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Midas Edge

AUDDIA INC

For the period ended Sep 30, 2024. Filed Nov 7, 2024.

View on SEC.gov

About 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 Nov 7, 2024

AUUD$0.48-17.7%Stored close · as of Nov 6, 2026

Extracted filing text, with the paragraph anchors used by the comparison.

See the whole filing, with its images and exhibits
Contents

Item 6. Exhibits

Item 6.Exhibits

The exhibits required by Item 601 of Regulation S-K and Item 15(b) of this Quarterly Report are listed in the Exhibit Index below. The exhibits listed in the Exhibit Index are incorporated by reference herein.

Exhibit NumberDescription of DocumentIncorporated by reference from FormFiling DateExhibit NumberFiled Herewith
1.1At-The-Market Issuance Sales Agreement, dated September 13, 2024, by and between Auddia Inc. and Ascendiant Capital Markets, LLC.8-K09-13-20241.1
2.2Form of Plan of Conversion8-K02-22-20212.1
3.1Certificate of Incorporation of the Company8-K02-22-20213.1
3.2Certificate of Designation of Series A Preferred Stock filed November 13, 20238-K11-16-20233.1
3.3Certificate of Amendment to the Certificate of Incorporation of the Company dated February 23, 20248-K02-27-20243.1
3.4Series B Convertible Preferred Stock Certificate of Designations dated April 23, 20248-K04-29-20243.1
3.5Bylaws of the Company8-K02-22-20213.2
3.6Amendment to Bylaws dated September 6, 20248-K9-12-20243.1
3.7Form of Warrant after Conversion from an LLC to a CorporationS-1/A01-28-20203.5
3.8Form of IPO Series A WarrantS-1/A02-05-20213.6
4.1Form of Common Stock CertificateS-1/A10-08-20204.1
4.2Form of IPO Representative’s Common Stock Purchase Warrant8-K02-22-20214.1
4.3Description of Securities10-K03-31-20214.3
10.1#Employment Agreement of Michael T. LawlessS-101-10-202010.1
10.2#Employment Agreement of Peter ShoebridgeS-101-10-202010.2
10.3#Form of Auddia Inc. 2020 Equity Incentive PlanS-1/A10-22-202010.3
10.4Collateral and Security Agreement with Related Party (Minicozzi)S-1/A01-28-202010.4
10.5Form of Amendment to Collateral and Security Agreement with Related PartyS-1/A10-08-202010.5
10.6Form of Convertible Promissory NoteS-1/A01-28-202010.6
10.7Business Loan Agreement and Guaranty of Related Party with Bank of the WestS-1/A01-28-202010.7
10.8**Agreement with Major United States Broadcast CompanyS-1/A01-28-202010.8
10.9Form of Bridge NoteS-1/A10-22-202010.9
10.10Form of IPO Series A Warrant Agent AgreementS-1/A02-05-202110.10
10.11Amendment to Bridge NoteS-1/A10-22-202010.14
10.12Amended Business Loan Agreement with Bank of the West10-K03-31-202110.15
10.13#First Amendment to 2020 Equity Incentive PlanS-808-10-202199.2
10.14#Form of Stock Option Grant Notice and Stock Option Agreement under 2020 Equity Incentive PlanS-808-10-202199.3
10.15#Form of Restricted Stock Unit Grant Notice and Restricted Stock Unit Award Agreement under 2020 Equity Incentive PlanS-808-10-202199.4
10.16#Form of Inducement Stock Option Grant Notice and Inducement Stock Option AgreementS-808-10-202199.5
10.17#Clip Interactive, LLC 2013 Equity Incentive PlanS-808-10-202199.6
10.18#Form of Stock Option Grant Notice and Stock Option Agreement under 2013 Equity Incentive PlanS-808-10-202199.7
10.19#Executive Officer Employment Agreement for Michael Lawless dated October 13, 20218-K10-15-202110.1
10.20#Executive Officer Employment Agreement for Peter Shoebridge dated October 13, 20218-K10-15-202110.2
