the**

**35th Annual ROTH Conference**

**SCOTTSDALE, Ariz., March 13, 2023 —** AMMO, Inc. (Nasdaq: POWW, POWWP) ("AMMO" or the "Company") the owner of GunBroker.com, the largest online marketplace serving the firearms and shooting sports industries, and a leading vertically integrated producer of high-performance ammunition and components, announces today that management will participate in a fireside chat at the 35th Annual Roth Conference being held on March 12-14, 2023 at The Ritz Carlton, Laguna Niguel in Dana Point, California.

---

| | |
|:---|:---|
| Event: | Fireside Chat at the 35th Annual ROTH Conference |
| Date: | Tuesday, March 14, 2023 |
| Time: | 9:00am – 9:25am Pacific Time |
| Location: | BLUE – Consumer Gaming Health & Wellness - Salon 2 |

---

Management will be holding one-on-one meetings with investors and analysts during the conference. To request a meeting with management, please contact your ROTH representative. For additional information, use the link below:

<u>https://www.meetmax.com/sched/event_89809/conference_home.html</u>

**About AMMO, Inc.**

With its corporate offices headquartered in Scottsdale, Arizona, AMMO designs and manufactures products for a variety of aptitudes, including law enforcement, military, sport shooting and self-defense. The Company was founded in 2016 with a vision to change, innovate and invigorate the complacent munitions industry. AMMO promotes its own branded munitions, including its patented STREAK<sup>™</sup> Visual Ammunition, /stelTH/<sup>™</sup> subsonic munitions, and armor piercing rounds for military use. For more information, please visit: <u>www.ammo-inc.com</u>.

**About GunBroker.com**

GunBroker.com is the largest online marketplace dedicated to firearms, hunting, shooting and related products. Aside from merchandise bearing its logo, GunBroker.com currently sells none of the items listed on its website. Third-party sellers list items on the site and Federal and state laws govern the sale of firearms and other restricted items. Ownership policies and regulations are followed using licensed firearms dealers as transfer agents. Launched in 1999, GunBroker.com is an informative, secure and safe way to buy and sell firearms, ammunition, air guns, archery equipment, knives and swords, firearms accessories and hunting/shooting gear online. GunBroker.com promotes responsible ownership of guns and firearms. For more information, please visit: <u>www.gunbroker.com</u>.

**Forward Looking Statements**

This document contains certain "forward-looking statements". All statements other than statements of historical fact are "forward-looking statements" for purposes of federal and state securities laws, including, but not limited to, any projections of earnings, revenue or other financial items; any statements of the plans, strategies, goals and objectives of management for future operations; any statements concerning proposed new products and services or developments thereof; any statements regarding future economic conditions or performance; any statements or belief; and any statements of assumptions underlying any of the foregoing.

Forward looking statements may include the words "may," "could," "estimate," "intend," "continue," "believe," "expect" or "anticipate" or other similar words, or the negative thereof. These forward-looking statements present our estimates and assumptions only as of the date of this report. Accordingly, readers are cautioned not to place undue reliance on forward-looking statements, which speak only as of the dates on which they are made. We do not undertake to update forward-looking statements to reflect the impact of circumstances or events that arise after the dates they are made. You should, however, consult further disclosures and risk factors we include in Annual Reports on Form 10-K, Quarterly Reports on Form 10-Q, and Current Reports filed on Form 8-K.

**Investor Contact:**

CoreIR

Phone: (212) 655-0924

IR@ammo-inc.com

## Exhibit 99.2

**Exhibit 99.2**

![](ex99-2_001.jpg)

![](ex99-2_002.jpg)

![](ex99-2_003.jpg)

![](ex99-2_004.jpg)

![](ex99-2_005.jpg)

![](ex99-2_006.jpg)

![](ex99-2_007.jpg)

![](ex99-2_008.jpg)

![](ex99-2_009.jpg)

![](ex99-2_010.jpg)

![](ex99-2_011.jpg)

![](ex99-2_012.jpg)

![](ex99-2_013.jpg)

![](ex99-2_014.jpg)

![](ex99-2_015.jpg)

![](ex99-2_016.jpg)

![](ex99-2_017.jpg)

![](ex99-2_018.jpg)

![](ex99-2_019.jpg)

![](ex99-2_020.jpg)

![](ex99-2_021.jpg)

![](ex99-2_022.jpg)

![](ex99-2_023.jpg)

![](ex99-2_024.jpg)

![](ex99-2_025.jpg)

![](ex99-2_026.jpg)