Last 12 months
Inside the activity.
0 purchase rows · 8 sale rows
Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.Monthly counts
| Month | Purchases | Sales |
|---|---|---|
| Nov 2025 | 0 | 2 |
| Dec 2025 | 0 | 2 |
| Jan 2026 | 0 | 2 |
| Feb 2026 | 0 | 2 |
| Mar 2026 | 0 | 0 |
| Apr 2026 | 0 | 0 |
| May 2026 | 0 | 0 |
| Jun 2026 | 0 | 0 |
| Jul 2026 | 0 | 0 |
| Aug 2026 | 0 | 0 |
| Sep 2026 | 0 | 0 |
| Oct 2026 | 0 | 0 |
Latest available
Insider transactions
Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Owner / reported role | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| July 29, 2022 Filed Aug 2, 2022 20:18 UTC |
Eidelman VladChief Technology Officer
|
GrantIncentive Stock Options · Derivative | 53,415 | Not disclosed Strike: $2.43 | Not disclosed |
DisclosureSEC source: 0000899243-22-027485 · doc4.xml · derivative · entry 4 Eidelman Vlad · CIK 0001939428 · Chief Technology Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 53,415 Underlying: Class A Common Stock · 53,415 shares Expires 2030-07-28 F1 · shares: These securities were issued on the closing date of the merger (the "Business Combination") contemplated by the Agreement and Plan or Merger, dated as of November 7, 2021, as amended by the First Amendment to Agreement and Plan of Merger, dated as of May 9, 2022 (the "Merger Agreement"), by and among FiscalNote Holdings, Inc. (f/k/a Duddell Street Acquisition Corp.) ("DSAC"), Grassroots Merger Sub, Inc., a Delaware corporation and wholly owned subsidiary of DSAC, and FiscalNote Intermediate Holdco, Inc. (f/k/a FiscalNote Holdings, Inc.), a Delaware corporation ("Legacy FiscalNote"), in exchange for Legacy FiscalNote securities. F9 · price: Received in the Business Combination in exchange for 45,000 ISOs of Legacy FiscalNote. F8 · derivative.exercise_date: The ISOs vest over a four-year period as follows: (i) 10% of the underlying shares vest on the first anniversary of the vesting commencement date, (ii) 5% of the underlying shares vest on the corresponding day of each quarter during the second year and (iii) 8.75% of the underlying shares vest on the corresponding day of each quarter during the third and fourth years, subject to the Reporting Person's continuous employment through such date. If there is no corresponding day, the vesting will occur on the last day of such month. The vesting commencement date is April 23, 2020. Read SEC document |
| July 29, 2022 Filed Aug 2, 2022 20:18 UTC |
Eidelman VladChief Technology Officer
|
GrantIncentive Stock Options · Derivative | 11,870 | Not disclosed Strike: $2.71 | Not disclosed |
DisclosureSEC source: 0000899243-22-027485 · doc4.xml · derivative · entry 3 Eidelman Vlad · CIK 0001939428 · Chief Technology Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,870 Underlying: Class A Common Stock · 11,870 shares Expires 2031-02-10 F1 · shares: These securities were issued on the closing date of the merger (the "Business Combination") contemplated by the Agreement and Plan or Merger, dated as of November 7, 2021, as amended by the First Amendment to Agreement and Plan of Merger, dated as of May 9, 2022 (the "Merger Agreement"), by and among FiscalNote Holdings, Inc. (f/k/a Duddell Street Acquisition Corp.) ("DSAC"), Grassroots Merger Sub, Inc., a Delaware corporation and wholly owned subsidiary of DSAC, and FiscalNote Intermediate Holdco, Inc. (f/k/a FiscalNote Holdings, Inc.), a Delaware corporation ("Legacy FiscalNote"), in exchange for Legacy FiscalNote securities. F7 · price: Received in the Business Combination in exchange for 10,000 ISOs of Legacy FiscalNote. F6 · derivative.exercise_date: 25% of these incentive stock options ("ISOs") vested on August 1, 2021, the six month anniversary of the vesting commencement date. The remaining 75% vest in equal monthly installments thereafter beginning on the corresponding day of the first month following the six-month anniversary of the vesting commencement date, such that the ISOs shall be fully vested on the three year anniversary of the vesting commencement date, subject to the Reporting Person's continuous employment through each such date. If there is no corresponding day, the vesting will occur on the last day of the month. The vesting commencement date is February 1, 2021. Read SEC document |
| July 29, 2022 Filed Aug 2, 2022 20:18 UTC |
Eidelman VladChief Technology Officer
|
GrantClass A Common Stock | 17,805 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-22-027485 · doc4.xml · nonDerivative · entry 2 Eidelman Vlad · CIK 0001939428 · Chief Technology Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,805 F1 · shares: These securities were issued on the closing date of the merger (the "Business Combination") contemplated by the Agreement and Plan or Merger, dated as of November 7, 2021, as amended by the First Amendment to Agreement and Plan of Merger, dated as of May 9, 2022 (the "Merger Agreement"), by and among FiscalNote Holdings, Inc. (f/k/a Duddell Street Acquisition Corp.) ("DSAC"), Grassroots Merger Sub, Inc., a Delaware corporation and wholly owned subsidiary of DSAC, and FiscalNote Intermediate Holdco, Inc. (f/k/a FiscalNote Holdings, Inc.), a Delaware corporation ("Legacy FiscalNote"), in exchange for Legacy FiscalNote securities. F4 · price: Each RSU represents a contingent right to receive one share of Class A Common Stock. The RSUs vest over a three-year period, with one-third of the total number of RSUs vesting on the first anniversary of the vesting commencement date and one-twelfth of the total number of RSUs vesting on the corresponding day of each quarter thereafter following the first anniversary of the vesting commencement date (and, if there is no corresponding day, the last day of such month), subject to the Reporting Person's continuous employment through each such date. The vesting commencement date is June 16, 2022. F5 · price: Received in the Business Combination in exchange for 15,000 RSUs of Legacy FiscalNote. Read SEC document |
| July 29, 2022 Filed Aug 2, 2022 20:18 UTC |
Eidelman VladChief Technology Officer
|
GrantClass A Common Stock | 86,959 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-22-027485 · doc4.xml · nonDerivative · entry 1 Eidelman Vlad · CIK 0001939428 · Chief Technology Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 86,959 F1 · shares: These securities were issued on the closing date of the merger (the "Business Combination") contemplated by the Agreement and Plan or Merger, dated as of November 7, 2021, as amended by the First Amendment to Agreement and Plan of Merger, dated as of May 9, 2022 (the "Merger Agreement"), by and among FiscalNote Holdings, Inc. (f/k/a Duddell Street Acquisition Corp.) ("DSAC"), Grassroots Merger Sub, Inc., a Delaware corporation and wholly owned subsidiary of DSAC, and FiscalNote Intermediate Holdco, Inc. (f/k/a FiscalNote Holdings, Inc.), a Delaware corporation ("Legacy FiscalNote"), in exchange for Legacy FiscalNote securities. F2 · price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of Class A Common Stock. The RSUs were granted with both (a) an event-based vesting condition and (b) a service-based vesting condition, both of which must be satisfied in order for the RSUs to vest and become exercisable prior to the expiration date. The event-based vesting condition was satisfied on August 1, 2022, the first trading date of the Issuer's securities on the New York Stock Exchange. The service-based condition will be satisfied as to one-third of the total number of RSUs on the first anniversary of the vesting commencement date, and as to an additional one-thirty-sixth (1/36) of the total number of RSUs on the corresponding day of each month thereafter following the first anniversary of the vesting commencement date (and, if there is no corresponding day, the last day of such month). The vesting commencement date is November 7, 2021. F3 · price: Received in the Business Combination in exchange for 73,260 RSUs of Legacy FiscalNote. Read SEC document |
| July 29, 2022 Filed Aug 3, 2022 00:14 UTC |
Resnik JoshSee Remarks
|
GrantIncentive Stock Options · Derivative | 28,889 | Not disclosed Strike: $8.39 | Not disclosed |
DisclosureSEC source: 0000899243-22-027473 · doc4.xml · derivative · entry 5 Resnik Josh · CIK 0001937669 · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 28,889 Underlying: Class A Common Stock · 28,889 shares Expires 2031-12-22 F1 · shares: These securities were issued on the closing date of the merger (the "Business Combination") contemplated by the Agreement and Plan or Merger, dated as of November 7, 2021, as amended by the First Amendment to Agreement and Plan of Merger, dated as of May 9, 2022 (the "Merger Agreement"), by and among FiscalNote Holdings, Inc. (f/k/a Duddell Street Acquisition Corp.) ("DSAC"), Grassroots Merger Sub, Inc., a Delaware corporation and wholly owned subsidiary of DSAC, and FiscalNote Intermediate Holdco, Inc. (f/k/a FiscalNote Holdings, Inc.), a Delaware corporation ("Legacy FiscalNote"), in exchange for Legacy FiscalNote securities. F11 · price: Received in the Business Combination in exchange for 24,338 ISOs of Legacy FiscalNote. F10 · derivative.exercise_date: The ISOs were granted with both (a) an event-based vesting condition and (b) a service-based vesting condition, both of which must be satisfied in order for the ISOs to vest and become exercisable prior to the expiration date. The event-based vesting condition was satisfied on August 1, 2022, the first trading date of the Issuer's securities on the New York Stock Exchange. The service-based condition will be satisfied as to 25% of the total number of ISOs on the first anniversary of the vesting commencement date, and as to an additional 6.25% of the total number of shares subject to the ISOs on the corresponding day of each quarter thereafter following the first anniversary of the vesting commencement date (and, if there is no corresponding day, the last day of such month). The vesting commencement date is November 7, 2021. Read SEC document |
| July 29, 2022 Filed Aug 3, 2022 00:14 UTC |
Resnik JoshSee Remarks
|
GrantIncentive Stock Options · Derivative | 29,675 | Not disclosed Strike: $6.56 | Not disclosed |
DisclosureSEC source: 0000899243-22-027473 · doc4.xml · derivative · entry 4 Resnik Josh · CIK 0001937669 · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 29,675 Underlying: Class A Common Stock · 29,675 shares Expires 2031-07-28 F1 · shares: These securities were issued on the closing date of the merger (the "Business Combination") contemplated by the Agreement and Plan or Merger, dated as of November 7, 2021, as amended by the First Amendment to Agreement and Plan of Merger, dated as of May 9, 2022 (the "Merger Agreement"), by and among FiscalNote Holdings, Inc. (f/k/a Duddell Street Acquisition Corp.) ("DSAC"), Grassroots Merger Sub, Inc., a Delaware corporation and wholly owned subsidiary of DSAC, and FiscalNote Intermediate Holdco, Inc. (f/k/a FiscalNote Holdings, Inc.), a Delaware corporation ("Legacy FiscalNote"), in exchange for Legacy FiscalNote securities. F9 · price: Received in the Business Combination in exchange for 25,000 ISOs of Legacy FiscalNote. F8 · derivative.exercise_date: The ISOs vest over a four-year period as follows: (i) 10% of the underlying shares vest on the first anniversary of the vesting commencement date, (ii) 5% of the underlying shares vest on the corresponding day of each quarter during the second year and (iii) 8.75% of the underlying shares vest on the corresponding day of each quarter during the third and fourth years, subject to the Reporting Person's continuous employment through such date. If there is no corresponding day, the vesting will occur on the last day of such month. The vesting commencement date is July 12, 2021. Read SEC document |
| July 29, 2022 Filed Aug 3, 2022 00:14 UTC |
Resnik JoshSee Remarks
|
GrantIncentive Stock Options · Derivative | 148,375 | Not disclosed Strike: $2.43 | Not disclosed |
DisclosureSEC source: 0000899243-22-027473 · doc4.xml · derivative · entry 3 Resnik Josh · CIK 0001937669 · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 148,375 Underlying: Class A Common Stock · 148,375 shares Expires 2030-07-28 F1 · shares: These securities were issued on the closing date of the merger (the "Business Combination") contemplated by the Agreement and Plan or Merger, dated as of November 7, 2021, as amended by the First Amendment to Agreement and Plan of Merger, dated as of May 9, 2022 (the "Merger Agreement"), by and among FiscalNote Holdings, Inc. (f/k/a Duddell Street Acquisition Corp.) ("DSAC"), Grassroots Merger Sub, Inc., a Delaware corporation and wholly owned subsidiary of DSAC, and FiscalNote Intermediate Holdco, Inc. (f/k/a FiscalNote Holdings, Inc.), a Delaware corporation ("Legacy FiscalNote"), in exchange for Legacy FiscalNote securities. F7 · price: Received in the Business Combination in exchange for 125,000 ISOs of Legacy FiscalNote. F6 · derivative.exercise_date: The ISOs vest over a four-year period as follows: (i) 10% of the underlying shares vest on the first anniversary of the vesting commencement date, (ii) 5% of the underlying shares vest on the corresponding day of each quarter during the second year and (iii) 8.75% of the underlying shares vest on the corresponding day of each quarter during the third and fourth years, subject to the Reporting Person's continuous employment through such date. If there is no corresponding day, the vesting will occur on the last day of such month. The vesting commencement date is April 23, 2020. Read SEC document |