Exhibit Number · Description of Document · Incorporated by reference from Form · Filing Date · Exhibit Number · Filed Herewith
10.21#Executive Officer Employment Agreement for Brian Hoff dated October 13, 20218-K10-15-202110.3
10.22#Executive Officer Employment Agreement for Timothy Ackerman effective as of February 6, 20238-K02-16-202310.1
10.23Secured Promissory Bridge Note dated November 14, 20228-K11-14-202210.1
10.24Common Stock Warrant dated November 14, 20228-K11-14-202210.2
10.25Security Agreement dated November 14, 20228-K11-14-202210.3
10.26Common Stock Purchase Agreement, dated November 14, 2022, by and between Auddia Inc. and White Lion Capital LLC8-K11-14-202210.4
10.27Secured Promissory Bridge Note dated November 14, 20228-K11-14-202210.1
10.28Common Stock Warrant dated November 14, 20228-K11-14-202210.2
10.29Security Agreement dated November 14, 20228-K11-14-202210.3
10.30Common Stock Purchase Agreement, dated November 14, 2022, by and between Auddia Inc. and White Lion Capital LLC8-K11-14-202210.4
10.31Secured Promissory Bridge Note dated April 17, 20238-K04-21-202310.1
10.32Common Stock Warrant for 600,000 shares dated April 17, 20238-K04-21-202310.2
10.33Common Stock Warrant for 650,000 shares dated April 17, 20238-K04-21-202310.3
10.34Form of 2023 Placement Agency Agreement8-K06-14-231.1
10.35Form of Securities Purchase Agreement dated June 13, 2023 between Auddia Inc. and the Investors named therein8-K06-14-2310.1
10.36Common Stock Purchase Agreement, dated as of November 6, 2023, by and between White Lion Capital, LLC and Auddia Inc.8-K11-06-2310.1
10.37Registration Rights Agreement, dated as of November 6, 2023, by and between White Lion Capital, LLC and Auddia Inc.8-K11-06-2310.2
10.38#Employment Agreement, effective as of November 27, 2023, between Auddia Inc. and John E. Mahoney8-K12-18-202310.1
10.39Series A Preferred Securities Purchase Agreement dated November 11, 2023 between Auddia Inc. and Jeffrey Thramann8-K11-16-202310.1
10.40Amendment and Waiver dated April 9, 2024 Relating to Senior Secured Bridge Notes8-K04-15-202410.1
10.41Form of Securities Purchase Agreement dated April 23, 202410-Q05-14-202410.41
10.42Form of Common Stock Warrant dated April 23, 20248-K04-29-202410.2
10.43Form of Registration Rights Agreement dated April 23, 20248-K04-29-202410.3
31.1Section 302 Certification by the Corporation’s Chief Executive OfficerX
31.2Section 302 Certification by the Corporation’s Chief Financial OfficerX
32.1Section 906 Certification by the Corporation’s Chief Executive OfficerX
32.2Section 906 Certification by the Corporation’s Chief Financial OfficerX
97.1Auddia Clawback Policy10-K04-01-202497.1
101.INSInline 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.SCHInline XBRL Taxonomy Extension Schema Document
101.CALInline XBRL Taxonomy Extension Calculation Linkbase Document
101.DEFInline XBRL Taxonomy Extension Definition Linkbase Document
101.LABInline XBRL Taxonomy Extension Label Linkbase Document
101.PREInline XBRL Taxonomy Extension Presentation Linkbase Document
104Cover Page Interactive Data File (formatted in IXBRL, and included in exhibit 101).
#Indicates management contract or compensatory plan.
**Certain information contained in this Exhibit has been redacted and appears as “XXXXX” as the disclosure of same would be a disadvantage to the Registrant in the marketplace
ContentsView on SEC.gov

The text of this filing, as the company filed it with the SEC, without its images or exhibits. This is not investment advice.