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FiscalNote Holdings, Inc.

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8522
SEC CIK
0001823466
Parsed reports
443

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
MonthPurchasesSales
Nov 202502
Dec 202502
Jan 202602
Feb 202602
Mar 202600
Apr 202600
May 202600
Jun 202600
Jul 202600
Aug 202600
Sep 202600
Oct 202600

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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 dateOwner / reported roleActivity / securityShares / unitsReported priceReported valueDetails
July 29, 2022 Filed Aug 3, 2022 00:21 UTC
Hwang TimDirector · See Remarks
GrantNonstatutory Stock Options (Right to Buy) · Derivative 1,110,438 Not disclosed Strike: $1.49 Not disclosed
Disclosure

SEC source: 0000899243-22-027491 · doc4.xml · derivative · entry 3

Hwang Tim · CIK 0001937743 · Director · See Remarks

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 1,110,438

Underlying: Class A Common Stock · 1,110,438 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.

F8 · price: Received in the Business Combination in exchange for 935,500 shares of NSOs of Legacy FiscalNote.

F7 · derivative.exercise_date: These NSOs are fully vested and are currently exercisable at any time.

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
July 29, 2022 Filed Aug 3, 2022 00:21 UTC
Hwang TimDirector · See Remarks
GrantNonstatutory Stock Options (Right to Buy) · Derivative 296,750 Not disclosed Strike: $2.43 Not disclosed
Disclosure

SEC source: 0000899243-22-027491 · doc4.xml · derivative · entry 2

Hwang Tim · CIK 0001937743 · Director · See Remarks

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 296,750

Underlying: Class A Common Stock · 296,750 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.

F6 · price: Received in the Business Combination in exchange for 250,000 shares of NSOs of Legacy FiscalNote.

F5 · derivative.exercise_date: The nonstatutory stock options ("NSOs") 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, 2020.

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
July 29, 2022 Filed Aug 3, 2022 00:21 UTC
Hwang TimDirector · See Remarks
GrantClass B Common Stock · Derivative 7,108,624 Not disclosed Not disclosed
Disclosure

SEC source: 0000899243-22-027491 · doc4.xml · derivative · entry 1

Hwang Tim · CIK 0001937743 · Director · See Remarks

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 7,108,624

Underlying: Class A Common Stock · 7,108,624 shares

Expires 2029-07-29

F2 · derivative.exercise_price: Shares of the Class B Common Stock are 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.

F3 · price: Received in the Business Combination in exchange for 5,988,730 shares of Class B common stock of Legacy FiscalNote.

F2 · derivative.exercise_date: Shares of the Class B Common Stock are 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.

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
July 29, 2022 Filed Aug 3, 2022 00:16 UTC
Sedgley AnnaDirector
GrantClass A Common Stock 29,675 Not disclosed Not disclosed
Disclosure

SEC source: 0000899243-22-027478 · doc4.xml · nonDerivative · entry 1

Sedgley Anna · CIK 0001937693 · 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 February 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 3, 2022 00:18 UTC
Nilsson KeithDirector · 10% owner
GrantClass A Common Stock 59,349 Not disclosed Not disclosed
Disclosure

SEC source: 0000899243-22-027483 · doc4.xml · nonDerivative · entry 6

Nilsson Keith · CIK 0001937698 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 59,349

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.

F9 · price: Each restricted stock unit represents a contingent right to receive one share of Class A Common Stock. 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 25% of the total number of restricted stock units on the first anniversary of the vesting commencement date and as to an additional 1/48th 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 fourth anniversary of the vesting commencement date. The vesting commencement date is November 6, 2017.

F10 · 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 3, 2022 00:18 UTC
Nilsson KeithDirector · 10% owner
GrantClass A Common Stock 301,585 Not disclosed Not disclosed
Disclosure

SEC source: 0000899243-22-027483 · doc4.xml · nonDerivative · entry 5

Nilsson Keith · CIK 0001937698 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · Xplorer Capital Fund III GP, LLC

Disclosed balance after: 301,585

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 254,073 shares of Class A common stock of Legacy FiscalNote.

F3 · ownership.nature: The Reporting Person is managing partner of the beneficial owner of these shares and may be deemed to have voting and dispositive power over the shares held by the beneficial owner.

Read SEC document
July 29, 2022 Filed Aug 3, 2022 00:18 UTC
Nilsson KeithDirector · 10% owner
GrantClass A Common Stock 2,250,000 Not disclosed Not disclosed
Disclosure

SEC source: 0000899243-22-027483 · doc4.xml · nonDerivative · entry 4

Nilsson Keith · CIK 0001937698 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · XC FiscalNote-B, LLC

Disclosed balance after: 2,250,000

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 1,770,410 shares of Class A common stock of Legacy FiscalNote.

