Aeries Technology Inc

For the period ended Dec 31, 2023. Filed Feb 20, 2024.

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.

Dec 31, 2023 · Filed Feb 20, 2024

AERT$5.33+1.2%Stored close · as of Nov 10, 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

The following exhibits are filed as part of, or incorporated by reference into, this Quarterly Report on Form 10-Q.

Exhibit · Incorporation by Reference
Number	Exhibit Title	Form	File No.	Exhibit	Filing Date
3.1	Amended & Restated Memorandum and Articles of Association of Aeries Technology, Inc..	8-K	001-40920	3.1	11/13/2023
4.1	Warrant Agreement, dated October 22, 2021, between the Company and Continental Stock Transfer & Trust Company, as warrant agent.	8-K	001-40920	4.1	11/13/2023
4.2	Specimen Warrant Certificate.	S-1	333-276173	4.2	12/20/2023
10.1	Constitution of AARK Singapore Pte. LTD.	8-K	001-40920	10.1	11/13/2023
10.2	Letter Agreement Amendment, dated as of October 26, 2023.	8-K	001-40920	10.2	10/30/2023
10.3	Registration Rights Agreement Amendment, dated as of October 26, 2023 among the Company and certain security holders named therein.	8-K	001-40920	10.3	10/30/2023
10.4	Form of Investment Agreement Amendment.	8-K	001-40920	10.1	10/30/2023
10.5	Form of Voting and Non-Redemption Agreement.	8-K	001-40920	10.1	11/3/2023
10.6	Share Purchase Agreement dated March 20, 2020 by and between Aeries Technology Products and Strategies Private Limited, Aeries Technology Group Business Accelerators Private Limited and Stratus Technologies Private Limited.	S-4/A	333-271894	10.15	10/11/2023
10.7	Share Purchase Agreement dated March 20, 2020, by and between Aeries Technology Products and Strategies Private Limited, Aeries Technology Group Business Accelerators Private Limited and Aeries Technology Solutions, Inc.	S-4/A	333-271894	10.16	10/11/2023
10.8†	Aeries Management Stock Option Plan 2019, as amended on September 30, 2022.	S-4/A	333-271894	10.17	10/11/2023
10.9†	Form of Grant Letter under the Aeries Management Stock Option Plan 2019.	S-4/A	333-271894	10.18	10/11/2023
10.10†	Form of Vesting Letter under the Aeries Management Stock Option Plan 2019.	S-4/A	333-271894	10.19	10/11/2023
10.11†	Aeries Employees Stock Option Plan 2020, as amended on July 22, 2022.	S-4/A	333-271894	10.20	10/11/2023
10.12†	Form of Grant Letter under the Aeries Employees Stock Option Plan 2020.	S-4/A	333-271894	10.21	10/11/2023
10.13†	Consultancy Services Agreement dated April 1, 2020, by and between ATG Business Solutions Private Limited and Mr. Sudhir Appukuttan Panikassery.**	S-4/A	333-271894	10.22	10/11/2023
10.14†	Consultancy Services Agreement dated April 1, 2020 and April 1, 2022, by and between Aeries Technology Group Business Accelerators Private Limited and Mr. Sudhir Appukuttan Panikassery.	S-4/A	333-271894	10.23	10/11/2023
10.15†	Employment Letter dated July 1, 2015 by and between Aeries Technology Solutions, Inc. and Mr. Bhisham Khare.	S-4/A	333-271894	10.24	10/11/2023
10.16†	Employment Letter dated June 1, 2022, by and between ATG Business Solutions Private Limited and Mr. Unnikrishnan Nambiar.	S-4/A	333-271894	10.25	10/11/2023
10.17†	Employment Agreement dated November 6, 2023 by and between Aark Singapore Pte. Ltd. and Mr. Sudhir Appukuttan Panikassery.	8-K/A	001-40920	10.1	11/30/2023
10.18†	Employment Agreement dated November 6, 2023 by and between Aeries Technology, Inc. and Mr. Bhisham Khare.	8-K/A	001-40920	10.2	11/30/2023
10.19†	Employment Agreement dated November 6, 2023 by and between Aeries Technology, Inc. and Mr. Rajeev Gopala Krishna Nair.	8-K/A	001-40920	10.3	11/30/2023
10.20	Employment Agreement dated November 6, 2023 by and between Aeries Technology, Inc. and Mr. Unnikrishnan Balakrishnan Nambiar.	8-K/A	001-40920	10.4	11/30/2023