| July 29, 2022 Filed Aug 3, 2022 00:14 UTC |
Resnik JoshSee Remarks
|
GrantIncentive Stock Options · Derivative | 53,415 | Not disclosed Strike: $2.23 | Not disclosed |
DisclosureSEC source: 0000899243-22-027473 · doc4.xml · derivative · entry 2 Resnik Josh · CIK 0001937669 · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 53,415 Underlying: Class A Common Stock · 53,415 shares Expires 2029-05-01 F1 · shares: These securities were issued on the closing date of the merger (the "Business Combination") contemplated by the Agreement and Plan or Merger, dated as of November 7, 2021, as amended by the First Amendment to Agreement and Plan of Merger, dated as of May 9, 2022 (the "Merger Agreement"), by and among FiscalNote Holdings, Inc. (f/k/a Duddell Street Acquisition Corp.) ("DSAC"), Grassroots Merger Sub, Inc., a Delaware corporation and wholly owned subsidiary of DSAC, and FiscalNote Intermediate Holdco, Inc. (f/k/a FiscalNote Holdings, Inc.), a Delaware corporation ("Legacy FiscalNote"), in exchange for Legacy FiscalNote securities. F5 · price: Received in the Business Combination in exchange for 45,000 ISOs of Legacy FiscalNote. F4 · derivative.exercise_date: The incentive stock options ("ISOs") vest over a four-year period as follows: (i) 10% of the underlying shares vest on the first anniversary of the vesting commencement date, (ii) 5% of the underlying shares vest on the corresponding day of each quarter during the second year and (iii) 8.75% of the underlying shares vest on the corresponding day of each quarter during the third and fourth years, subject to the Reporting Person's continuous employment through such date. If there is no corresponding day, the vesting will occur on the last day of such month. The vesting commencement date is April 8, 2019. Read SEC document |
| July 29, 2022 Filed Aug 3, 2022 00:14 UTC |
Resnik JoshSee Remarks
|
GrantClass A Common Stock | 86,666 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-22-027473 · doc4.xml · nonDerivative · entry 1 Resnik Josh · CIK 0001937669 · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 86,666 F1 · shares: These securities were issued on the closing date of the merger (the "Business Combination") contemplated by the Agreement and Plan or Merger, dated as of November 7, 2021, as amended by the First Amendment to Agreement and Plan of Merger, dated as of May 9, 2022 (the "Merger Agreement"), by and among FiscalNote Holdings, Inc. (f/k/a Duddell Street Acquisition Corp.) ("DSAC"), Grassroots Merger Sub, Inc., a Delaware corporation and wholly owned subsidiary of DSAC, and FiscalNote Intermediate Holdco, Inc. (f/k/a FiscalNote Holdings, Inc.), a Delaware corporation ("Legacy FiscalNote"), in exchange for Legacy FiscalNote securities. F2 · price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of Class A Common Stock. The RSUs were granted with both (a) an event-based vesting condition and (b) a service-based vesting condition, both of which must be satisfied in order for the RSUs to vest and become exercisable prior to the expiration date. The event-based vesting condition was satisfied on August 1, 2022, the first trading date of the Issuer's securities on the New York Stock Exchange. The service-based condition will be satisfied as to one-third of the total number of RSUs on the first anniversary of the vesting commencement date, and as to an additional one-thirty-sixth (1/36) of the total number of RSUs on the corresponding day of each month thereafter following the first anniversary of the vesting commencement date (and, if there is no corresponding day, the last day of such month). The vesting commencement date is November 7, 2021. F3 · price: Received in the Business Combination in exchange for 73,013 RSUs of Legacy FiscalNote. Read SEC document |
| July 29, 2022 Filed Aug 2, 2022 20:17 UTC |
Yiu ConradDirector
|
GrantClass A Common Stock | 26,349 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-22-027481 · doc4.xml · nonDerivative · entry 2 Yiu Conrad · CIK 0001937691 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 26,349 F1 · shares: These securities were issued on the closing date of the merger (the "Business Combination") contemplated by the Agreement and Plan or Merger, dated as of November 7, 2021, as amended by the First Amendment to Agreement and Plan of Merger, dated as of May 9, 2022 (the "Merger Agreement"), by and among FiscalNote Holdings, Inc. (f/k/a Duddell Street Acquisition Corp.) ("DSAC"), Grassroots Merger Sub, Inc., a Delaware corporation and wholly owned subsidiary of DSAC, and FiscalNote Intermediate Holdco, Inc. (f/k/a FiscalNote Holdings, Inc.), a Delaware corporation ("Legacy FiscalNote"), in exchange for Legacy FiscalNote securities. F4 · price: Each restricted stock unit represents a contingent right to receive one share of Class A Common. The restricted stock units were granted with both (a) an event-based vesting condition and (b) a service-based vesting condition, both of which must be satisfied in order for the restricted stock units to vest. The event-based vesting condition was satisfied on August 1, 2022, the first trading date of the Issuer's securities on the New York Stock Exchange. The service-based condition will be satisfied as to 50% of the total number of restricted stock units on the first anniversary of the vesting commencement date, and as to an additional 1/24th of the total number of restricted stock units on the corresponding day of each month following the first anniversary of the vesting commencement date (and, if there is no corresponding day, the last day of the month) until the second anniversary of the vesting commencement date. The vesting commencement date is October 25, 2020. F5 · price: Received in the Business Combination in exchange for 25,000 restricted stock units of Legacy FiscalNote. Read SEC document |
| July 29, 2022 Filed Aug 2, 2022 20:17 UTC |
Yiu ConradDirector
|
GrantClass A Common Stock | 1,456,985 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-22-027481 · doc4.xml · nonDerivative · entry 1 Yiu Conrad · CIK 0001937691 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 1,456,985 F1 · shares: These securities were issued on the closing date of the merger (the "Business Combination") contemplated by the Agreement and Plan or Merger, dated as of November 7, 2021, as amended by the First Amendment to Agreement and Plan of Merger, dated as of May 9, 2022 (the "Merger Agreement"), by and among FiscalNote Holdings, Inc. (f/k/a Duddell Street Acquisition Corp.) ("DSAC"), Grassroots Merger Sub, Inc., a Delaware corporation and wholly owned subsidiary of DSAC, and FiscalNote Intermediate Holdco, Inc. (f/k/a FiscalNote Holdings, Inc.), a Delaware corporation ("Legacy FiscalNote"), in exchange for Legacy FiscalNote securities. F2 · price: Received in the Business Combination in exchange for 1,227,451 shares of Class A common stock of Legacy FiscalNote. F3 · ownership.nature: The shares are beneficially owned by Skyone Capital Pty Ltd ATF AS1 GF No.11 ("SkyOne"). The Reporting Person is a director of SkyOne, which entity is the trustee of funds affiliated with and/or managed by AS1 Growth Partners Pty Ltd where the Reporting Person serves as a partner, and in such capacity may be deemed to have voting and dispositive power over such shares. Read SEC document |
| July 29, 2022 Filed Aug 2, 2022 20:18 UTC |
Sweeney BrandonDirector
|
GrantNon-qualified stock options · Derivative | 59,350 | Not disclosed Strike: $1.47 | Not disclosed |
DisclosureSEC source: 0000899243-22-027484 · doc4.xml · derivative · entry 2 Sweeney Brandon · CIK 0001894766 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 59,350 Underlying: Class A Common Stock · 59,350 shares Expires 2027-05-12 F1 · shares: These securities were issued on the closing date of the merger (the "Business Combination") contemplated by the Agreement and Plan or Merger, dated as of November 7, 2021, as amended by the First Amendment to Agreement and Plan of Merger, dated as of May 9, 2022 (the "Merger Agreement"), by and among FiscalNote Holdings, Inc. (f/k/a Duddell Street Acquisition Corp.) ("DSAC"), Grassroots Merger Sub, Inc., a Delaware corporation and wholly owned subsidiary of DSAC, and FiscalNote Intermediate Holdco, Inc. (f/k/a FiscalNote Holdings, Inc.), a Delaware corporation ("Legacy FiscalNote"), in exchange for Legacy FiscalNote securities. F6 · price: Received in the Business Combination in exchange for 50,000 non-qualified stock options of Legacy FiscalNote. F5 · derivative.exercise_date: These stock options are fully vested and are currently exercisable at any time. Read SEC document |
| July 29, 2022 Filed Aug 2, 2022 20:18 UTC |
Sweeney BrandonDirector
|
GrantClass A Common Stock | 29,675 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-22-027484 · doc4.xml · nonDerivative · entry 1 Sweeney Brandon · CIK 0001894766 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 29,675 F1 · shares: These securities were issued on the closing date of the merger (the "Business Combination") contemplated by the Agreement and Plan or Merger, dated as of November 7, 2021, as amended by the First Amendment to Agreement and Plan of Merger, dated as of May 9, 2022 (the "Merger Agreement"), by and among FiscalNote Holdings, Inc. (f/k/a Duddell Street Acquisition Corp.) ("DSAC"), Grassroots Merger Sub, Inc., a Delaware corporation and wholly owned subsidiary of DSAC, and FiscalNote Intermediate Holdco, Inc. (f/k/a FiscalNote Holdings, Inc.), a Delaware corporation ("Legacy FiscalNote"), in exchange for Legacy FiscalNote securities. F2 · price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of Class A Common Stock. The RSUs were granted with both (a) an event-based vesting condition and (b) a service-based vesting condition, both of which must be satisfied in order for the RSUs to vest and become exercisable prior to the expiration date. The event-based vesting condition was satisfied on August 1, 2022, the first trading date of the Issuer's securities on the New York Stock Exchange. The service-based condition will be satisfied as to 50% of the total number of RSUs on the first anniversary of the vesting commencement date, and as to an additional one-twenty-fourth (1/24) of the total number of RSUs on the corresponding day of each month thereafter following the first anniversary of the vesting commencement date (and, if there is no corresponding day, the last day of such month) until the second anniversary of the vesting commencement date. F3 · price: (Continued from Footnote 2) The vesting commencement date is November 7, 2021. F4 · price: Received in the Business Combination in exchange for 25,000 RSUs of Legacy FiscalNote. Read SEC document |
| July 29, 2022 Filed Aug 2, 2022 13:33 UTC |
MASO CAPITAL PARTNERS Ltd10% owner
BLACKWELL PARTNERS LLC - SERIES A10% owner
|
OtherWarrants (Right to Buy) · Derivative | 1,593,900 | Not disclosed Strike: $7.32 | Not disclosed |
