Soluna Holdings, Inc
For the period ended Mar 31, 2026. Filed May 15, 2026.
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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.
Mar 31, 2026 · Filed May 15, 2026
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Item 6. Exhibits
| Exhibit No. | Description |
| 4.1 | Form of Pre-Funded Warrant (incorporated by reference to the Company's Current Report on Form 8-K filed with the SEC on April 3, 2026) |
| 4.2 | Form of Common Warrant 1 (incorporated by reference to the Company's Current Report on Form 8-K filed with the SEC on April 3, 2026) |
| 4.3 | Form of Common Warrant 2 (incorporated by reference to the Company's Current Report on Form 8-K filed with the SEC on April 3, 2026) |
| 4.4 | Promissory Note, dated April 15, 2026, issued by the Company and payable to YA II PN, LTD (incorporated by reference to the Company's Current Report on Form 8-K filed with the SEC on April 17, 2026) |
| 4.5 | Form of Warrant (incorporated by reference to the Company's Current Report on Form 8-K filed with the SEC on April 17, 2026) |
| 10.1 | Standby Equity Purchase Agreement between the Company and YA PN, Ltd. dated March 24, 2026 (incorporated by reference to the Company's Form 10-K filed with the SEC on March 30, 2026). |
| 10.2 **^ | Membership Interest Purchase Agreement, dated April 1, 2026, by and among Soluna DV Wind SponsorCo, LLC, Briscoe Wind Project Holdings I, LLC, JPM Capital Corporation and Morgan Stanley Wind LLC (incorporated by reference to the Company's Current Report on Form 8-K filed with the SEC on April 3, 2026) |
| 10.3 **^ | Consent and Amendment No. 1 to the Credit Agreement and Amendment No. 1 to the Pledge Agreement dated April 1, 2026, by and among the Company and the parties thereto. (incorporated by reference to the Company's Current Report on Form 8-K filed with the SEC on April 3, 2026) |
| 10.4 | Amended and Restated Registration Rights Agreement, dated April 2, 2026 between the Company and Generate Strategic Credit Master Fund I-B, L.P. (incorporated by reference to the Company's Current Report on Form 8-K filed with the SEC on April 3, 2026) |
| 10.5 | Membership Interests Purchase Agreement, dated April 15, 2026, by and among Soluna SLC Fund I Projects Holdco LLC, Soluna Digital Inc. and Soluna DVSL JVCo, LLC. (incorporated by reference to the Company's Current Report on Form 8-K filed with the SEC on April 17, 2026) |
| 10.6 | Securities Purchase Agreement, dated April 15, 2026, by and between the Company and YA II PN, LTD (incorporated by reference to the Company's Current Report on Form 8-K filed with the SEC on April 17, 2026) |
| 10.7 | Guaranty made by Soluna Wind Holding, Inc. in favor of YA II PN, LTD., dated April 15, 2026 (incorporated by reference to the Company's Current Report on Form 8-K filed with the SEC on April 17, 2026) |
| 31.1 | Certification of Chief Executive Officer Pursuant to Section 302 of the Sarbanes-Oxley Act of 2002 |
| 31.2 | Certification of Chief Financial Officer Pursuant to Section 302 of the Sarbanes-Oxley Act of 2002 |
| 32.1 | Certification of Chief Executive Officer Pursuant to Section 906 of the Sarbanes-Oxley Act of 2002 |
| 32.2 | Certification of Chief Financial Officer Pursuant to Section 906 of the Sarbanes-Oxley Act of 2002 |
| 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 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 (embedded within the Inline XBRL document) |
All other exhibits for which no other filing information is given are filed herewith.
- Submitted electronically herewith. Attached as Exhibit 101 are the following materials from the Company’s Quarterly Report on Form 10-Q for the quarter ended March 31, 2026, formatted in eXtensible Business Reporting Language (XBRL) and tagged as blocks of text and including detailed tags: (i) Condensed Consolidated Balance Sheets at March 31,
2026 and December 31, 2025; (ii) Condensed Consolidated Statements of Operations for the Three Months Ended March 31, 2026 and 2025; (iii) Condensed Consolidated Statements of Cash Flows for the Three Months Ended March 31, 2026 and 2025; and (iv) related notes.
** Annexes, schedules and/or exhibits have been omitted pursuant to Item 601(a)(5) of Regulation S-K. The Company hereby undertakes to furnish supplementally a copy of any of the omitted schedules and exhibits to the SEC on a confidential basis upon request.
^ The Company has omitted portions of the referenced exhibit pursuant to Item 601(b) of Regulation S-K, because they (a) are not material and (b) are the type that the Company treats as private or confidential.
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