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Midas Edge

AUDDIA INC.

For the period ended Mar 31, 2026. Filed May 15, 2026.

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.

Mar 31, 2026 · Filed May 15, 2026

AUUD$0.27-42.8%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 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 August 22, 2025, by and between Auddia Inc. and Ascendiant Capital Markets, LLC.8-K08-22-20251.1
2.1Agreement and Plan of Merger, dated as of February 17, by and among New Holdco, Inc., Auddia Merger Sub, Inc., Thramann Merger Sub LC, Auddia Inc. and Thramann Holdings, LLC8-K02-17-20262.1
2.2Form of Plan of Conversion8-K02-22-20212.1
3.1Certificate of Incorporation of the Company8-K02-22-20213.1
3.2Certificate of Amendment to the Certificate of Incorporation of the Company dated February 23, 20248-K02-27-20243.1
3.3Certificate of Amendment to the Certificate of Incorporation of the Company dated March 27, 20258-K04/01/20253.1
3.4Certificate of Amendment to the Certificate of Incorporation of the Company dated March 30, 20268-K4/02/20263.1
3.5Series B Convertible Preferred Stock Certificate of Designations dated April 23, 20248-K04-29-20243.1
3.6Series C Convertible Preferred Stock Certificate of Designations dated June 30, 20258-K06-30-20253.1
3.7Bylaws of the Company8-K02-22-20213.2
3.8Amendment to Bylaws dated September 6, 20248-K09-12-20243.1
3.9Form of Warrant after Conversion from an LLC to a CorporationS-1/A01-28-20203.5
3.10Form of Merger Holding Company Special Preferred Stock Certificate of Designations8-K02-17-20263.1
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
4.4Form of Merger Holding Company Senior Note8-K02-17-20264.1
4.5Form of April 2026 Pre-funded Warrant8-K04-27-20264.1
4.6Form of April 2026 Common Stock Warrant8-K04-27-20264.2
10.1#Form of Auddia Inc. 2020 Equity Incentive PlanS-1/A10-22-202010.3
10.2**Agreement with Major United States Broadcast CompanyS-1/A01-28-202010.8
10.3#First Amendment to 2020 Equity Incentive PlanS-808-10-202199.2
10.4#Second Amendment to 2020 Equity Incentive Plan10-K03-05-202510.5
10.5#Form of Stock Option Grant Notice and Stock Option Agreement under 2020 Equity Incentive PlanS-808-10-202199.3
10.6#Form of Restricted Stock Unit Grant Notice and Restricted Stock Unit Award Agreement under 2020 Equity Incentive PlanS-808-10-202199.4
10.7#Form of Inducement Stock Option Grant Notice and Inducement Stock Option AgreementS-808-10-202199.5
10.8#Clip Interactive, LLC 2013 Equity Incentive PlanS-808-10-202199.6
10.9#Form of Stock Option Grant Notice and Stock Option Agreement under 2013 Equity Incentive PlanS-808-10-202199.7
10.10#Executive Officer Employment Agreement for Michael Lawless dated October 13, 20218-K10-15-202110.1
10.11#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
10.12Common Stock Warrant dated November 14, 20228-K11-14-202210.2
10.13Common Stock Warrant for 600,000 shares dated April 17, 20238-K04-21-202310.2
10.14Common Stock Warrant for 650,000 shares dated April 17, 20238-K04-21-202310.3
10.15#Employment Agreement, effective as of November 27, 2023, between Auddia Inc. and John E. Mahoney8-K12-18-202310.1
10.16Form of Common Stock Warrant dated April 23, 20248-K04-29-202410.2
10.17Form of Registration Rights Agreement dated April 23, 20248-K04-29-202410.3
10.18Common Stock Purchase Agreement, dated as of November 25, 2024, by and between White Lion Capital, LLC and Auddia Inc.8-K11-25-202410.1
10.19Registration Rights Agreement, dated as of November 25, 2024, by and between White Lion Capital, LLC and Auddia Inc.8-K11-25-202410.2
10.20Form of Securities Purchase Agreement dated June 30, 20258-K06-30-202510.1
10.21Form of Common Stock Warrant dated June 30, 20258-K06-30-202510.2
10.22Form of Registration Rights Agreement dated June 30, 20258-K06-30-202510.4
10.23Amendment 1, dated July 30, 2025, to Equity Line Common Stock Purchase Agreement, dated as of November 25, 2024, by and between White Lion Capital, LLC and Auddia Inc.8-K07-30-202510.1
10.24Form of Exchange Agreement dated August 5, 202510-Q08-08-202510.35
10.25#Employment Agreement, effective as of July 1, 2025, between Auddia Inc. and Jeffrey Thramann8-K09-12-202510.2
10.26Form of Merger Support Agreement8-K02-17-202610.1
10.27Form of Merger Lock-Up Agreement8-K02-17-202610.2
10.28Form of Securities Purchase Agreement by and among the Registrant and Purchasers dated April 24, 20268-K04-27-202610.1
10.29Form of April 2026 Exchange Agreement8-K04-29-202610.1
19.1Insider Trading Policy10-K03-05-202519.1
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.