AMMO INC
For the period ended Mar 31, 2024. Filed Jun 13, 2024.
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FY2024 · Filed Jun 13, 2024
POWW$2.31+1.3%Stored close · as of Nov 10, 2026
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Item 15. EXHIBITS AND FINANCIAL STATEMENT SCHEDULES
| (a) | Financial Statements and Financial Statement Schedules are set forth under Part II, Item 8 of this report. |
| (b) | Exhibits |
Other Schedules are omitted because they are not applicable, not required, or because the required information is included in the Consolidated Financial Statements or notes thereto.
| Reference · Filed or Furnished | ||||
|---|---|---|---|---|
| Exhibit Number · Exhibit Description · Form · Exhibit · Filing Date · Herewith | ||||
| 2.1# | Agreement and Plan of Merger, dated April 30, 2021, by and among Ammo, Inc., SpeedLight Group I, LLC, Gemini Direct Investments, LLC and Steven F. Urvan (1) | 8-K | 2.1 | 5/6/2021 |
| 3.1 | Certificate of Incorporation (Amended and Restated) filed with the Delaware Secretary of State on October 24, 2018 | 8-K | 3.1 | 10/26/2018 |
| 3.2 | Bylaws | 8-K | 3.03 | 02/09/2017 |
| 3.3 | Certificate of Designations with respect to the 8.75% Series A Cumulative Redeemable Perpetual Preferred Stock, par value $0.001 per share, dated May 18, 2021 | 8-A | 3.1 | 5/20/2021 |
| 4.1 | Compilation of JSC Agreements dated November 4, 2020 | 10-Q | 4.3 | 11/13/2020 |
| 4.2 | Form of Underwriters’ Warrant Agreement issued December 3, 2020 | 8-K | 4.1 | 12/4/2020 |
| 4.3 | Description of Securities Registered Pursuant to Section 12 of the Securities Exchange Act of 1934. | 10-K | 4.3 | 6/14/2023 |
| 4.4 | Promissory Note issued by Ammo, Inc., Firelight Group I, LLC in favor of Hiawatha National Bank, dated October 14, 2021. | 10-Q | 4.1 | 2/14/2022 |
| 10.1+ | 2017 Equity Incentive Plan, as amended | S-8 | 4.1 | 3/30/2023 |
| 10.2 | First Amended and Restated Factoring and Security Agreement, as amended, by and between Ammo, Inc. and Factors Southwest, LLC | 8-K | 10.1 | 3/11/2021 |
| 10.3 | Revolving Inventory Loan and Security Agreement, as amended, by and between Ammo, Inc. and Factors Southwest, LLC | 8-K | 10.2 | 3/11/2021 |
| 10.4 | Exclusive License Agreement between AMMO Technologies Inc. and University of Louisiana at Lafayette, dated November 16, 2017, as amended in 2018 and 2022 | 10-Q | 10.1 | 2/14/2023 |
| 10.5+ | Amended and Restated Employment Agreement, by and between AMMO, Inc. and Jared Smith, dated July 24, 2023 | 8-K | 10.1 | 7/25/2023 | |
| 10.6+ | Amended and Restated Employment Agreement, by and between AMMO, Inc. and Fred W. Wagenhals, dated July 24, 2023 | 8-K | 10.2 | 7/25/2023 | |
| 10.7+ | Employment Agreement of Robert D. Wiley, as amended | 10-K | 10.6 | 6/14/2023 | |
| 10.8 | Lock-Up Agreement, dated April 30, 2021, by and between Ammo, Inc. and Steven F. Urvan | 8-K | 10.1 | 5/6/2021 | |
| 10.9 | Voting Rights Agreement, dated April 30, 2021, by and between Ammo, Inc. and Steven F. Urvan | 8-K | 10.2 | 5/6/2021 | |
| 10.10 | Standstill Agreement, dated April 30, 2021, by and between Ammo, Inc. and Steven F. Urvan | 8-K | 10.3 | 5/6/2021 | |
| 10.11 | Investor Rights Agreement, dated April 30, 2021, by and between Ammo, Inc. and Steven F. Urvan | 8-K | 10.4 | 5/6/2021 | |
| 10.12 | Construction Loan Agreement by and among Ammo, Inc., Firelight Group I, LLC, and Hiawatha National Bank, dated October 14, 2021. | 10-Q | 10.1 | 2/14/2022 | |
| 10.13 | Settlement Agreement, by and among AMMO, Inc., Steven F. Urvan and Susan T. Lokey, dated November 3, 2022 | 8-K | 10.1 | 11/7/22 | |
| 10.14 | Amendment to Settlement Agreement, by and among AMMO, Inc., Steven F. Urvan and Susan T. Lokey, dated November 21, 2022 | 8-K | 10.1 | 11/22/22 | |
| 21.1 | Subsidiaries of the Company | 10-K | 21.1 | 6/14/2023 | |
| 23.1 | Consent of Pannell Kerr Forster of Texas, P.C Independent Registered Account Firm Relating to Consolidated Financial Statements of the Company for the year ended March 31, 2024 | X | |||
| 31.1 | Certification of Principal Executive Officer pursuant to Exchange Act Rules 13a-14(a) and 15d-14(a), as adopted pursuant to Section 302 of the Sarbanes-Oxley Act of 2002. | X | |||
| 31.2 | Certification of Principal Financial Officer pursuant to Exchange Act Rules 13a-14(a) and 15d-14(a), as adopted pursuant to Section 302 of the Sarbanes-Oxley Act of 2002. | X | |||
| 32.1* | Certification of Principal Executive Officer pursuant to 18 U.S.C. Section 1350, as adopted pursuant to Section 906 of the Sarbanes-Oxley Act of 2002. | X | |||
| 32.2* | Certification of Principal Financial Officer pursuant to 18 U.S.C. Section 1350, as adopted pursuant to Section 906 of the Sarbanes-Oxley Act of 2002. | X | |||
| 101.INS | Inline XBRL Instance Document | X | |||
| 101.SCH | Inline XBRL Taxonomy Extension Schema Document | X | |||
| 101.CAL | Inline XBRL Taxonomy Extension Calculation Linkbase Document | X | |||
| 101.LAB | Inline XBRL Taxonomy Extension Labels Linkbase Document | X | |||
| 101.PRE | Inline XBRL Taxonomy Extension Presentation Linkbase Document | X | |||
| 101.DEF | Inline XBRL Taxonomy Extension Definition Linkbase Document | X | |||
| 104 | Cover Page Interactive Data File (embedded within the Inline XBRL document) | X | |||
Certain schedules and exhibits have been omitted pursuant to Item 601(a)(5) of Regulation S-K. The Company will furnish supplementally copies of omitted schedules and exhibits to the Securities and Exchange Commission or its staff upon its request.
- Management compensatory plan or contract.
- Furnished herewith.
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