FiscalNote Holdings, Inc.
For the period ended Sep 30, 2025. Filed Nov 10, 2025.
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A company's report for each of its first three quarters. The financial statements are not audited. It shows how the business has moved since the last annual report, and what management says changed.
Sep 30, 2025 · Filed Nov 10, 2025
NOTE$0.11-2.7%Stored close · as of Jul 8, 2026
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Item 6. Exhibits
Furnish the exhibits required by Item 601 of Regulation S-K (§ 229.601 of this chapter).
| ExhibitNumber | Description | Incorporation by Reference (where a report is indicated below, that document has been previously filed with the SEC and the applicable exhibit is incorporated by reference thereto) |
| 2.1 | Agreement and Plan of Merger, dated as of November 7, 2021, by and among Duddell Street Acquisition Corp. (renamed “FiscalNote Holdings, Inc.”), Grassroots Merger Sub, Inc. and FiscalNote Holdings, Inc. (renamed “FiscalNote Intermediate Holdco, Inc.”). | Annex A to the Proxy Statement/Prospectus filed on July 5, 2022 (File No.333-261483). |
| 2.2 | First Amendment to Agreement and Plan of Merger, dated as of May 9, 2022, by and among Duddell Street Acquisition Corp. (renamed “FiscalNote Holdings, Inc.”), Grassroots Merger Sub, Inc. and FiscalNote Holdings, Inc. (renamed “FiscalNote Intermediate Holdco, Inc.”). | Annex A-2 to the Proxy Statement/Prospectus filed on July 5, 2022 (File No.333-261483). |
| 3.1 | Certificate of Incorporation of FiscalNote Holdings, Inc. (f/k/a/ Duddell Street Acquisition Corp.). | Exhibit 3.1 to the Current Report on Form 8-K filed on August 2, 2022 (File No. 001-396972) |
| 3.2 | Certificate of Amendment to Certificate of Incorporation of FiscalNote Holdings, Inc. | Exhibit 3.1 to the Current Report on Form 8-K filed on August 29, 2025 (File No. 001-396972) |
| 3.3 | Bylaws of FiscalNote Holdings, Inc. (f/k/a/ Duddell Street Acquisition Corp.). | Exhibit 3.2 to the Current Report on Form 8-K filed on August 2, 2022 (File No. 001-396972) |
| 4.1 | Warrant Agreement, dated as of October 28, 2020, by and among Duddell Street Acquisition Corp ad Continental Stock Transfer & Trust Company, as warrant agent. | Exhibit 4.1 of DSAC’s Current Report on Form 8-K filed with the SEC on November 2, 2020 (File No. 333-249207). |
| 4.2 | Form of Warrant | Exhibit 10.2 to the Current Report on Form 8-K filed on March 20, 2023 (File No. 001-39672). |
| 10.1+ | Financing Agreement, dated as of August 5, 2025, by and among the Company, as Parent Guarantor, the Company's domestic subsidiaries party thereto as borrowers and guarantors the lenders from time to time party thereto, and MGG Investment Group LP, as collateral agent and as administrative agent | Exhibit 10.1 to the Current Report on Form 8-K filed on August 6, 2025 (File No. 001-39672). |
| 10.2+ | Securities Purchase Agreement, dated as of August 5, 2025, by and between the Company and YA II PN, Ltd. | Exhibit 10.2 to the Current Report on Form 8-K filed on August 6, 2025 (File No. 001-39672). |
| 10.3+ | Convertible Debenture, issued on August 12, 2025. | Exhibit 10.4 to the Quarterly Report on Form 10-Q filed on August 15, 2025 (File No. 001-39672). |
| 10.4 | Registration Rights Agreement, dated as of August 12, 2025, by and between the Company and YA II PN, Ltd. | Exhibit 10.5 to the Quarterly Report on Form 10-Q filed on August 15, 2025 (File No. 001-39672). |
| 10.5+ | Redemption and Exchange Agreement, dated as of August 5, 2025, by and between the Company and GPO FN Noteholder, LLC. | Exhibit 10.5 to the Current Report on Form 8-K filed on August 6, 2025 (File No. 001-39672). |
| 10.6 | Subordinated Convertible Promissory Note Due 2029. | Exhibit 10.7 to the Quarterly Report on Form 10-Q filed on August 15, 2025 (File No. 001-39672). |
| 10.7 | Convertible Debenture, issued on September 11, 2025 | Filed with this report. |
| 10.8 | Form of Amendment, dated July 30, 2025, to Letter Agreement dated March 25, 2025. | Exhibit 10.1 to the Current Report on Form 8-K filed on August 5, 2025 (File No. 001-39672). |
| 10.9 | Second Amended and Restated Employment between FiscalNote Holdings, Inc. and Josh Resnik, entered into as of October 31, 2025. | Exhibit 10.1 to the Current Report on Form 8-K filed on October 31, 2025 (File No. 001-39672). |
| 10.10 | Amended and Restated Employment between FiscalNote Holdings, Inc. and Jon Slabaugh, entered into as of October 31, 2025. | Exhibit 10.2 to the Current Report on Form 8-K filed on October 31, 2025 (File No. 001-39672). |
| 10.11 | Form of Retention Award Agreement. | Exhibit 10.3 to the Current Report on Form 8-K filed on October 31, 2025 (File No. 001-39672). |
| 31.1 | Certification of Chief Executive Officer Pursuant to Rule 13a-14(a). | Filed with this report. |
| 31.2 | Certification of Chief Financial Officer Pursuant to Rule 13a-14(a). | Filed with this report. |
| 32 | Section 1350 Certifications. | Furnished with this report. |
| 101.INS | Inline XBRL Instance Document – the instance document does not appear in the Interactive Data File because XBRL tags are embedded within the Inline XBRL document. | Submitted electronically with this report. |
| 101.SCH | Inline XBRL Taxonomy Extension Schema Document. | Submitted electronically with this report. |
| 104 | Cover Page Interactive Data File (embedded within the Inline XBRL document). | Submitted electronically with this report. |
- All schedules have been omitted in accordance with Item 601(a)(5) of Regulation S-K. The Registrant agrees to furnish a copy of all omitted schedules to the SEC upon its request.
- Certain portions of this exhibit have been omitted in accordance with Regulation S-K Item 601. The Company agrees to furnish an unredacted copy of the exhibit to the SEC upon request.
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