Attached files
| file | filename |
|---|---|
| EX-10.1 - ASPIRITY HOLDINGS LLC | ex10-1.htm |
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) | January 10, 2017 |
| ASPIRITY HOLDINGS LLC |
| (Exact Name of Registrant as Specified in Charter) |
| Minnesota | 333-203994 | 27-1658449 | ||
| (State or Other Jurisdiction | (Commission | (IRS Employer | ||
| of Incorporation) | File Number) | Identification No.) |
| 701 Xenia Avenue, Suite 475, Minneapolis, MN | 55416 | |
| (Address of Principal Executive Offices) | (Zip Code) |
| Registrant’s telephone number, including area code | (763) 432-1500 |
| N/A |
| (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 (see General Instruction A.2. below):
| [ ] | Written communication 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)) |
Item 5.02. Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers.
Effective January 10, 2017, Aspirity Holdings LLC (the “Company”) entered into Amendment No. 1 (the “Amendment”) to the Employment Agreement dated January 1, 2016 by and between the Company and its current President and Chief Executive Officer, Scott C. Lutz. Mr. Lutz was appointed as the Company’s President and Chief Executive Officer on August 15, 2016, and the purpose of the Amendment is to reflect such appointment and to conform the severance benefits, change of control protections, bonus and salary provided to Mr. Lutz under his Employment Agreement to that of Company’s prior President and Chief Executive Officer. Pursuant to the Amendment, the Company will pay Mr. Lutz an annual salary of $240,000.
The foregoing description is qualified in its entirety by reference to the full text of the Amendment, which is attached hereto as Exhibit 10.1 to this Current Report on Form 8-K and is incorporated herein by reference.
Item 9.01. Financial Statements and Exhibits.
| (d) Exhibits |
| Exhibit Number | Description | ||
| 10.1 | Amendment No. 1 to Employment Agreement effective January 10, 2017 between Aspirity Holdings LLC and Scott C. Lutz |
| 2 |
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.
| ASPIRITY HOLDINGS LLC | ||
| Date: January 13, 2017 | By: | /S/ Wiley H. Sharp III |
| Name: | Wiley H. Sharp III | |
| Its: | Vice President and Chief Financial Officer | |
| 3 |