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ALPHA MODUS HOLDINGS, INC.

For the period ended Sep 30, 2025. Filed Nov 14, 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 14, 2025

AMOD$0.98+5.6%Stored close · as of Nov 9, 2026

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Item 5. Other Information

Rule 10b5-1 Trading Arrangements

During the three months ended September 30, 2025, none of our directors or officers (as defined in Exchange Act Rule 16a-1(f))adopted or terminated a “Rule 10b5–1 trading arrangement” or a “non-Rule 10b5–1 trading arrangement,” each as defined in Item 408 of Regulation S-K, except as set forth below:

On or about March 10, 2025, each of the entities whose shares of Company securities are beneficially owned by Company CEO and director, William Alessi, entered into a written plan for the purchase or sale of securities of the Company intended to satisfy the affirmative defense conditions of Rule 10b5-1(c), with sale of Company common stock occurring as follows: sales will only occur on a trading day when the daily volume of the Company’s common stock as reported on Bloomberg has exceeded at least 750,000 shares, sales will only occur at a price 10% higher than the closing price on the prior trading day, sales on a given day will not constitute more than 10% of the trading volume that day, and sales will not occur at a price per share less than $4.00 per share. The plans will terminate on March 9, 2026, unless terminated earlier pursuant to the provisions of the plans. The number of shares of common stock that may be sold under each plan is as follows: Janbella Group, LLC – 934,616 shares; The Alessi 2023 Irrevocable Trust – 139,784 shares; The Alessi Revocable Trust – 610,216 shares; The Isabella Alessi 2023 Irrevocable Trust – 200,000 shares; The Janet Alessi 2023 Irrevocable Trust – 200,000 shares; The Kim Alessi Richter 2023 Irrevocable Trust – 200,000 shares; and The WRA 2023 Irrevocable Trust – 200,000 shares. On April 30, 2025, each of The Alessi Revocable Trust, The Isabella Alessi 2023 Irrevocable Trust, The Janet Alessi 2023 Irrevocable Trust, The Kim Alessi Richter 2023 Irrevocable Trust, and The WRA 2023 Irrevocable Trust determined to terminate their 10b5 plans, but on July 10, 2025, each of the trusts determined to reinstate their 10b5 plans. No shares have been sold under any of the plans.

On or about October 1, 2025, the Company’s Chief Sales Officer, Chris Chumas, entered into a written plan for the purchase or sale of securities of the Company intended to satisfy the affirmative defense conditions of Rule 10b5-1(c), with the sale of Company common stock occurring as follows: sales will only occur between January 1, 2026, and January 1, 2027, at the following limit prices and amounts: 15,000 shares at $4.10 per share, 15,000 shares at $4.35 per share, 15,000 shares at $4.60 per share, 15,000 shares at $4.85 per share, and 15,000 shares at $5.10 per share. No shares have been sold under the plan.

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