F6 · ownership.nature: The Reporting Person is managing director of the beneficial owner of these shares and may be deemed to have voting and dispositive power over the shares held by the beneficial owner.

Read SEC document
July 29, 2022 Filed Aug 3, 2022 00:18 UTC
Nilsson KeithDirector · 10% owner
GrantClass A Common Stock 2,629,238 Not disclosed Not disclosed
Disclosure

SEC source: 0000899243-22-027483 · doc4.xml · nonDerivative · entry 3

Nilsson Keith · CIK 0001937698 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · XC FiscalNote-A, LLC

Disclosed balance after: 2,629,238

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 2,215,028 shares of Class A common stock of Legacy FiscalNote.

F6 · ownership.nature: The Reporting Person is managing director of the beneficial owner of these shares and may be deemed to have voting and dispositive power over the shares held by the beneficial owner.

Read SEC document
July 29, 2022 Filed Aug 3, 2022 00:18 UTC
Nilsson KeithDirector · 10% owner
GrantClass A Common Stock 2,123,156 Not disclosed Not disclosed
Disclosure

SEC source: 0000899243-22-027483 · doc4.xml · nonDerivative · entry 2

Nilsson Keith · CIK 0001937698 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · Xplorer Capital Fund III L.P.

Disclosed balance after: 2,123,156

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: Received in the Business Combination in exchange for 1,895,535 shares of Class A common stock of Legacy FiscalNote.

F3 · ownership.nature: The Reporting Person is managing partner of the beneficial owner of these shares and may be deemed to have voting and dispositive power over the shares held by the beneficial owner.

Read SEC document
July 29, 2022 Filed Aug 3, 2022 00:18 UTC
Nilsson KeithDirector · 10% owner
GrantClass A Common Stock 6,345,702 Not disclosed Not disclosed
Disclosure

SEC source: 0000899243-22-027483 · doc4.xml · nonDerivative · entry 1

Nilsson Keith · CIK 0001937698 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · Visionnaire Ventures Fund I, LP

Disclosed balance after: 6,345,702

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 5,346,000 shares of Class A common stock of Legacy FiscalNote.

F3 · ownership.nature: The Reporting Person is managing partner of the beneficial owner of these shares and may be deemed to have voting and dispositive power over the shares held by the beneficial owner.

Read SEC document
July 29, 2022 Filed Aug 3, 2022 00:15 UTC GrantIncentive Stock Options · Derivative 10,282 Not disclosed Strike: $8.39 Not disclosed
Disclosure

SEC source: 0000899243-22-027474 · doc4.xml · derivative · entry 5

Putman-Garcia Krystal · CIK 0001937665 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,282

Underlying: Class A Common Stock · 10,282 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 8,663 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 00:15 UTC GrantIncentive Stock Options · Derivative 47,480 Not disclosed Strike: $6.56 Not disclosed
Disclosure

SEC source: 0000899243-22-027474 · doc4.xml · derivative · entry 4

Putman-Garcia Krystal · CIK 0001937665 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 47,480

Underlying: Class A Common Stock · 47,480 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 40,000 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 00:15 UTC GrantIncentive Stock Options · Derivative 17,805 Not disclosed Strike: $2.43 Not disclosed
Disclosure

SEC source: 0000899243-22-027474 · doc4.xml · derivative · entry 3

Putman-Garcia Krystal · CIK 0001937665 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,805

Underlying: Class A Common Stock · 17,805 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 15,000 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 00:15 UTC GrantIncentive Stock Options · Derivative 23,740 Not disclosed Strike: $2.23 Not disclosed
Disclosure

SEC source: 0000899243-22-027474 · doc4.xml · derivative · entry 2

Putman-Garcia Krystal · CIK 0001937665 · 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 April 8, 2019.

Read SEC document
July 29, 2022 Filed Aug 3, 2022 00:15 UTC GrantClass A Common Stock 30,847 Not disclosed Not disclosed
Disclosure

SEC source: 0000899243-22-027474 · doc4.xml · nonDerivative · entry 1

Putman-Garcia Krystal · CIK 0001937665 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,847

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 25,988 RSUs of Legacy FiscalNote.