DisclosureSEC source: 0000950103-22-013519 · dp178254_4-maso.xml · derivative · entry 18 Maso Capital Partners Ltd · CIK 0001698093 · 10% owner BLACKWELL PARTNERS LLC - SERIES A · CIK 0001426672 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Star V Partners LLC Disclosed balance after: 1,593,900 Underlying: Class A Common Stock · 2,504,700 shares Expires not disclosed F10 · kind: Each Warrant held by the Reporting Persons was initially acquired at the time of the initial public offering of the Issuer and were contingent on the closing of an initial business combination within a specified period of time. Each Warrant now entitles the holder thereof to purchase one share of Class A Common Stock for $7.32 per share. The Warrants will not become exercisable until 30 days after the Closing Date and will expire on the fifth anniversary of the Closing Date. F9 · price: Each Warrant held by a Reporting Person entitles the holder thereof to purchase one share of Class A Common Stock for $7.32 per share. The Warrants will not become exercisable until 30 days after the Closing Date (as defined in the Business Combination Agreement) and will expire on the fifth anniversary of the Closing Date. F10 · derivative.exercise_date: Each Warrant held by the Reporting Persons was initially acquired at the time of the initial public offering of the Issuer and were contingent on the closing of an initial business combination within a specified period of time. Each Warrant now entitles the holder thereof to purchase one share of Class A Common Stock for $7.32 per share. The Warrants will not become exercisable until 30 days after the Closing Date and will expire on the fifth anniversary of the Closing Date. F10 · derivative.expiration_date: Each Warrant held by the Reporting Persons was initially acquired at the time of the initial public offering of the Issuer and were contingent on the closing of an initial business combination within a specified period of time. Each Warrant now entitles the holder thereof to purchase one share of Class A Common Stock for $7.32 per share. The Warrants will not become exercisable until 30 days after the Closing Date and will expire on the fifth anniversary of the Closing Date. F8 · ownership.nature: These shares of Class A Common Stock and Warrants, as applicable, are held of record by Star V Partners LLC ("SVPL"), a Tennessee limited liability company. MCPL is the investment manager of SVPL and has sole voting and investment power with respect to the shares held by SVPL. F2 · ownership.nature: These shares Class A Common Stock and Warrants, as applicable, are held of record by Maso Capital Investments Limited ("MCIL"), a Cayman Islands limited liability company. Maso Capital Partners Limited ("MCPL"), a Hong Kong limited liability company, is the investment manager of MCIL and has sole voting and investment power with respect to the shares held by MCIL. Read SEC document |
| July 29, 2022 Filed Aug 2, 2022 13:33 UTC |
MASO CAPITAL PARTNERS Ltd10% owner
BLACKWELL PARTNERS LLC - SERIES A10% owner
|
OtherWarrants (Right to Buy) · Derivative | 4,138,400 | Not disclosed Strike: $7.32 | Not disclosed |
DisclosureSEC source: 0000950103-22-013519 · dp178254_4-maso.xml · derivative · entry 17 Maso Capital Partners Ltd · CIK 0001698093 · 10% owner BLACKWELL PARTNERS LLC - SERIES A · CIK 0001426672 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Blackwell Partners LLC - Series A Disclosed balance after: 4,138,400 Underlying: Class A Common Stock · 6,503,200 shares Expires not disclosed F10 · kind: Each Warrant held by the Reporting Persons was initially acquired at the time of the initial public offering of the Issuer and were contingent on the closing of an initial business combination within a specified period of time. Each Warrant now entitles the holder thereof to purchase one share of Class A Common Stock for $7.32 per share. The Warrants will not become exercisable until 30 days after the Closing Date and will expire on the fifth anniversary of the Closing Date. F10 · price: Each Warrant held by the Reporting Persons was initially acquired at the time of the initial public offering of the Issuer and were contingent on the closing of an initial business combination within a specified period of time. Each Warrant now entitles the holder thereof to purchase one share of Class A Common Stock for $7.32 per share. The Warrants will not become exercisable until 30 days after the Closing Date and will expire on the fifth anniversary of the Closing Date. F10 · derivative.exercise_date: Each Warrant held by the Reporting Persons was initially acquired at the time of the initial public offering of the Issuer and were contingent on the closing of an initial business combination within a specified period of time. Each Warrant now entitles the holder thereof to purchase one share of Class A Common Stock for $7.32 per share. The Warrants will not become exercisable until 30 days after the Closing Date and will expire on the fifth anniversary of the Closing Date. F10 · derivative.expiration_date: Each Warrant held by the Reporting Persons was initially acquired at the time of the initial public offering of the Issuer and were contingent on the closing of an initial business combination within a specified period of time. Each Warrant now entitles the holder thereof to purchase one share of Class A Common Stock for $7.32 per share. The Warrants will not become exercisable until 30 days after the Closing Date and will expire on the fifth anniversary of the Closing Date. F7 · ownership.nature: These shares of Class A Common Stock and Warrants, as applicable, are held of record by Blackwell Partners LLC - Series A ("BPL"), a Delaware limited liability company. MCPL is the investment manager of BPL and has sole voting and investment power with respect to the shares held by BPL. F2 · ownership.nature: These shares Class A Common Stock and Warrants, as applicable, are held of record by Maso Capital Investments Limited ("MCIL"), a Cayman Islands limited liability company. Maso Capital Partners Limited ("MCPL"), a Hong Kong limited liability company, is the investment manager of MCIL and has sole voting and investment power with respect to the shares held by MCIL. Read SEC document |
| July 29, 2022 Filed Aug 2, 2022 13:33 UTC |
MASO CAPITAL PARTNERS Ltd10% owner
BLACKWELL PARTNERS LLC - SERIES A10% owner
|
OtherWarrants (Right to Buy) · Derivative | 1,267,700 | Not disclosed Strike: $7.32 | Not disclosed |
DisclosureSEC source: 0000950103-22-013519 · dp178254_4-maso.xml · derivative · entry 16 Maso Capital Partners Ltd · CIK 0001698093 · 10% owner BLACKWELL PARTNERS LLC - SERIES A · CIK 0001426672 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Maso Capital Investments Limited Disclosed balance after: 1,267,700 Underlying: Class A Common Stock · 1,992,100 shares Expires not disclosed F10 · kind: Each Warrant held by the Reporting Persons was initially acquired at the time of the initial public offering of the Issuer and were contingent on the closing of an initial business combination within a specified period of time. Each Warrant now entitles the holder thereof to purchase one share of Class A Common Stock for $7.32 per share. The Warrants will not become exercisable until 30 days after the Closing Date and will expire on the fifth anniversary of the Closing Date. F10 · price: Each Warrant held by the Reporting Persons was initially acquired at the time of the initial public offering of the Issuer and were contingent on the closing of an initial business combination within a specified period of time. Each Warrant now entitles the holder thereof to purchase one share of Class A Common Stock for $7.32 per share. The Warrants will not become exercisable until 30 days after the Closing Date and will expire on the fifth anniversary of the Closing Date. F10 · derivative.exercise_date: Each Warrant held by the Reporting Persons was initially acquired at the time of the initial public offering of the Issuer and were contingent on the closing of an initial business combination within a specified period of time. Each Warrant now entitles the holder thereof to purchase one share of Class A Common Stock for $7.32 per share. The Warrants will not become exercisable until 30 days after the Closing Date and will expire on the fifth anniversary of the Closing Date. F10 · derivative.expiration_date: Each Warrant held by the Reporting Persons was initially acquired at the time of the initial public offering of the Issuer and were contingent on the closing of an initial business combination within a specified period of time. Each Warrant now entitles the holder thereof to purchase one share of Class A Common Stock for $7.32 per share. The Warrants will not become exercisable until 30 days after the Closing Date and will expire on the fifth anniversary of the Closing Date. F2 · ownership.nature: These shares Class A Common Stock and Warrants, as applicable, are held of record by Maso Capital Investments Limited ("MCIL"), a Cayman Islands limited liability company. Maso Capital Partners Limited ("MCPL"), a Hong Kong limited liability company, is the investment manager of MCIL and has sole voting and investment power with respect to the shares held by MCIL. F3 · ownership.nature: MCPL is beneficially owned and controlled by Manoj Jain and Sohit Khurana, each of whom may be deemed to have beneficial ownership over these shares. Each such person disclaims any beneficial ownership of the reported shares other than to the extent of any pecuniary interest they may have therein, directly or indirectly. Read SEC document |
| July 29, 2022 Filed Aug 2, 2022 13:33 UTC |
MASO CAPITAL PARTNERS Ltd10% owner
BLACKWELL PARTNERS LLC - SERIES A10% owner
|
OtherWarrants (Right to Buy) · Derivative | 518,000 | Not disclosed Strike: $7.32 | Not disclosed |
DisclosureSEC source: 0000950103-22-013519 · dp178254_4-maso.xml · derivative · entry 15 Maso Capital Partners Ltd · CIK 0001698093 · 10% owner BLACKWELL PARTNERS LLC - SERIES A · CIK 0001426672 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Star V Partners LLC Disclosed balance after: 518,000 Underlying: Class A Common Stock · 814,000 shares Expires not disclosed F9 · kind: Each Warrant held by a Reporting Person entitles the holder thereof to purchase one share of Class A Common Stock for $7.32 per share. The Warrants will not become exercisable until 30 days after the Closing Date (as defined in the Business Combination Agreement) and will expire on the fifth anniversary of the Closing Date. F9 · price: Each Warrant held by a Reporting Person entitles the holder thereof to purchase one share of Class A Common Stock for $7.32 per share. The Warrants will not become exercisable until 30 days after the Closing Date (as defined in the Business Combination Agreement) and will expire on the fifth anniversary of the Closing Date. F9 · derivative.exercise_date: Each Warrant held by a Reporting Person entitles the holder thereof to purchase one share of Class A Common Stock for $7.32 per share. The Warrants will not become exercisable until 30 days after the Closing Date (as defined in the Business Combination Agreement) and will expire on the fifth anniversary of the Closing Date. F9 · derivative.expiration_date: Each Warrant held by a Reporting Person entitles the holder thereof to purchase one share of Class A Common Stock for $7.32 per share. The Warrants will not become exercisable until 30 days after the Closing Date (as defined in the Business Combination Agreement) and will expire on the fifth anniversary of the Closing Date. F8 · ownership.nature: These shares of Class A Common Stock and Warrants, as applicable, are held of record by Star V Partners LLC ("SVPL"), a Tennessee limited liability company. MCPL is the investment manager of SVPL and has sole voting and investment power with respect to the shares held by SVPL. F2 · ownership.nature: These shares Class A Common Stock and Warrants, as applicable, are held of record by Maso Capital Investments Limited ("MCIL"), a Cayman Islands limited liability company. Maso Capital Partners Limited ("MCPL"), a Hong Kong limited liability company, is the investment manager of MCIL and has sole voting and investment power with respect to the shares held by MCIL. Read SEC document |
| July 29, 2022 Filed Aug 2, 2022 13:33 UTC |
MASO CAPITAL PARTNERS Ltd10% owner
BLACKWELL PARTNERS LLC - SERIES A10% owner
|
OtherWarrants (Right to Buy) · Derivative | 1,093,000 | Not disclosed Strike: $7.32 | Not disclosed |
DisclosureSEC source: 0000950103-22-013519 · dp178254_4-maso.xml · derivative · entry 14 Maso Capital Partners Ltd · CIK 0001698093 · 10% owner BLACKWELL PARTNERS LLC - SERIES A · CIK 0001426672 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Blackwell Partners LLC - Series A Disclosed balance after: 1,093,000 Underlying: Class A Common Stock · 1,717,571 shares Expires not disclosed F9 · kind: Each Warrant held by a Reporting Person entitles the holder thereof to purchase one share of Class A Common Stock for $7.32 per share. The Warrants will not become exercisable until 30 days after the Closing Date (as defined in the Business Combination Agreement) and will expire on the fifth anniversary of the Closing Date. F9 · price: Each Warrant held by a Reporting Person entitles the holder thereof to purchase one share of Class A Common Stock for $7.32 per share. The Warrants will not become exercisable until 30 days after the Closing Date (as defined in the Business Combination Agreement) and will expire on the fifth anniversary of the Closing Date. F9 · derivative.exercise_date: Each Warrant held by a Reporting Person entitles the holder thereof to purchase one share of Class A Common Stock for $7.32 per share. The Warrants will not become exercisable until 30 days after the Closing Date (as defined in the Business Combination Agreement) and will expire on the fifth anniversary of the Closing Date. F9 · derivative.expiration_date: Each Warrant held by a Reporting Person entitles the holder thereof to purchase one share of Class A Common Stock for $7.32 per share. The Warrants will not become exercisable until 30 days after the Closing Date (as defined in the Business Combination Agreement) and will expire on the fifth anniversary of the Closing Date. F7 · ownership.nature: These shares of Class A Common Stock and Warrants, as applicable, are held of record by Blackwell Partners LLC - Series A ("BPL"), a Delaware limited liability company. MCPL is the investment manager of BPL and has sole voting and investment power with respect to the shares held by BPL. F2 · ownership.nature: These shares Class A Common Stock and Warrants, as applicable, are held of record by Maso Capital Investments Limited ("MCIL"), a Cayman Islands limited liability company. Maso Capital Partners Limited ("MCPL"), a Hong Kong limited liability company, is the investment manager of MCIL and has sole voting and investment power with respect to the shares held by MCIL. Read SEC document |
