Fathom Holdings Inc
For the period ended Sep 30, 2024. Filed Nov 12, 2024.
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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, 2024 · Filed Nov 12, 2024
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ITEM 6. Exhibits
| Exhibit Number | Description |
| 4.1 | Form of Senior Secured Convertible Promissory Note (incorporated by reference to Exhibit 4.1 in the Form 8-K filed on September 27, 2024). |
| 10.1 | Fourth Amendment to the Company’s 2019 Omnibus Stock Incentive Plan (incorporated by reference to Exhibit 10.1 in the form 8-K filed on August 19, 2024). |
| 10.2 | Form of Securities Purchase Agreement (incorporated by reference to Exhibit 10.1 in the Form 8-K filed on September 27, 2024). |
| 10.3 | Form of Security Agreement (2024) (incorporated by reference to Exhibit 10.2 in the Form 8-K filed on September 27, 2024). |
| 10.4 | Form of Subsidiary Guarantee (2024) (incorporated by reference to Exhibit 10.3 in the Form 8-K filed on September 27, 2024). |
| 10.5 | Form of Registration Rights Agreement (incorporated by reference to Exhibit 10.4 in the Form 8-K filed on September 27, 2024). |
| 10.6 | Form of Amended and Restated Security Agreement (incorporated by reference to Exhibit 10.5 in the Form 8-K filed on September 27, 2024). |
| 10.7 | Form of Amended and Restated Subsidiary Guarantee (incorporated by reference to Exhibit 10.6 in the Form 8-K filed on September 27, 2024). |
| 31.1+ | Certification of Principal Executive Officer pursuant to Section 302 of the Sarbanes-Oxley Act of 2002. |
| 31.2+ | Certification of Principal Financial Officer pursuant to Section 302 of the Sarbanes-Oxley Act of 2002. |
| 32.1+† | Certification of Principal Executive Officer and Principal Financial Officer pursuant to Section 906 of the Sarbanes-Oxley Act of 2002. |
| 101** | Interactive data files pursuant to Rule 405 of Regulation S-T: (i) Consolidated Balance Sheets as of September 30, 2024 and December 31, 2023; (ii) Consolidated Statements of Operations (Unaudited) for the Three and Nine Months Ended September 30, 2024 and 2023; (iii) Consolidated Statements of Cash Flows (Unaudited) for the Nine Months Ended September 30, 2024 and 2023; (iv) Consolidated Statements of Changes in Stockholders’ Equity (Unaudited) for the Three and Nine Months Ended September 30, 2024 and 2023; and (v) Notes to Unaudited Financial Statements |
| 104 | Cover Page Interactive Data File (formatted as Inline XBRL and contained in Exhibit 101). |
+Filed herewith.
†This certification is being furnished solely to accompany this Quarterly Report pursuant to 18 U.S.C. Section 1350, and is not being filed for purposes of Section 18 of the Securities Exchange Act of 1934, as amended, and is not to be incorporated by reference into any filing of the registrant, whether made before or after the date hereof, regardless of any general incorporation language in such filing.
**In accordance with Rule 406T of Regulation S-T, the XBRL-related information in Exhibit 101 to this Quarterly Report on Form 10 Q is deemed not filed or part of a registration statement or prospectus for purposes of sections 11 or 12 of the Securities Act, is deemed not filed for purposes of section 18 of the Exchange Act, and otherwise is not subject to liability under these sections.
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