10.21†	Employment Agreement dated November 6, 2023 by and between Aeries Technology, Inc. and Mr. Daniel Webb.	8-K/A	001-40920	10.5	11/30/2023
10.22†	Employment Agreement dated November 6, 2023 by and between Aark Singapore Pte. Ltd. and Mr. Narayan Shetkar.	8-K/A	001-40920	10.6	11/30/2023
10.23	Credit Agreement dated May 26, 2023 by and between ATG Business Solutions Private Limited and Kotak Mahindra Bank Limited.**	S-4/A	333-271894	10.26	10/11/2023
10.24	Loan Agreement dated July 10, 2015 and amended on April 18, 2020, by and between ATG Business Solutions Private Limited and Mr. Vaibhav Rao.	S-4/A	333-271894	10.27	10/11/2023
10.25	Exchange Agreement by and among Aeries Technology, Inc., Aeries Technology Group Business Accelerators Private Limited and certain security holders named therein.	8-K	001-40920	10.25	11/13/2023
10.26	Exchange Agreement by and among Aeries Technology, Inc., Aark Singapore Pte. Ltd. and certain security holders named therein.	8-K	001-40920	10.26	11/13/2023
10.27	Form of Forward Purchase Agreement.	8-K	001-40920	10.1	11/3/2023
10.28	Form of Forward Purchase Agreement Amendment.	8-K	001-40920	10.1	11/6/2023
10.29	Form of Subscription Agreement.	8-K	001-40920	10.3	11/6/2023
10.30	Form of Indemnification Agreement by and between the Registrant and its officers and directors.	8-K	001-40920	10.30	11/13/2023
10.31	ATI 2023 Equity Incentive Plan.	8-K	001-40920	10.31	11/13/2023
10.32	Form of Non-Redemption Agreement for Backstop Investor (as defined therein)	8-K	001-40920	10.2	11/3/2023
31.1	Certification of Principal Executive Officer pursuant to Exchange Act Rules 13a-14(a) and 15d-14(a), as adopted pursuant to Section 302 of the Sarbanes-Oxley Act of 2002.	Filed herewith
31.2	Certification of Principal Financial Officer pursuant to Exchange Act Rules 13a-14(a) and 15d-14(a), as adopted pursuant to Section 302 of the Sarbanes-Oxley Act of 2002.	Filed herewith
32.1*	Certification of Principal Executive Officer pursuant to 18 U.S.C. Section 1350, as adopted pursuant to Section 906 of the Sarbanes-Oxley Act of 2002.	Furnished herewith
32.2*	Certification of Principal Financial Officer pursuant to 18 U.S.C. Section 1350, as adopted pursuant to Section 906 of the Sarbanes-Oxley Act of 2002.	Furnished herewith
101.INS	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.	Filed herewith
101.SCH	Inline XBRL Taxonomy Extension Schema Document.	Filed herewith
101.CAL	Inline XBRL Taxonomy Extension Calculation Linkbase Document.	Filed herewith
101.DEF	Inline XBRL Taxonomy Extension Definition Linkbase Document.	Filed herewith
101.LAB	Inline XBRL Taxonomy Extension Label Linkbase Document.	Filed herewith
101.PRE	Inline XBRL Taxonomy Extension Presentation Linkbase Document.	Filed herewith
104	Cover Page Interactive Data File (formatted as inline XBRL with applicable taxonomy extension information contained in Exhibits 101).	Filed herewith

†

Indicates management contract or compensatory plan or arrangement.

The certifications furnished in Exhibits 32.1 and 32.2 hereto are deemed to accompany this Quarterly Report on Form 10-Q and are not deemed “filed” for purposes of Section 18 of the Exchange Act, or otherwise subject to the liability of that section, nor shall they be deemed incorporated by reference into any filing under the Securities Act or the Exchange Act, irrespective of any general incorporation language contained in such filing.

**	Certain identified information has been excluded from this exhibit because the Company does not believe it is material and is the type that the Company customarily treats as private and confidential. Redacted information is indicated by “[***]”.

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.