FiscalNote Holdings, Inc.
For the period ended Sep 30, 2026. Filed Nov 9, 2026.
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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, 2026 · Filed Nov 9, 2026
NOTE$0.11-2.7%Stored close · as of Jul 8, 2026
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Item 6. Exhibits
| 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. 001-39672) |
| 3.2 | 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. 001-39672) |
| 4.1 | Warrant Agreement, dated as of October 28, 2020, by and among Duddell Street Acquisition Corp and 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+* 10.2+ | Employment Agreement, dated July 24, 2026, by and between the Company and Key Compton Performance-Based Restricted Stock Award, dated July 24, 2026, by and between the Company and Key Compton | Exhibit 10.1 to the Quarterly Report on Form 10-Q filed on August 10, 2026 (File No. 001-39672). Exhibit 10.2 to the Quarterly Report on Form 10-Q filed on August 10, 2026 (File No. 001-39672). |
| 10.3 | Equity Purchase Agreement, dated as of August 27, 2026 | Exhibit 10.1 to the Current Report on Form 8-K filed on September 2, 2026 (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. |
- Indicates a management contract or compensatory plan.
- 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.
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