Root Inc
For the period ended Sep 30, 2024. Filed Oct 30, 2024.
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.
Sep 30, 2024 · Filed Oct 30, 2024
ROOT$43.52+0.3%Stored close · as of Nov 9, 2026
Extracted filing text, with the paragraph anchors used by the comparison.
See the whole filing, with its images and exhibitsContents
Item 6. Exhibits
(a)Exhibits.
| Incorporation by Reference | ||||||
|---|---|---|---|---|---|---|
| ExhibitNumber | Description of Exhibit | Form | SEC File Number | Exhibit | Filing Date | Filed Herewith |
| 3.1 | Amended and Restated Certificate of Incorporation of Root, Inc. | 8-K | 001-39658 | 3.1 | October 30, 2020 | |
| 3.2 | Certificate of Amendment to Amended and Restated Certificate of Incorporation of Root, Inc. | 8-K | 001-39658 | 3.1 | August 15, 2022 | |
| 3.3 | Amended and Restated Bylaws of Root, Inc. | 10-K | 001-39658 | 3.3 | February 22, 2023 | |
| 3.4 | Certificate of Designations of Series A Preferred Stock, filed with the Delaware Secretary of State on October 1, 2021 | 8-K | 001-39658 | 3.1 | October 1, 2021 | |
| 4.1 | Form of Class A common stock certificate of the Registrant. | S-1/A | 333-249332 | 4.1 | October 20, 2020 | |
| 4.2 | Common Stock Purchase Warrants, dated as of October 1, 2021, by and between Root, Inc. and Carvana Group, LLC | 8-K | 001-39658 | 4.1 | October 1, 2021 | |
| 4.3 | Form of Common Stock Purchase Warrant (Tranche 1), dated January 26, 2022 | 8-K | 001-39658 | 4.1 | January 27, 2022 | |
| 4.4 | Form of Common Stock Purchase Warrant (Tranche 2) | 8-K | 001-39658 | 4.2 | January 27, 2022 | |
| 4.5 | First Amendment to Form of Common Stock Purchase Warrant (Tranche 1), dated October 29, 2024 | X | ||||
| 10.1 | First Amendment to Term Loan Agreement, dated September 17, 2024, by and among the Company, Caret Holdings, Inc., as borrower, the loan parties party thereto and Acquiom Agency Services LLC, as the administrative agent for the lenders party thereto | X | ||||
| 10.2** | Second Amendment to Term Loan Agreement, dated October 29, 2024, by and among the Company, Caret Holdings, Inc., as borrower, the loan parties party thereto and Acquiom Agency Services LLC, as the administrative agent for the lenders party thereto | X | ||||
| 10.3 | Amended and restated Board Observation Side Letter | X | ||||
| 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. | X | ||||
| 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. | X | ||||
| 32.1* | Certification of Principal Executive Officer and 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 | |
| 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 | |
| 101.PRE | Inline XBRL Taxonomy Extension Presentation Linkbase Document | |
| 104 | Cover Page Interactive Data File (formatted as Inline XBRL and contained in Exhibit 101). |
The text of this filing, as the company filed it with the SEC, without its images or exhibits. This is not investment advice.