| July 29, 2022 Filed Aug 2, 2022 13:33 UTC |
MASO CAPITAL PARTNERS Ltd10% owner
BLACKWELL PARTNERS LLC - SERIES A10% owner
|
OtherWarrants (Right to Buy) · Derivative | 389,000 | Not disclosed Strike: $7.32 | Not disclosed |
DisclosureSEC source: 0000950103-22-013519 · dp178254_4-maso.xml · derivative · entry 13 Maso Capital Partners Ltd · CIK 0001698093 · 10% owner BLACKWELL PARTNERS LLC - SERIES A · CIK 0001426672 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Maso Capital Investments Limited Disclosed balance after: 389,000 Underlying: Class A Common Stock · 611,286 shares Expires not disclosed F9 · kind: Each Warrant held by a Reporting Person entitles the holder thereof to purchase one share of Class A Common Stock for $7.32 per share. The Warrants will not become exercisable until 30 days after the Closing Date (as defined in the Business Combination Agreement) and will expire on the fifth anniversary of the Closing Date. F9 · price: Each Warrant held by a Reporting Person entitles the holder thereof to purchase one share of Class A Common Stock for $7.32 per share. The Warrants will not become exercisable until 30 days after the Closing Date (as defined in the Business Combination Agreement) and will expire on the fifth anniversary of the Closing Date. F9 · derivative.exercise_date: Each Warrant held by a Reporting Person entitles the holder thereof to purchase one share of Class A Common Stock for $7.32 per share. The Warrants will not become exercisable until 30 days after the Closing Date (as defined in the Business Combination Agreement) and will expire on the fifth anniversary of the Closing Date. F9 · derivative.expiration_date: Each Warrant held by a Reporting Person entitles the holder thereof to purchase one share of Class A Common Stock for $7.32 per share. The Warrants will not become exercisable until 30 days after the Closing Date (as defined in the Business Combination Agreement) and will expire on the fifth anniversary of the Closing Date. F2 · ownership.nature: These shares Class A Common Stock and Warrants, as applicable, are held of record by Maso Capital Investments Limited ("MCIL"), a Cayman Islands limited liability company. Maso Capital Partners Limited ("MCPL"), a Hong Kong limited liability company, is the investment manager of MCIL and has sole voting and investment power with respect to the shares held by MCIL. F3 · ownership.nature: MCPL is beneficially owned and controlled by Manoj Jain and Sohit Khurana, each of whom may be deemed to have beneficial ownership over these shares. Each such person disclaims any beneficial ownership of the reported shares other than to the extent of any pecuniary interest they may have therein, directly or indirectly. Read SEC document |
| July 29, 2022 Filed Aug 2, 2022 13:33 UTC |
MASO CAPITAL PARTNERS Ltd10% owner
BLACKWELL PARTNERS LLC - SERIES A10% owner
|
OtherClass A Common Stock | 2,205,625 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000950103-22-013519 · dp178254_4-maso.xml · nonDerivative · entry 12 Maso Capital Partners Ltd · CIK 0001698093 · 10% owner BLACKWELL PARTNERS LLC - SERIES A · CIK 0001426672 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Star V Partners LLC Disclosed balance after: 6,155,627 F6 · kind: Immediately prior to Closing, each of the applicable Reporting Persons received a distribution of shares of Class A Common Stock as Bonus Shares (as defined in the Business Combination Agreement) in connection with electing not to redeem outstanding shares of Class A Common Stock held by the Reporting Person, including with respect to any Backstop Shares issued to and held by the Reporting Person. F6 · price: Immediately prior to Closing, each of the applicable Reporting Persons received a distribution of shares of Class A Common Stock as Bonus Shares (as defined in the Business Combination Agreement) in connection with electing not to redeem outstanding shares of Class A Common Stock held by the Reporting Person, including with respect to any Backstop Shares issued to and held by the Reporting Person. F8 · ownership.nature: These shares of Class A Common Stock and Warrants, as applicable, are held of record by Star V Partners LLC ("SVPL"), a Tennessee limited liability company. MCPL is the investment manager of SVPL and has sole voting and investment power with respect to the shares held by SVPL. F2 · ownership.nature: These shares Class A Common Stock and Warrants, as applicable, are held of record by Maso Capital Investments Limited ("MCIL"), a Cayman Islands limited liability company. Maso Capital Partners Limited ("MCPL"), a Hong Kong limited liability company, is the investment manager of MCIL and has sole voting and investment power with respect to the shares held by MCIL. Read SEC document |
| July 29, 2022 Filed Aug 2, 2022 13:33 UTC |
MASO CAPITAL PARTNERS Ltd10% owner
BLACKWELL PARTNERS LLC - SERIES A10% owner
|
OtherClass A Common Stock | 2,823,843 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000950103-22-013519 · dp178254_4-maso.xml · nonDerivative · entry 11 Maso Capital Partners Ltd · CIK 0001698093 · 10% owner BLACKWELL PARTNERS LLC - SERIES A · CIK 0001426672 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Star V Partners LLC Disclosed balance after: 3,950,002 F5 · kind: Immediately prior to Closing (as defined in the Business Combination Agreement), each of the applicable Reporting Persons subscribed for shares of Class A Common Stock pursuant to the terms of the Backstop Agreement, dated as of November 7, 2021, by and among the Issuer and the Reporting Persons (the "Backstop Shares"). F5 · price: Immediately prior to Closing (as defined in the Business Combination Agreement), each of the applicable Reporting Persons subscribed for shares of Class A Common Stock pursuant to the terms of the Backstop Agreement, dated as of November 7, 2021, by and among the Issuer and the Reporting Persons (the "Backstop Shares"). F8 · ownership.nature: These shares of Class A Common Stock and Warrants, as applicable, are held of record by Star V Partners LLC ("SVPL"), a Tennessee limited liability company. MCPL is the investment manager of SVPL and has sole voting and investment power with respect to the shares held by SVPL. F2 · ownership.nature: These shares Class A Common Stock and Warrants, as applicable, are held of record by Maso Capital Investments Limited ("MCIL"), a Cayman Islands limited liability company. Maso Capital Partners Limited ("MCPL"), a Hong Kong limited liability company, is the investment manager of MCIL and has sole voting and investment power with respect to the shares held by MCIL. Read SEC document |
| July 29, 2022 Filed Aug 2, 2022 13:33 UTC |
MASO CAPITAL PARTNERS Ltd10% owner
BLACKWELL PARTNERS LLC - SERIES A10% owner
|
OtherClass A Common Stock | 90,159 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000950103-22-013519 · dp178254_4-maso.xml · nonDerivative · entry 10 Maso Capital Partners Ltd · CIK 0001698093 · 10% owner BLACKWELL PARTNERS LLC - SERIES A · CIK 0001426672 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Star V Partners LLC Disclosed balance after: 1,126,159 F4 · kind: Each of the Reporting Persons acquired shares of Class A Common Stock in exchange for convertible notes issued by Old FiscalNote (the "Convertible Notes") held by the Reporting Person in accordance with the terms of the Convertible Notes and the Business Combination Agreement. F4 · price: Each of the Reporting Persons acquired shares of Class A Common Stock in exchange for convertible notes issued by Old FiscalNote (the "Convertible Notes") held by the Reporting Person in accordance with the terms of the Convertible Notes and the Business Combination Agreement. F8 · ownership.nature: These shares of Class A Common Stock and Warrants, as applicable, are held of record by Star V Partners LLC ("SVPL"), a Tennessee limited liability company. MCPL is the investment manager of SVPL and has sole voting and investment power with respect to the shares held by SVPL. F2 · ownership.nature: These shares Class A Common Stock and Warrants, as applicable, are held of record by Maso Capital Investments Limited ("MCIL"), a Cayman Islands limited liability company. Maso Capital Partners Limited ("MCPL"), a Hong Kong limited liability company, is the investment manager of MCIL and has sole voting and investment power with respect to the shares held by MCIL. Read SEC document |
| July 29, 2022 Filed Aug 2, 2022 13:33 UTC |
MASO CAPITAL PARTNERS Ltd10% owner
BLACKWELL PARTNERS LLC - SERIES A10% owner
|
OtherClass A Common Stock | 1,036,000 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000950103-22-013519 · dp178254_4-maso.xml · nonDerivative · entry 9 Maso Capital Partners Ltd · CIK 0001698093 · 10% owner BLACKWELL PARTNERS LLC - SERIES A · CIK 0001426672 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Star V Partners LLC Disclosed balance after: 1,036,000 F1 · kind: These shares of Class A Common Stock were received on a one-for-one basis in exchange for the Class A ordinary shares held by the Reporting Persons concurrently with the consummation of the transactions contemplated by the Agreement and Plan of Merger, dated November 7, 2021, by and among Duddell Street Acquisition Corp. (now known as FiscalNote Holdings Inc., the "Issuer"), Grassroots Merger Sub, Inc., a wholly owned subsidiary of the Issuer ("Merger Sub"), and FiscalNote Holdings, Inc. ("Old FiscalNote") (as it may be amended and/or restated from time to time (the "Business Combination Agreement")). F1 · price: These shares of Class A Common Stock were received on a one-for-one basis in exchange for the Class A ordinary shares held by the Reporting Persons concurrently with the consummation of the transactions contemplated by the Agreement and Plan of Merger, dated November 7, 2021, by and among Duddell Street Acquisition Corp. (now known as FiscalNote Holdings Inc., the "Issuer"), Grassroots Merger Sub, Inc., a wholly owned subsidiary of the Issuer ("Merger Sub"), and FiscalNote Holdings, Inc. ("Old FiscalNote") (as it may be amended and/or restated from time to time (the "Business Combination Agreement")). F8 · ownership.nature: These shares of Class A Common Stock and Warrants, as applicable, are held of record by Star V Partners LLC ("SVPL"), a Tennessee limited liability company. MCPL is the investment manager of SVPL and has sole voting and investment power with respect to the shares held by SVPL. F2 · ownership.nature: These shares Class A Common Stock and Warrants, as applicable, are held of record by Maso Capital Investments Limited ("MCIL"), a Cayman Islands limited liability company. Maso Capital Partners Limited ("MCPL"), a Hong Kong limited liability company, is the investment manager of MCIL and has sole voting and investment power with respect to the shares held by MCIL. Read SEC document |
| July 29, 2022 Filed Aug 2, 2022 13:33 UTC |
MASO CAPITAL PARTNERS Ltd10% owner
BLACKWELL PARTNERS LLC - SERIES A10% owner
|
