DNA X, Inc.
For the period ended Mar 31, 2026. Filed May 20, 2026.
View on SEC.govAbout this filing
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.
Mar 31, 2026 · Filed May 20, 2026
SONM$2.13-7.4%Stored close · as of Nov 6, 2026
Extracted filing text, with the paragraph anchors used by the comparison.
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Item 6. Exhibits
| Incorporated by Reference | |||||
|---|---|---|---|---|---|
| Exhibit Number | Description | Form | File No. | Exhibit Number | Filing Date |
| 3.1 | Amended and Restated Certificate of Incorporation of the Registrant. | 8-K | 001-38907 | 3.1 | May 17, 2019 |
| 3.2 | Certificate of Amendment to the Amended and Restated Certificate of Incorporation, effective September 15, 2021 (Reverse Stock Split) | 8-K | 001-38907 | 3.1 | September 15, 2021 |
| 3.3 | Certificate of Amendment to the Amended and Restated Certificate of Incorporation, effective July 17, 2024 (Reverse Stock Split) | 8-K | 001-38907 | 3.1 | July 18, 2024 |
| 3.4 | Certificate of Designation of Rights, Preferences and Privileges of Series A Junior Participating Preferred Stock filed with the Secretary of State of the State of Delaware on April 21, 2025 | 8-K | 001-38907 | 3.1 | April 21, 2025 |
| 3.5 | Certificate of Amendment to the Amended and Restated Certificate of Incorporation, effective October 16, 2025 (Increase in authorized shares from 100,000,000 to 1,000,000,000) | 8-K | 001-38907 | 3.1 | October 20, 2025 |
| 3.6 | Certificate of Amendment to the Amended and Restated Certificate of Incorporation, effective October 27, 2024 (Reverse Stock Split) | 8-K | 001-38907 | 3.1 | October 24, 2025 |
| 3.7 | Certificate of Amendment to the Amended and Restated Certificate of Incorporation of the Registrant, effective January 23, 2026 | 8-K | 001-38907 | 3.1 | January 27, 2026 |
| 3.8 | Amended and Restated Bylaws of the Registrant, as amended and restated as of June 14, 2024 | 8-K | 001-38907 | 3.1 | June 14, 2024 |
| 4.1 | Promissory note dated as of February 21, 2025 | 8-K | 001-38907 | 4.1 | February 21, 2025 |
| 4.2 | Rights Agreement, dated as of April 21, 2025, by and between Sonim Technologies Inc. and Equiniti Trust Company, LLC, which includes the form Certificate of Designation as Exhibit A, the form of Right Certificate as Exhibit B, and the Summary of Rights to Purchase Preferred Shares as Exhibit C | 8-K | 001-38907 | 4.1 | April 21, 2025 |
| 4.3 | Form of Common Stock Purchase Warrant, dated as of May 12, 2025, issued by Sonim Technologies, Inc. to the purchasers named therein | 8-K | 001-38907 | 4.1 | May 16, 2025 |
| 4.4 | Form of Placement Agent Warrant to Purchase Common Stock, issued on July 2, 2025 | 8-K | 001-38907 | 4.1 | July 2, 2025 |
| 4.5 | Promissory Note dated as of July 11, 2025 | 8-K | 001-38907 | 4.1 | July 17, 2025 |
| 10.1 | Liu Separation and Release Agreement, dated as of January 30, 2026 | 8-K | 001-38907 | 10.1 | February 5, 2026 |
| 10.2 | Becher Separation and Release Agreement, dated as of February 3, 2026 | 8-K | 001-38907 | 10.2 | February 5, 2026 |
| 10.3†# | Employment Agreement, dated as of October 16, 2025, by and between DNA X, Inc. and Michael Mulica. | 8-K | 001-38907 | 10.1 | October 20, 2025 |
| 10.4† | First Amendment to Employment Agreement of Mike Mulica, dated as of February 9, 2026. | 8-K | 001-38907 | 10.1 | February 10, 2026 |
| 10.4†# | Amended and Restated Letter Agreement, dated as of December 8, 2023, by and between DNA X, Inc. and Clay Crolius | 8-K | 001-38907 | 10.2 | December 11, 2023 |
| 10.5† | First Amendment to Employment Agreement, dated as of April 15, 2025, by and between DNA X, Inc. and Clay Crolius | 8-K | 001-38907 | 10.1 | April 16, 2025 |
| 10.6† | Second Amendment to Employment Agreement of Clay Crolius, dated as of February 9, 2026 | 8-K | 001-38907 | 10.2 | February 10, 2026 |
| 10.8+# | Asset Purchase Agreement, dated as of July 17, 2025, by and among the Company, Pace Car Acquisition LLC and Clay Crolius | 8-K | 001-38907 | 2.1 | July 22, 2025 |
| 10.9 | First Amendment to Asset Purchase Agreement, dated as of November 24, 2025, by and among the Company, Pace Car Acquisition LLC and Clay Crolius | 8-K | 001-38907 | 2.1 | November 26, 2025 |
| 10.10# | Second Amendment to Asset Purchase Agreement, dated as of January 23, 2026 | 8-K | 001-38907 | 2.1 | January 27, 2026 |
| 31.1 | Certification of Principal Executive Officer Pursuant to Rules 13a-14(a) and 15d-14(a) under the Securities Exchange Act of 1934, as Adopted Pursuant to Section 302 of the Sarbanes-Oxley Act of 2002 | ||||
| 31.2 | Certification of Principal Financial Officer Pursuant to Rules 13a-14(a) and 15d-14(a) under the Securities Exchange Act of 1934, as Adopted Pursuant to Section 302 of the Sarbanes-Oxley Act of 2002 | ||||
| 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 | ||||
| 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 | ||||
| 101.INS | Inline XBRL Instance Document (the instance document does not appear in the Interactive Data File because its XBRL tags are embedded within the Inline XBRL document). | ||||
| 101.SCH | Inline XBRL Taxonomy Extension Schema Document. | ||||
| 101.CAL | Inline XBRL Taxonomy Extension Calculation Linkbase Document. | ||||
| 101.DEF | Inline XBRL Taxonomy Extension Definition Linkbase Document. | ||||
| 101.LAB | Inline XBRL Taxonomy Extension Label Linkbase Document. | ||||
| 101PRE | Inline XBRL Taxonomy Extension Presentation Linkbase Document. | ||||
| 104 | Cover Page Interactive Data File (formatted as inline XBRL and contained in Exhibit 101) | ||||
| * | The certifications furnished in Exhibits 32.1 and 32.2 that accompany this Quarterly Report on Form 10-Q are deemed furnished and not filed with the Securities and Exchange Commission and are not to be incorporated by reference into any filing of the Company under the Securities Act of 1933, as amended, or the Securities Exchange Act of 1934, as amended, whether made before or after the date of this Quarterly Report on Form 10-Q, irrespective of any general incorporation language contained in such filing. |
|---|---|
| † | Indicates a management contract or compensatory plan or arrangement |
| # | 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 (indicated by [***]) have been redacted pursuant to Item 601(b)(10)(iv) of Regulation S-K because the registrant has determined that such redacted information is not material and is the type that the registrant treats as private or confidential. |
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