Hagerty, Inc.
For the period ended Sep 30, 2026. Filed Nov 3, 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.
Sep 30, 2026 · Filed Nov 3, 2026
HGTY$17.22-4.2%Stored close · as of Nov 9, 2026
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Item 6. Exhibits
(a) Financial statements and financial statement schedules filed as part of this report are listed in the index included in Item 1 of Part I of this Quarterly Report.
(b) Exhibits. As required by Item 601 of Regulation S-K, the following are exhibits to this report.
| Exhibit No. | Description |
| 1.1 | Underwriting Agreement, dated as of September 9, 2026, by and among Hagerty, Inc., The Hagerty Group, LLC, Hagerty Holding Corp., Wells Fargo Securities, LLC, and J.P. Morgan Securities LLC (incorporated by reference to Exhibit 1.1 of the Company’s Form 8-K (File No. 001-40244), filed with the SEC on September 11, 2026). |
| 2.1* | Business Combination Agreement, dated as of August 17, 2021, by and among Aldel Financial Inc. Aldel Merger Sub LLC and The Hagerty Group, LLC (incorporated by reference to Exhibit 2.1 of the Company’s Form 8-K (File No. 001-40244), filed with the SEC on August 18, 2021). |
| 3.1 | Third Amended and Restated Certificate of Incorporation of the Company, dated December 2, 2021 (incorporated by reference to Exhibit 3.1 of the Company’s Amendment No.3 to Form S-1 (File No. 333-261810), filed with the SEC on January 20, 2023). |
| 3.2 | Amended and Restated By-Laws of the Company, dated December 2, 2021 (incorporated by reference to Exhibit 3.2 of the Company’s Form 8-K (File No. 001-40244), filed with the SEC on December 8, 2021). |
| 3.3 | Certificate of Designations, Preferences and Rights of Series A Convertible Preferred Stock of the Company dated June 23, 2023 (incorporated by reference to Exhibit 3.1 of the Company’s Form 8-K (File No. 001-40244), filed with the SEC on June 23, 2023). |
| 10.1^ | Hagerty, Inc. Executive Severance and Change in Control Plan (incorporated by reference to Exhibit 10.1 of the Company’s Form 8-K (File No. 001-40244), filed with the SEC on July 17, 2026). |
| 10.2^ | Form of Executive Severance and Change in Control Plan Participation Agreement (incorporated by reference to Exhibit 10.2 of the Company’s Form 8-K (File No. 001-40244), filed with the SEC on July 17, 2026). |
| 10.3+^ | Employment Agreement, effective as of July 15, 2026, by and between Hagerty, Inc., and its wholly owned subsidiary Hagerty Management, LLC and Russell Page (incorporated by reference to Exhibit 10.3 of the Company’s Form 8-K (File No. 001-40244), filed with the SEC on July 17, 2026). |
| 10.4+^ | Amended and Restated Employment Agreement, effective as of July 15, 2026, by and between Hagerty, Inc., and its wholly owned subsidiary Hagerty Management, LLC and McKeel Hagerty (incorporated by reference to Exhibit 10.4 of the Company’s Form 8-K (File No. 001-40244), filed with the SEC on July 17, 2026). |
| 10.5+^ | Amended and Restated Employment Agreement, effective as of July 15, 2026, by and between Hagerty, Inc., and its wholly owned subsidiary Hagerty Management, LLC and Patrick McClymont (incorporated by reference to Exhibit 10.5 of the Company’s Form 8-K (File No. 001-40244), filed with the SEC on July 17, 2026). |
| 10.6+^ | Amended and Restated Employment Agreement, effective as of July 15, 2026, by and between Hagerty, Inc., and its wholly owned subsidiary Broad Arrow Group, Inc. and Kenneth Ahn (incorporated by reference to Exhibit 10.6 of the Company’s Form 8-K (File No. 001-40244), filed with the SEC on July 17, 2026). |
| 10.7+^ | Amended and Restated Employment Agreement, effective as of July 15, 2026, by and between Hagerty, Inc., and its wholly owned subsidiary Hagerty Management, LLC and Jeffrey Briglia (incorporated by reference to Exhibit 10.7 of the Company’s Form 8-K (File No. 001-40244), filed with the SEC on July 17, 2026). |
| 10.8* | First Amendment to Credit Agreement, dated as of October 29, 2026, by and among The Hagerty Group, LLC, the Foreign Subsidiary Borrowers party thereto, the Lenders party thereto, and JPMorgan Chase Bank, N.A., a national banking association, as administrative agent for the Lenders party to the Credit Agreement, filed herewith. |
| 31.1 | Certification of the Chief Executive Officer Pursuant to Rule 13a-14(a). |
| 31.2 | Certification of the Chief Financial Officer Pursuant to Rule 13a-14(a). |
| 32.1# | Certification of the Chief Executive Officer Pursuant to 18 U.S.C. Section 1350. |
| 32.2# | Certification of the Chief Financial Officer Pursuant to 18 U.S.C. Section 1350. |
| 101.INS | XBRL Instance Document. |
| 101.SCH | XBRL Taxonomy Extension Schema Document. |
| 101.CAL | XBRL Taxonomy Extension Calculation Linkbase Document. |
| 101.LAB | XBRL Taxonomy Extension Label Linkbase Document. |
| 101.PRE | XBRL Taxonomy Extension Presentation Linkbase Document |
| 101.DEF | XBRL Taxonomy Extension Definition Linkbase Document. |
| 104 | Cover Page Interactive Data File (formatted as Inline XBRL). |
| * | The schedules and exhibits to this agreement have been omitted pursuant to Item 601(a)(5) of Regulation S-K. A copy of any omitted schedule and/or exhibit will be furnished to the SEC upon request. In addition, portions of this exhibit have been redacted pursuant to Item 601(b)(10)(iv) of Regulation S-K because the registrant customarily and actually treats that information as private or confidential and the omitted information is not material. |
|---|---|
| + | The schedules and exhibits to this agreement have been omitted pursuant to Item 601(a)(5) of Regulation S-K. A copy of any omitted schedule and/or exhibit will be furnished to the SEC upon request. |
| ^ | Denotes compensatory plans or arrangements or management contracts. |
| # | This certification is not deemed filed for the purpose of Section 18 of the Exchange Act or otherwise subject to the liability of that section, nor shall it be deemed incorporated by reference into any filing under the Securities Act or the Exchange Act. |
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