OtherClass A Common Stock | 5,616,683 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000950103-22-013519 · dp178254_4-maso.xml · nonDerivative · entry 8 Maso Capital Partners Ltd · CIK 0001698093 · 10% owner BLACKWELL PARTNERS LLC - SERIES A · CIK 0001426672 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Blackwell Partners LLC - Series A Disclosed balance after: 15,656,250 F6 · kind: Immediately prior to Closing, each of the applicable Reporting Persons received a distribution of shares of Class A Common Stock as Bonus Shares (as defined in the Business Combination Agreement) in connection with electing not to redeem outstanding shares of Class A Common Stock held by the Reporting Person, including with respect to any Backstop Shares issued to and held by the Reporting Person. F6 · price: Immediately prior to Closing, each of the applicable Reporting Persons received a distribution of shares of Class A Common Stock as Bonus Shares (as defined in the Business Combination Agreement) in connection with electing not to redeem outstanding shares of Class A Common Stock held by the Reporting Person, including with respect to any Backstop Shares issued to and held by the Reporting Person. F7 · ownership.nature: These shares of Class A Common Stock and Warrants, as applicable, are held of record by Blackwell Partners LLC - Series A ("BPL"), a Delaware limited liability company. MCPL is the investment manager of BPL and has sole voting and investment power with respect to the shares held by BPL. F2 · ownership.nature: These shares Class A Common Stock and Warrants, as applicable, are held of record by Maso Capital Investments Limited ("MCIL"), a Cayman Islands limited liability company. Maso Capital Partners Limited ("MCPL"), a Hong Kong limited liability company, is the investment manager of MCIL and has sole voting and investment power with respect to the shares held by MCIL. Read SEC document |
| July 29, 2022 Filed Aug 2, 2022 13:33 UTC |
MASO CAPITAL PARTNERS Ltd10% owner
BLACKWELL PARTNERS LLC - SERIES A10% owner
|
OtherClass A Common Stock | 7,643,194 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000950103-22-013519 · dp178254_4-maso.xml · nonDerivative · entry 7 Maso Capital Partners Ltd · CIK 0001698093 · 10% owner BLACKWELL PARTNERS LLC - SERIES A · CIK 0001426672 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Blackwell Partners LLC - Series A Disclosed balance after: 10,039,567 F5 · kind: Immediately prior to Closing (as defined in the Business Combination Agreement), each of the applicable Reporting Persons subscribed for shares of Class A Common Stock pursuant to the terms of the Backstop Agreement, dated as of November 7, 2021, by and among the Issuer and the Reporting Persons (the "Backstop Shares"). F5 · price: Immediately prior to Closing (as defined in the Business Combination Agreement), each of the applicable Reporting Persons subscribed for shares of Class A Common Stock pursuant to the terms of the Backstop Agreement, dated as of November 7, 2021, by and among the Issuer and the Reporting Persons (the "Backstop Shares"). F7 · ownership.nature: These shares of Class A Common Stock and Warrants, as applicable, are held of record by Blackwell Partners LLC - Series A ("BPL"), a Delaware limited liability company. MCPL is the investment manager of BPL and has sole voting and investment power with respect to the shares held by BPL. F2 · ownership.nature: These shares Class A Common Stock and Warrants, as applicable, are held of record by Maso Capital Investments Limited ("MCIL"), a Cayman Islands limited liability company. Maso Capital Partners Limited ("MCPL"), a Hong Kong limited liability company, is the investment manager of MCIL and has sole voting and investment power with respect to the shares held by MCIL. Read SEC document |
| July 29, 2022 Filed Aug 2, 2022 13:33 UTC |
MASO CAPITAL PARTNERS Ltd10% owner
BLACKWELL PARTNERS LLC - SERIES A10% owner
|
OtherClass A Common Stock | 210,373 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000950103-22-013519 · dp178254_4-maso.xml · nonDerivative · entry 6 Maso Capital Partners Ltd · CIK 0001698093 · 10% owner BLACKWELL PARTNERS LLC - SERIES A · CIK 0001426672 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Blackwell Partners LLC - Series A Disclosed balance after: 2,396,373 F4 · kind: Each of the Reporting Persons acquired shares of Class A Common Stock in exchange for convertible notes issued by Old FiscalNote (the "Convertible Notes") held by the Reporting Person in accordance with the terms of the Convertible Notes and the Business Combination Agreement. F4 · price: Each of the Reporting Persons acquired shares of Class A Common Stock in exchange for convertible notes issued by Old FiscalNote (the "Convertible Notes") held by the Reporting Person in accordance with the terms of the Convertible Notes and the Business Combination Agreement. F7 · ownership.nature: These shares of Class A Common Stock and Warrants, as applicable, are held of record by Blackwell Partners LLC - Series A ("BPL"), a Delaware limited liability company. MCPL is the investment manager of BPL and has sole voting and investment power with respect to the shares held by BPL. F2 · ownership.nature: These shares Class A Common Stock and Warrants, as applicable, are held of record by Maso Capital Investments Limited ("MCIL"), a Cayman Islands limited liability company. Maso Capital Partners Limited ("MCPL"), a Hong Kong limited liability company, is the investment manager of MCIL and has sole voting and investment power with respect to the shares held by MCIL. Read SEC document |
| July 29, 2022 Filed Aug 2, 2022 13:33 UTC |
MASO CAPITAL PARTNERS Ltd10% owner
BLACKWELL PARTNERS LLC - SERIES A10% owner
|
OtherClass A Common Stock | 2,186,000 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000950103-22-013519 · dp178254_4-maso.xml · nonDerivative · entry 5 Maso Capital Partners Ltd · CIK 0001698093 · 10% owner BLACKWELL PARTNERS LLC - SERIES A · CIK 0001426672 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Blackwell Partners LLC - Series A Disclosed balance after: 2,186,000 F1 · kind: These shares of Class A Common Stock were received on a one-for-one basis in exchange for the Class A ordinary shares held by the Reporting Persons concurrently with the consummation of the transactions contemplated by the Agreement and Plan of Merger, dated November 7, 2021, by and among Duddell Street Acquisition Corp. (now known as FiscalNote Holdings Inc., the "Issuer"), Grassroots Merger Sub, Inc., a wholly owned subsidiary of the Issuer ("Merger Sub"), and FiscalNote Holdings, Inc. ("Old FiscalNote") (as it may be amended and/or restated from time to time (the "Business Combination Agreement")). F1 · price: These shares of Class A Common Stock were received on a one-for-one basis in exchange for the Class A ordinary shares held by the Reporting Persons concurrently with the consummation of the transactions contemplated by the Agreement and Plan of Merger, dated November 7, 2021, by and among Duddell Street Acquisition Corp. (now known as FiscalNote Holdings Inc., the "Issuer"), Grassroots Merger Sub, Inc., a wholly owned subsidiary of the Issuer ("Merger Sub"), and FiscalNote Holdings, Inc. ("Old FiscalNote") (as it may be amended and/or restated from time to time (the "Business Combination Agreement")). F7 · ownership.nature: These shares of Class A Common Stock and Warrants, as applicable, are held of record by Blackwell Partners LLC - Series A ("BPL"), a Delaware limited liability company. MCPL is the investment manager of BPL and has sole voting and investment power with respect to the shares held by BPL. F2 · ownership.nature: These shares Class A Common Stock and Warrants, as applicable, are held of record by Maso Capital Investments Limited ("MCIL"), a Cayman Islands limited liability company. Maso Capital Partners Limited ("MCPL"), a Hong Kong limited liability company, is the investment manager of MCIL and has sole voting and investment power with respect to the shares held by MCIL. Read SEC document |
| July 29, 2022 Filed Aug 2, 2022 13:33 UTC |
MASO CAPITAL PARTNERS Ltd10% owner
BLACKWELL PARTNERS LLC - SERIES A10% owner
|
OtherClass A Common Stock | 982,445 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000950103-22-013519 · dp178254_4-maso.xml · nonDerivative · entry 4 Maso Capital Partners Ltd · CIK 0001698093 · 10% owner BLACKWELL PARTNERS LLC - SERIES A · CIK 0001426672 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Maso Capital Investments Limited Disclosed balance after: 2,776,855 F6 · kind: Immediately prior to Closing, each of the applicable Reporting Persons received a distribution of shares of Class A Common Stock as Bonus Shares (as defined in the Business Combination Agreement) in connection with electing not to redeem outstanding shares of Class A Common Stock held by the Reporting Person, including with respect to any Backstop Shares issued to and held by the Reporting Person. F6 · price: Immediately prior to Closing, each of the applicable Reporting Persons received a distribution of shares of Class A Common Stock as Bonus Shares (as defined in the Business Combination Agreement) in connection with electing not to redeem outstanding shares of Class A Common Stock held by the Reporting Person, including with respect to any Backstop Shares issued to and held by the Reporting Person. F2 · ownership.nature: These shares Class A Common Stock and Warrants, as applicable, are held of record by Maso Capital Investments Limited ("MCIL"), a Cayman Islands limited liability company. Maso Capital Partners Limited ("MCPL"), a Hong Kong limited liability company, is the investment manager of MCIL and has sole voting and investment power with respect to the shares held by MCIL. F3 · ownership.nature: MCPL is beneficially owned and controlled by Manoj Jain and Sohit Khurana, each of whom may be deemed to have beneficial ownership over these shares. Each such person disclaims any beneficial ownership of the reported shares other than to the extent of any pecuniary interest they may have therein, directly or indirectly. Read SEC document |
| July 29, 2022 Filed Aug 2, 2022 13:33 UTC |
MASO CAPITAL PARTNERS Ltd10% owner
BLACKWELL PARTNERS LLC - SERIES A10% owner
|
OtherClass A Common Stock | 941,277 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000950103-22-013519 · dp178254_4-maso.xml · nonDerivative · entry 3 Maso Capital Partners Ltd · CIK 0001698093 · 10% owner BLACKWELL PARTNERS LLC - SERIES A · CIK 0001426672 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Maso Capital Investments Limited Disclosed balance after: 1,794,410 F5 · kind: Immediately prior to Closing (as defined in the Business Combination Agreement), each of the applicable Reporting Persons subscribed for shares of Class A Common Stock pursuant to the terms of the Backstop Agreement, dated as of November 7, 2021, by and among the Issuer and the Reporting Persons (the "Backstop Shares"). F5 · price: Immediately prior to Closing (as defined in the Business Combination Agreement), each of the applicable Reporting Persons subscribed for shares of Class A Common Stock pursuant to the terms of the Backstop Agreement, dated as of November 7, 2021, by and among the Issuer and the Reporting Persons (the "Backstop Shares"). F2 · ownership.nature: These shares Class A Common Stock and Warrants, as applicable, are held of record by Maso Capital Investments Limited ("MCIL"), a Cayman Islands limited liability company. Maso Capital Partners Limited ("MCPL"), a Hong Kong limited liability company, is the investment manager of MCIL and has sole voting and investment power with respect to the shares held by MCIL. F3 · ownership.nature: MCPL is beneficially owned and controlled by Manoj Jain and Sohit Khurana, each of whom may be deemed to have beneficial ownership over these shares. Each such person disclaims any beneficial ownership of the reported shares other than to the extent of any pecuniary interest they may have therein, directly or indirectly. Read SEC document |
| July 29, 2022 Filed Aug 2, 2022 13:33 UTC |
MASO CAPITAL PARTNERS Ltd10% owner
BLACKWELL PARTNERS LLC - SERIES A10% owner
|
OtherClass A Common Stock | 75,133 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000950103-22-013519 · dp178254_4-maso.xml · nonDerivative · entry 2 Maso Capital Partners Ltd · CIK 0001698093 · 10% owner BLACKWELL PARTNERS LLC - SERIES A · CIK 0001426672 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Maso Capital Investments Limited Disclosed balance after: 853,133 F4 · kind: Each of the Reporting Persons acquired shares of Class A Common Stock in exchange for convertible notes issued by Old FiscalNote (the "Convertible Notes") held by the Reporting Person in accordance with the terms of the Convertible Notes and the Business Combination Agreement. F4 · price: Each of the Reporting Persons acquired shares of Class A Common Stock in exchange for convertible notes issued by Old FiscalNote (the "Convertible Notes") held by the Reporting Person in accordance with the terms of the Convertible Notes and the Business Combination Agreement. F2 · ownership.nature: These shares Class A Common Stock and Warrants, as applicable, are held of record by Maso Capital Investments Limited ("MCIL"), a Cayman Islands limited liability company. Maso Capital Partners Limited ("MCPL"), a Hong Kong limited liability company, is the investment manager of MCIL and has sole voting and investment power with respect to the shares held by MCIL. F3 · ownership.nature: MCPL is beneficially owned and controlled by Manoj Jain and Sohit Khurana, each of whom may be deemed to have beneficial ownership over these shares. Each such person disclaims any beneficial ownership of the reported shares other than to the extent of any pecuniary interest they may have therein, directly or indirectly. Read SEC document |
| July 29, 2022 Filed Aug 2, 2022 13:33 UTC |
MASO CAPITAL PARTNERS Ltd10% owner
BLACKWELL PARTNERS LLC - SERIES A10% owner
|
OtherClass A Common Stock | 778,000 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000950103-22-013519 · dp178254_4-maso.xml · nonDerivative · entry 1 Maso Capital Partners Ltd · CIK 0001698093 · 10% owner BLACKWELL PARTNERS LLC - SERIES A · CIK 0001426672 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Maso Capital Investments Limited Disclosed balance after: 778,000 F1 · kind: These shares of Class A Common Stock were received on a one-for-one basis in exchange for the Class A ordinary shares held by the Reporting Persons concurrently with the consummation of the transactions contemplated by the Agreement and Plan of Merger, dated November 7, 2021, by and among Duddell Street Acquisition Corp. (now known as FiscalNote Holdings Inc., the "Issuer"), Grassroots Merger Sub, Inc., a wholly owned subsidiary of the Issuer ("Merger Sub"), and FiscalNote Holdings, Inc. ("Old FiscalNote") (as it may be amended and/or restated from time to time (the "Business Combination Agreement")). F1 · price: These shares of Class A Common Stock were received on a one-for-one basis in exchange for the Class A ordinary shares held by the Reporting Persons concurrently with the consummation of the transactions contemplated by the Agreement and Plan of Merger, dated November 7, 2021, by and among Duddell Street Acquisition Corp. (now known as FiscalNote Holdings Inc., the "Issuer"), Grassroots Merger Sub, Inc., a wholly owned subsidiary of the Issuer ("Merger Sub"), and FiscalNote Holdings, Inc. ("Old FiscalNote") (as it may be amended and/or restated from time to time (the "Business Combination Agreement")). F2 · ownership.nature: These shares Class A Common Stock and Warrants, as applicable, are held of record by Maso Capital Investments Limited ("MCIL"), a Cayman Islands limited liability company. Maso Capital Partners Limited ("MCPL"), a Hong Kong limited liability company, is the investment manager of MCIL and has sole voting and investment power with respect to the shares held by MCIL. F3 · ownership.nature: MCPL is beneficially owned and controlled by Manoj Jain and Sohit Khurana, each of whom may be deemed to have beneficial ownership over these shares. Each such person disclaims any beneficial ownership of the reported shares other than to the extent of any pecuniary interest they may have therein, directly or indirectly. Read SEC document |
| July 29, 2022 Filed Aug 3, 2022 00:20 UTC |
CALLAHAN MICHAEL JOHNDirector
|
GrantNon-qualified stock options · Derivative | 59,350 | Not disclosed Strike: $1.47 | Not disclosed |
DisclosureSEC source: 0000899243-22-027489 · doc4.xml · derivative · entry 2 CALLAHAN MICHAEL JOHN · CIK 0001262742 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 59,350 Underlying: Class A Common Stock · 59,350 shares Expires 2027-05-12 F1 · shares: These securities were issued on the closing date of the merger (the "Business Combination") contemplated by the Agreement and Plan or Merger, dated as of November 7, 2021, as amended by the First Amendment to Agreement and Plan of Merger, dated as of May 9, 2022 (the "Merger Agreement"), by and among FiscalNote Holdings, Inc. (f/k/a Duddell Street Acquisition Corp.) ("DSAC"), Grassroots Merger Sub, Inc., a Delaware corporation and wholly owned subsidiary of DSAC, and FiscalNote Intermediate Holdco, Inc. (f/k/a FiscalNote Holdings, Inc.), a Delaware corporation ("Legacy FiscalNote"), in exchange for Legacy FiscalNote securities. F5 · price: Received in the Business Combination in exchange for 50,000 non-qualified stock options of Legacy FiscalNote. F4 · derivative.exercise_date: These stock options are fully vested and are currently exercisable at any time. Read SEC document |
| July 29, 2022 Filed Aug 3, 2022 00:20 UTC |
CALLAHAN MICHAEL JOHNDirector
|
GrantClass A Common Stock | 29,675 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-22-027489 · doc4.xml · nonDerivative · entry 1 CALLAHAN MICHAEL JOHN · CIK 0001262742 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 29,675 F1 · shares: These securities were issued on the closing date of the merger (the "Business Combination") contemplated by the Agreement and Plan or Merger, dated as of November 7, 2021, as amended by the First Amendment to Agreement and Plan of Merger, dated as of May 9, 2022 (the "Merger Agreement"), by and among FiscalNote Holdings, Inc. (f/k/a Duddell Street Acquisition Corp.) ("DSAC"), Grassroots Merger Sub, Inc., a Delaware corporation and wholly owned subsidiary of DSAC, and FiscalNote Intermediate Holdco, Inc. (f/k/a FiscalNote Holdings, Inc.), a Delaware corporation ("Legacy FiscalNote"), in exchange for Legacy FiscalNote securities. F2 · price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of Class A Common Stock. The RSUs were granted with both (a) an event-based vesting condition and (b) a service-based vesting condition, both of which must be satisfied in order for the RSUs to vest. The event-based vesting condition was satisfied on August 1, 2022, the first trading date of the Issuer's securities on the New York Stock Exchange. The service-based condition will be satisfied as to 50% of the total number of RSUs on the first anniversary of the vesting commencement date, and as to an additional 1/24th of the total number of RSUs on the corresponding day of each month following the first anniversary of the vesting commencement date (and, if there is no corresponding day, the last day of the month) until the second anniversary of the vesting commencement date. The vesting commencement date is May 1, 2019. F3 · price: Received in the Business Combination in exchange for 25,000 restricted stock units of Legacy FiscalNote. Read SEC document |
| July 29, 2022 Filed Aug 2, 2022 20:22 UTC |
McChrystal Stanley ADirector
|
GrantClass A Common Stock | 59,350 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-22-027494 · doc4.xml · nonDerivative · entry 2 McChrystal Stanley A · CIK 0001505957 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 59,350 F1 · shares: These securities were issued on the closing date of the merger (the Business Combination") contemplated by the Agreement and Plan or Merger, dated as of November 7, 2021, as amended by the First Amendment to Agreement and Plan of Merger, dated as of May 9, 2022 (the "Merger Agreement"), by and among FiscalNote Holdings, Inc. (f/k/a Duddell Street Acquisition Corp.) ("DSAC"), Grassroots Merger Sub, Inc., a Delaware corporation and wholly owned subsidiary of DSAC, and FiscalNote Intermediate Holdco, Inc. (f/k/a FiscalNote Holdings, Inc.), a Delaware corporation ("Legacy FiscalNote"), in exchange for Legacy FiscalNote securities. F3 · price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of Class A Common Stock. The RSUs were granted with both (a) an event-based vesting condition and (b) a service-based vesting condition, both of which must be satisfied in order for the RSUs to vest. The event-based vesting condition was satisfied on August 1, 2022, the first trading date of the Issuer's securities on the New York Stock Exchange. The service-based condition will be satisfied as to 25% of the total number of RSUs on the first anniversary of the vesting commencement date and as to an additional 1/48th of the total number of RSUs on the corresponding day of each month following the first anniversary of the vesting commencement date (and, if there is no corresponding day, the last day of the month) until the fourth anniversary of the vesting commencement date. The vesting commencement date is November 6, 2017. F4 · price: Received in the Business Combination in exchange for 50,000 restricted stock units of Legacy FiscalNote. Read SEC document |
| July 29, 2022 Filed Aug 2, 2022 20:22 UTC |
McChrystal Stanley ADirector
|
GrantClass A Common Stock | 71,220 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-22-027494 · doc4.xml · nonDerivative · entry 1 McChrystal Stanley A · CIK 0001505957 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 71,220 F1 · shares: These securities were issued on the closing date of the merger (the Business Combination") contemplated by the Agreement and Plan or Merger, dated as of November 7, 2021, as amended by the First Amendment to Agreement and Plan of Merger, dated as of May 9, 2022 (the "Merger Agreement"), by and among FiscalNote Holdings, Inc. (f/k/a Duddell Street Acquisition Corp.) ("DSAC"), Grassroots Merger Sub, Inc., a Delaware corporation and wholly owned subsidiary of DSAC, and FiscalNote Intermediate Holdco, Inc. (f/k/a FiscalNote Holdings, Inc.), a Delaware corporation ("Legacy FiscalNote"), in exchange for Legacy FiscalNote securities. F2 · price: Received in the Business Combination in exchange for 60,000 shares of Class A Common Stock of Legacy FiscalNote. Read SEC document |
| July 29, 2022 Filed Aug 3, 2022 00:25 UTC |
Fawell ReedSee Remarks
|
GrantIncentive Stock Options · Derivative | 23,502 | Not disclosed Strike: $8.39 | Not disclosed |
DisclosureSEC source: 0000899243-22-027499 · doc4.xml · derivative · entry 5 Fawell Reed · CIK 0001937662 · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 23,502 Underlying: Class A Common Stock · 23,502 shares Expires 2031-12-22 F1 · shares: These securities were issued on the closing date of the merger (the "Business Combination") contemplated by the Agreement and Plan or Merger, dated as of November 7, 2021, as amended by the First Amendment to Agreement and Plan of Merger, dated as of May 9, 2022 (the "Merger Agreement"), by and among FiscalNote Holdings, Inc. (f/k/a Duddell Street Acquisition Corp.) ("DSAC"), Grassroots Merger Sub, Inc., a Delaware corporation and wholly owned subsidiary of DSAC, and FiscalNote Intermediate Holdco, Inc. (f/k/a FiscalNote Holdings, Inc.), a Delaware corporation ("Legacy FiscalNote"), in exchange for Legacy FiscalNote securities. F11 · price: Received in the Business Combination in exchange for 19,800 ISOs of Legacy FiscalNote. F10 · derivative.exercise_date: The ISOs were granted with both (a) an event-based vesting condition and (b) a service-based vesting condition, both of which must be satisfied in order for the ISOs to vest and become exercisable prior to the expiration date. The event-based vesting condition was satisfied on August 1, 2022, the first trading date of the Issuer's securities on the New York Stock Exchange. The service-based condition will be satisfied as to 25% of the total number of ISOs on the first anniversary of the vesting commencement date, and as to an additional 6.25% of the total number of shares subject to the ISOs on the corresponding day of each quarter thereafter following the first anniversary of the vesting commencement date (and, if there is no corresponding day, the last day of such month). The vesting commencement date is November 7, 2021. Read SEC document |
| July 29, 2022 Filed Aug 3, 2022 00:25 UTC |
Fawell ReedSee Remarks
|
GrantIncentive Stock Options · Derivative | 53,415 | Not disclosed Strike: $1.49 | Not disclosed |
DisclosureSEC source: 0000899243-22-027499 · doc4.xml · derivative · entry 4 Fawell Reed · CIK 0001937662 · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 53,415 Underlying: Class A Common Stock · 53,415 shares Expires 2028-06-17 F1 · shares: These securities were issued on the closing date of the merger (the "Business Combination") contemplated by the Agreement and Plan or Merger, dated as of November 7, 2021, as amended by the First Amendment to Agreement and Plan of Merger, dated as of May 9, 2022 (the "Merger Agreement"), by and among FiscalNote Holdings, Inc. (f/k/a Duddell Street Acquisition Corp.) ("DSAC"), Grassroots Merger Sub, Inc., a Delaware corporation and wholly owned subsidiary of DSAC, and FiscalNote Intermediate Holdco, Inc. (f/k/a FiscalNote Holdings, Inc.), a Delaware corporation ("Legacy FiscalNote"), in exchange for Legacy FiscalNote securities. F9 · price: Received in the Business Combination in exchange for 45,000 ISOs of Legacy FiscalNote. F8 · derivative.exercise_date: These ISOs are fully vested and are currently exercisable at any time. Read SEC document |
| July 29, 2022 Filed Aug 3, 2022 00:25 UTC |
Fawell ReedSee Remarks
|
GrantIncentive Stock Options · Derivative | 89,025 | Not disclosed Strike: $2.43 | Not disclosed |
DisclosureSEC source: 0000899243-22-027499 · doc4.xml · derivative · entry 3 Fawell Reed · CIK 0001937662 · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 89,025 Underlying: Class A Common Stock · 89,025 shares Expires 2030-07-28 F1 · shares: These securities were issued on the closing date of the merger (the "Business Combination") contemplated by the Agreement and Plan or Merger, dated as of November 7, 2021, as amended by the First Amendment to Agreement and Plan of Merger, dated as of May 9, 2022 (the "Merger Agreement"), by and among FiscalNote Holdings, Inc. (f/k/a Duddell Street Acquisition Corp.) ("DSAC"), Grassroots Merger Sub, Inc., a Delaware corporation and wholly owned subsidiary of DSAC, and FiscalNote Intermediate Holdco, Inc. (f/k/a FiscalNote Holdings, Inc.), a Delaware corporation ("Legacy FiscalNote"), in exchange for Legacy FiscalNote securities. F7 · price: Received in the Business Combination in exchange for 75,000 ISOs of Legacy FiscalNote. F6 · derivative.exercise_date: The ISOs vest over a four-year period as follows: (i) 10% of the underlying shares vest on the first anniversary of the vesting commencement date, (ii) 5% of the underlying shares vest on the corresponding day of each quarter during the second year and (iii) 8.75% of the underlying shares vest on the corresponding day of each quarter during the third and fourth years, subject to the Reporting Person's continuous employment through such date. If there is no corresponding day, the vesting will occur on the last day of such month. The vesting commencement date is April 23, 2020. Read SEC document |
| July 29, 2022 Filed Aug 3, 2022 00:25 UTC |
Fawell ReedSee Remarks
|
GrantIncentive Stock Options · Derivative | 23,740 | Not disclosed Strike: $2.23 | Not disclosed |
DisclosureSEC source: 0000899243-22-027499 · doc4.xml · derivative · entry 2 Fawell Reed · CIK 0001937662 · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 23,740 Underlying: Class A Common Stock · 23,740 shares Expires 2029-05-01 F1 · shares: These securities were issued on the closing date of the merger (the "Business Combination") contemplated by the Agreement and Plan or Merger, dated as of November 7, 2021, as amended by the First Amendment to Agreement and Plan of Merger, dated as of May 9, 2022 (the "Merger Agreement"), by and among FiscalNote Holdings, Inc. (f/k/a Duddell Street Acquisition Corp.) ("DSAC"), Grassroots Merger Sub, Inc., a Delaware corporation and wholly owned subsidiary of DSAC, and FiscalNote Intermediate Holdco, Inc. (f/k/a FiscalNote Holdings, Inc.), a Delaware corporation ("Legacy FiscalNote"), in exchange for Legacy FiscalNote securities. F5 · price: Received in the Business Combination in exchange for 20,000 ISOs of Legacy FiscalNote. F4 · derivative.exercise_date: The incentive stock options ("ISOs") vest over a four-year period as follows: (i) 10% of the underlying shares vest on the first anniversary of the vesting commencement date, (ii) 5% of the underlying shares vest on the corresponding day of each quarter during the second year and (iii) 8.75% of the underlying shares vest on the corresponding day of each quarter during the third and fourth years, subject to the Reporting Person's continuous employment through such date. If there is no corresponding day, the vesting will occur on the last day of such month. The vesting commencement date is January 1, 2019. Read SEC document |
| July 29, 2022 Filed Aug 3, 2022 00:25 UTC |
Fawell ReedSee Remarks
|
GrantClass A Common Stock | 70,507 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-22-027499 · doc4.xml · nonDerivative · entry 1 Fawell Reed · CIK 0001937662 · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 70,507 F1 · shares: These securities were issued on the closing date of the merger (the "Business Combination") contemplated by the Agreement and Plan or Merger, dated as of November 7, 2021, as amended by the First Amendment to Agreement and Plan of Merger, dated as of May 9, 2022 (the "Merger Agreement"), by and among FiscalNote Holdings, Inc. (f/k/a Duddell Street Acquisition Corp.) ("DSAC"), Grassroots Merger Sub, Inc., a Delaware corporation and wholly owned subsidiary of DSAC, and FiscalNote Intermediate Holdco, Inc. (f/k/a FiscalNote Holdings, Inc.), a Delaware corporation ("Legacy FiscalNote"), in exchange for Legacy FiscalNote securities. F2 · price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of Class A Common Stock. The RSUs were granted with both (a) an event-based vesting condition and (b) a service-based vesting condition, both of which must be satisfied in order for the RSUs to vest and become exercisable prior to the expiration date. The event-based vesting condition was satisfied on August 1, 2022, the first trading date of the Issuer's securities on the New York Stock Exchange. The service-based condition will be satisfied as to one-third of the total number of RSUs on the first anniversary of the vesting commencement date, and as to an additional one-thirty-sixth (1/36) of the total number of RSUs on the corresponding day of each month thereafter following the first anniversary of the vesting commencement date (and, if there is no corresponding day, the last day of such month). The vesting commencement date is November 7, 2021. F3 · price: Received in the Business Combination in exchange for 59,400 RSUs of Legacy FiscalNote. Read SEC document |
| July 29, 2022 Filed Aug 3, 2022 00:23 UTC |
Yao GeraldDirector · See Remarks
|
GrantIncentive Stock Options · Derivative | 32,903 | Not disclosed Strike: $8.39 | Not disclosed |
DisclosureSEC source: 0000899243-22-027497 · doc4.xml · derivative · entry 5 Yao Gerald · CIK 0001937749 · Director · See Remarks 10b5-1 filing: Not disclosed Ownership: Indirect · Gerald Yao Revocable Trust, dated January 10, 2019 Disclosed balance after: 32,903 Underlying: Class A Common Stock · 32,903 shares Expires 2031-12-22 F1 · shares: These securities were issued on the closing date of the merger (the "Business Combination") contemplated by the Agreement and Plan or Merger, dated as of November 7, 2021, as amended by the First Amendment to Agreement and Plan of Merger, dated as of May 9, 2022 (the "Merger Agreement"), by and among FiscalNote Holdings, Inc. (f/k/a Duddell Street Acquisition Corp.) ("DSAC"), Grassroots Merger Sub, Inc., a Delaware corporation and wholly owned subsidiary of DSAC, and FiscalNote Intermediate Holdco, Inc. (f/k/a FiscalNote Holdings, Inc.), a Delaware corporation ("Legacy FiscalNote"), in exchange for Legacy FiscalNote securities. F11 · price: Received in the Business Combination in exchange for 27,720 ISOs of Legacy FiscalNote. F10 · derivative.exercise_date: The ISOs were granted with both (a) an event-based vesting condition and (b) a service-based vesting condition, both of which must be satisfied in order for the ISOs to vest and become exercisable prior to the expiration date. The event-based vesting condition was satisfied on August 1, 2022, the first trading date of the Issuer's securities on the New York Stock Exchange. The service-based condition will be satisfied as to 25% of the total number of ISOs on the first anniversary of the vesting commencement date, and as to an additional 6.25% of the total number of shares subject to the ISOs on the corresponding day of each quarter thereafter following the first anniversary of the vesting commencement date (and, if there is no corresponding day, the last day of such month). The vesting commencement date is November 7, 2021. F6 · ownership.nature: The Reporting Person is trustee of this trust. Read SEC document |
| July 29, 2022 Filed Aug 3, 2022 00:23 UTC |
Yao GeraldDirector · See Remarks
|
GrantIncentive Stock Options · Derivative | 106,830 | Not disclosed Strike: $2.43 | Not disclosed |
DisclosureSEC source: 0000899243-22-027497 · doc4.xml · derivative · entry 4 Yao Gerald · CIK 0001937749 · Director · See Remarks 10b5-1 filing: Not disclosed Ownership: Indirect · Gerald Yao Revocable Trust, dated January 10, 2019 Disclosed balance after: 106,830 Underlying: Class A Common Stock · 106,830 shares Expires 2030-07-28 F1 · shares: These securities were issued on the closing date of the merger (the "Business Combination") contemplated by the Agreement and Plan or Merger, dated as of November 7, 2021, as amended by the First Amendment to Agreement and Plan of Merger, dated as of May 9, 2022 (the "Merger Agreement"), by and among FiscalNote Holdings, Inc. (f/k/a Duddell Street Acquisition Corp.) ("DSAC"), Grassroots Merger Sub, Inc., a Delaware corporation and wholly owned subsidiary of DSAC, and FiscalNote Intermediate Holdco, Inc. (f/k/a FiscalNote Holdings, Inc.), a Delaware corporation ("Legacy FiscalNote"), in exchange for Legacy FiscalNote securities. F9 · price: Received in the Business Combination in exchange for 90,000 ISOs of Legacy FiscalNote. F8 · derivative.exercise_date: The incentive stock options ("ISOs") vest over a four-year period as follows: (i) 10% of the underlying shares vest on the first anniversary of the vesting commencement date, (ii) 5% of the underlying shares vest on the corresponding day of each quarter during the second year and (iii) 8.75% of the underlying shares vest on the corresponding day of each quarter during the third and fourth years, subject to the Reporting Person's continuous employment through such date. If there is no corresponding day, the vesting will occur on the last day of such month. The vesting commencement date is April 23, 2020. F6 · ownership.nature: The Reporting Person is trustee of this trust. Read SEC document |
| July 29, 2022 Filed Aug 3, 2022 00:23 UTC |
Yao GeraldDirector · See Remarks
|
GrantClass B Common Stock · Derivative | 83,090 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-22-027497 · doc4.xml · derivative · entry 3 Yao Gerald · CIK 0001937749 · Director · See Remarks 10b5-1 filing: Not disclosed Ownership: Indirect · Gerald Yao 2021 GRAT Disclosed balance after: 83,090 Underlying: Class A Common Stock · 83,090 shares Expires 2029-07-29 F4 · derivative.exercise_price: Shares of the Class B Common Stock is convertible into shares of Class A Common Stock on a one-for-one basis at any time, and will be automatically converted into an equal number of shares of Class A Common Stock upon the occurrence of certain events as set forth in Issuer's Certificate of Incorporation. F1 · shares: These securities were issued on the closing date of the merger (the "Business Combination") contemplated by the Agreement and Plan or Merger, dated as of November 7, 2021, as amended by the First Amendment to Agreement and Plan of Merger, dated as of May 9, 2022 (the "Merger Agreement"), by and among FiscalNote Holdings, Inc. (f/k/a Duddell Street Acquisition Corp.) ("DSAC"), Grassroots Merger Sub, Inc., a Delaware corporation and wholly owned subsidiary of DSAC, and FiscalNote Intermediate Holdco, Inc. (f/k/a FiscalNote Holdings, Inc.), a Delaware corporation ("Legacy FiscalNote"), in exchange for Legacy FiscalNote securities. F7 · price: Received in the Business Combination in exchange for 70,000 shares of Class B common stock of Legacy FiscalNote. F4 · derivative.exercise_date: Shares of the Class B Common Stock is convertible into shares of Class A Common Stock on a one-for-one basis at any time, and will be automatically converted into an equal number of shares of Class A Common Stock upon the occurrence of certain events as set forth in Issuer's Certificate of Incorporation. F6 · ownership.nature: The Reporting Person is trustee of this trust. Read SEC document |
| July 29, 2022 Filed Aug 3, 2022 00:23 UTC |
Yao GeraldDirector · See Remarks
|
GrantClass B Common Stock · Derivative | 1,099,208 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-22-027497 · doc4.xml · derivative · entry 2 Yao Gerald · CIK 0001937749 · Director · See Remarks 10b5-1 filing: Not disclosed Ownership: Indirect · Gerald Yao Revocable Trust, dated January 10, 2019 Disclosed balance after: 1,099,208 Underlying: Class A Common Stock · 1,099,208 shares Expires 2029-07-29 F4 · derivative.exercise_price: Shares of the Class B Common Stock is convertible into shares of Class A Common Stock on a one-for-one basis at any time, and will be automatically converted into an equal number of shares of Class A Common Stock upon the occurrence of certain events as set forth in Issuer's Certificate of Incorporation. F1 · shares: These securities were issued on the closing date of the merger (the "Business Combination") contemplated by the Agreement and Plan or Merger, dated as of November 7, 2021, as amended by the First Amendment to Agreement and Plan of Merger, dated as of May 9, 2022 (the "Merger Agreement"), by and among FiscalNote Holdings, Inc. (f/k/a Duddell Street Acquisition Corp.) ("DSAC"), Grassroots Merger Sub, Inc., a Delaware corporation and wholly owned subsidiary of DSAC, and FiscalNote Intermediate Holdco, Inc. (f/k/a FiscalNote Holdings, Inc.), a Delaware corporation ("Legacy FiscalNote"), in exchange for Legacy FiscalNote securities. F5 · price: Received in the Business Combination in exchange for 926,038 shares of Class B common stock of Legacy FiscalNote. F4 · derivative.exercise_date: Shares of the Class B Common Stock is convertible into shares of Class A Common Stock on a one-for-one basis at any time, and will be automatically converted into an equal number of shares of Class A Common Stock upon the occurrence of certain events as set forth in Issuer's Certificate of Incorporation. F6 · ownership.nature: The Reporting Person is trustee of this trust. Read SEC document |
| July 29, 2022 Filed Aug 3, 2022 00:23 UTC |
Yao GeraldDirector · See Remarks
|
GrantClass A Common Stock | 98,710 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-22-027497 · doc4.xml · nonDerivative · entry 1 Yao Gerald · CIK 0001937749 · Director · See Remarks 10b5-1 filing: Not disclosed Ownership: Indirect · Gerald Yao Revocable Trust, dated January 10, 2019 Disclosed balance after: 98,710 F1 · shares: These securities were issued on the closing date of the merger (the "Business Combination") contemplated by the Agreement and Plan or Merger, dated as of November 7, 2021, as amended by the First Amendment to Agreement and Plan of Merger, dated as of May 9, 2022 (the "Merger Agreement"), by and among FiscalNote Holdings, Inc. (f/k/a Duddell Street Acquisition Corp.) ("DSAC"), Grassroots Merger Sub, Inc., a Delaware corporation and wholly owned subsidiary of DSAC, and FiscalNote Intermediate Holdco, Inc. (f/k/a FiscalNote Holdings, Inc.), a Delaware corporation ("Legacy FiscalNote"), in exchange for Legacy FiscalNote securities. F2 · price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of Class A Common Stock. The RSUs were granted with both (a) an event-based vesting condition and (b) a service-based vesting condition, both of which must be satisfied in order for the RSUs to vest and become exercisable prior to the expiration date. The event-based vesting condition was satisfied on August 1, 2022, the first trading date of the Issuer's securities on the New York Stock Exchange. The service-based condition will be satisfied as to one-third of the total number of RSUs on the first anniversary of the vesting commencement date, and as to an additional one-thirty-sixth (1/36) of the total number of RSUs on the corresponding day of each month thereafter following the first anniversary of the vesting commencement date (and, if there is no corresponding day, the last day of such month). The vesting commencement date is November 7, 2021. F3 · price: Received in the Business Combination in exchange for 83,160 RSUs of Legacy FiscalNote. F6 · ownership.nature: The Reporting Person is trustee of this trust. Read SEC document |
| July 29, 2022 Filed Aug 3, 2022 00:23 UTC |
Slabaugh JonSee Remarks
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GrantIncentive Stock Options · Derivative | 20,564 | Not disclosed Strike: $8.39 | Not disclosed |
DisclosureSEC source: 0000899243-22-027496 · doc4.xml · derivative · entry 4 Slabaugh Jon · CIK 0001937751 · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,564 Underlying: Class A Common Stock · 20,564 shares Expires 2031-12-22 F1 · shares: These securities were issued on the closing date of the merger (the "Business Combination") contemplated by the Agreement and Plan or Merger, dated as of November 7, 2021, as amended by the First Amendment to Agreement and Plan of Merger, dated as of May 9, 2022 (the "Merger Agreement"), by and among FiscalNote Holdings, Inc. (f/k/a Duddell Street Acquisition Corp.) ("DSAC"), Grassroots Merger Sub, Inc., a Delaware corporation and wholly owned subsidiary of DSAC, and FiscalNote Intermediate Holdco, Inc. (f/k/a FiscalNote Holdings, Inc.), a Delaware corporation ("Legacy FiscalNote"), in exchange for Legacy FiscalNote securities. F10 · price: Received in the Business Combination in exchange for 17,325 ISOs of Legacy FiscalNote. F9 · derivative.exercise_date: The ISOs were granted with both (a) an event-based vesting condition and (b) a service-based vesting condition, both of which must be satisfied in order for the ISOs to vest and become exercisable prior to the expiration date. The event-based vesting condition was satisfied on August 1, 2022, the first trading date of the Issuer's securities on the New York Stock Exchange. The service-based condition will be satisfied as to 25% of the total number of ISOs on the first anniversary of the vesting commencement date, and as to an additional 6.25% of the total number of shares subject to the ISOs on the corresponding day of each quarter thereafter following the first anniversary of the vesting commencement date (and, if there is no corresponding day, the last day of such month). The vesting commencement date is November 7, 2021. Read SEC document |
| July 29, 2022 Filed Aug 3, 2022 00:23 UTC |
Slabaugh JonSee Remarks
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GrantIncentive Stock Options · Derivative | 29,675 | Not disclosed Strike: $6.56 | Not disclosed |
DisclosureSEC source: 0000899243-22-027496 · doc4.xml · derivative · entry 3 Slabaugh Jon · CIK 0001937751 · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 29,675 Underlying: Class A Common Stock · 29,675 shares Expires 2031-07-28 F1 · shares: These securities were issued on the closing date of the merger (the "Business Combination") contemplated by the Agreement and Plan or Merger, dated as of November 7, 2021, as amended by the First Amendment to Agreement and Plan of Merger, dated as of May 9, 2022 (the "Merger Agreement"), by and among FiscalNote Holdings, Inc. (f/k/a Duddell Street Acquisition Corp.) ("DSAC"), Grassroots Merger Sub, Inc., a Delaware corporation and wholly owned subsidiary of DSAC, and FiscalNote Intermediate Holdco, Inc. (f/k/a FiscalNote Holdings, Inc.), a Delaware corporation ("Legacy FiscalNote"), in exchange for Legacy FiscalNote securities. F8 · price: Received in the Business Combination in exchange for 25,000 ISOs of Legacy FiscalNote. F4 · derivative.exercise_date: The incentive stock options ("ISOs") vest over a four-year period as follows: (i) 10% of the underlying shares vest on the first anniversary of the vesting commencement date, (ii) 5% of the underlying shares vest on the corresponding day of each quarter during the second year and (iii) 8.75% of the underlying shares vest on the corresponding day of each quarter during the third and fourth years, subject to the Reporting Person's continuous employment through such date. If there is no corresponding day, the vesting will occur on the last day of such month. F6 · derivative.exercise_date: The vesting commencement date is July 12, 2021. Read SEC document |
| July 29, 2022 Filed Aug 3, 2022 00:23 UTC |
Slabaugh JonSee Remarks
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GrantIncentive Stock Options · Derivative | 130,570 | Not disclosed Strike: $2.42 | Not disclosed |
DisclosureSEC source: 0000899243-22-027496 · doc4.xml · derivative · entry 2 Slabaugh Jon · CIK 0001937751 · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 130,750 Underlying: Class A Common Stock · 130,570 shares Expires 2030-01-20 F1 · shares: These securities were issued on the closing date of the merger (the "Business Combination") contemplated by the Agreement and Plan or Merger, dated as of November 7, 2021, as amended by the First Amendment to Agreement and Plan of Merger, dated as of May 9, 2022 (the "Merger Agreement"), by and among FiscalNote Holdings, Inc. (f/k/a Duddell Street Acquisition Corp.) ("DSAC"), Grassroots Merger Sub, Inc., a Delaware corporation and wholly owned subsidiary of DSAC, and FiscalNote Intermediate Holdco, Inc. (f/k/a FiscalNote Holdings, Inc.), a Delaware corporation ("Legacy FiscalNote"), in exchange for Legacy FiscalNote securities. F7 · price: Received in the Business Combination in exchange for 110,000 ISOs of Legacy FiscalNote. F4 · derivative.exercise_date: The incentive stock options ("ISOs") vest over a four-year period as follows: (i) 10% of the underlying shares vest on the first anniversary of the vesting commencement date, (ii) 5% of the underlying shares vest on the corresponding day of each quarter during the second year and (iii) 8.75% of the underlying shares vest on the corresponding day of each quarter during the third and fourth years, subject to the Reporting Person's continuous employment through such date. If there is no corresponding day, the vesting will occur on the last day of such month. F5 · derivative.exercise_date: The vesting commencement date is November 4, 2019. Read SEC document |
| July 29, 2022 Filed Aug 3, 2022 00:23 UTC |
Slabaugh JonSee Remarks
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GrantClass A Common Stock | 61,694 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-22-027496 · doc4.xml · nonDerivative · entry 1 Slabaugh Jon · CIK 0001937751 · See Remarks 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 61,694 F1 · shares: These securities were issued on the closing date of the merger (the "Business Combination") contemplated by the Agreement and Plan or Merger, dated as of November 7, 2021, as amended by the First Amendment to Agreement and Plan of Merger, dated as of May 9, 2022 (the "Merger Agreement"), by and among FiscalNote Holdings, Inc. (f/k/a Duddell Street Acquisition Corp.) ("DSAC"), Grassroots Merger Sub, Inc., a Delaware corporation and wholly owned subsidiary of DSAC, and FiscalNote Intermediate Holdco, Inc. (f/k/a FiscalNote Holdings, Inc.), a Delaware corporation ("Legacy FiscalNote"), in exchange for Legacy FiscalNote securities. F2 · price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of Class A Common Stock. The RSUs were granted with both (a) an event-based vesting condition and (b) a service-based vesting condition, both of which must be satisfied in order for the ISOs to vest and become exercisable prior to the expiration date. The event-based vesting condition was satisfied on August 1, 2022, the first trading date of the Issuer's securities on the New York Stock Exchange. The service-based condition will be satisfied as to one-third of the total number of restricted stock units on the first anniversary of the vesting commencement date, and as to an additional one-thirty-sixth (1/36) of the total number of RSUs on the corresponding day of each month thereafter following the first anniversary of the vesting commencement date (and, if there is no corresponding day, the last day of such month). The vesting commencement date is November 7, 2021. F3 · price: Received in the Business Combination in exchange for 51,975 RSUs of Legacy FiscalNote. Read SEC document |
| July 29, 2022 Filed Aug 3, 2022 00:21 UTC |
Hwang TimDirector · See Remarks
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GrantNonstatutory Stock Options (Right to Buy) · Derivative | 866,510 | Not disclosed Strike: $3.62 | Not disclosed |
DisclosureSEC source: 0000899243-22-027491 · doc4.xml · derivative · entry 4 Hwang Tim · CIK 0001937743 · Director · See Remarks 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 866,510 Underlying: Class A Common Stock · 866,510 shares Expires 2026-05-30 F1 · shares: These securities were issued on the closing date of the merger (the "Business Combination") contemplated by the Agreement and Plan or Merger, dated as of November 7, 2021, as amended by the First Amendment to Agreement and Plan of Merger, dated as of May 9, 2022 (the "Merger Agreement"), by and among FiscalNote Holdings, Inc. (f/k/a Duddell Street Acquisition Corp.) ("DSAC"), Grassroots Merger Sub, Inc., a Delaware corporation and wholly owned subsidiary of DSAC, and FiscalNote Intermediate Holdco, Inc. (f/k/a FiscalNote Holdings, Inc.), a Delaware corporation ("Legacy FiscalNote"), in exchange for Legacy FiscalNote securities. F10 · price: Received in the Business Combination in exchange for 730,000 shares of NSOs of Legacy FiscalNote. F9 · derivative.exercise_date: 100% of the shares subject to the NSOs vested on August 1, 2022, the first trading date of the Issuer's securities on the New York Stock Exchange with a minimum price of $7.26 per share. F4 · ownership.nature: These securities are beneficially owned by Timothy T. Hwang, as Trustee of the Timothy T. Hwang Revocable Trust, originally dated January 10, 2019. The Reporting Person is trustee of this trust. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.