Read SEC document
July 29, 2022 Filed Aug 2, 2022 17:32 UTC
Jain ManojDirector · 10% owner
ConversionClass B Ordinary Shares · Derivative 4,325,000 Not disclosed Strike: $0.00 Not disclosed
Disclosure

SEC source: 0000950103-22-013518 · dp178253_4-jainl.xml · derivative · entry 2

Jain Manoj · CIK 0001829173 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Duddell Street Holdings Limited

Disclosed balance after: 0

Underlying: Class A Common Stock · 4,325,000 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F3 · security: These Class B ordinary shares automatically converted into Class A Common Stock on a one-for-one basis for no additional consideration concurrently with the consummation of the transactions contemplated by the Business Combination Agreement. The Class B ordinary shares had no expiration date.

F3 · price: These Class B ordinary shares automatically converted into Class A Common Stock on a one-for-one basis for no additional consideration concurrently with the consummation of the transactions contemplated by the Business Combination Agreement. The Class B ordinary shares had no expiration date.

F3 · derivative.exercise_date: These Class B ordinary shares automatically converted into Class A Common Stock on a one-for-one basis for no additional consideration concurrently with the consummation of the transactions contemplated by the Business Combination Agreement. The Class B ordinary shares had no expiration date.

F3 · derivative.expiration_date: These Class B ordinary shares automatically converted into Class A Common Stock on a one-for-one basis for no additional consideration concurrently with the consummation of the transactions contemplated by the Business Combination Agreement. The Class B ordinary shares had no expiration date.

F2 · ownership.nature: The shares of Class A Common Stock and the converted Class B Ordinary Shares are (or were) held of record by Duddell Street Holdings Limited, a Cayman Islands limited liability company ("Holdings"). Maso Capital Offshore Limited, a Cayman Islands limited liability company ("Maso") is the sole member and manager of Holdings. Maso is beneficially owned and controlled by the Reporting Person, Sohit Khurana and Allan Finnerty, 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 17:32 UTC
Jain ManojDirector · 10% owner
Exercise / conversionClass A Common Stock 4,325,000 Not disclosed Not disclosed
Disclosure

SEC source: 0000950103-22-013518 · dp178253_4-jainl.xml · nonDerivative · entry 1

Jain Manoj · CIK 0001829173 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Duddell Street Holdings Limited

Disclosed balance after: 4,325,000

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: These shares of Class A Common Stock were acquired upon the automatic conversion of the Class B ordinary shares on a one-for-one basis for no additional consideration 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. (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 acquired upon the automatic conversion of the Class B ordinary shares on a one-for-one basis for no additional consideration 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. (as it may be amended and/or restated from time to time (the "Business Combination Agreement")).

F2 · ownership.nature: The shares of Class A Common Stock and the converted Class B Ordinary Shares are (or were) held of record by Duddell Street Holdings Limited, a Cayman Islands limited liability company ("Holdings"). Maso Capital Offshore Limited, a Cayman Islands limited liability company ("Maso") is the sole member and manager of Holdings. Maso is beneficially owned and controlled by the Reporting Person, Sohit Khurana and Allan Finnerty, 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.

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July 29, 2022 Filed Aug 10, 2022 19:57 UTC Amendment
Eidelman VladChief Technology Officer
GrantClass A Common Stock 181,879 Not disclosed Not disclosed
Disclosure

SEC source: 0000899243-22-028297 · doc4a.xml · nonDerivative · entry 1

Eidelman Vlad · CIK 0001939428 · Chief Technology Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 286,643

F1 · shares: On August 2, 2022, the Reporting Person filed a Form 4 reporting the acquisition of securities received in connection with the Business Combination (as defined below) (the "Original Form 4"). This amendment is being filed to report shares of Class A Common Stock received in connection with the Business Combination that were inadvertently omitted from the Original Form 4 and to correct the number of securities beneficially owned following the transactions as reported in Column 5 of Table I of the Original Form 4.

F2 · 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: Received in the Business Combination in exchange for 153,225 shares of Class A common stock of Legacy FiscalNote.

F1 · balance_after: On August 2, 2022, the Reporting Person filed a Form 4 reporting the acquisition of securities received in connection with the Business Combination (as defined below) (the "Original Form 4"). This amendment is being filed to report shares of Class A Common Stock received in connection with the Business Combination that were inadvertently omitted from the Original Form 4 and to correct the number of securities beneficially owned following the transactions as reported in Column 5 of Table I of the Original Form 4.

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July 29, 2022 Filed May 31, 2024 21:22 UTC Amendment
Yiu ConradDirector
GrantClass A Common Stock 29,675 $0.00 $0.00
Disclosure

SEC source: 0000950170-24-067608 · ownership.xml · nonDerivative · entry 1

Yiu Conrad · CIK 0001937691 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 29,675

F1 · shares: On August 2, 2022, the reporting person filed a Form 4 which inadvertently contained an erroneous figure in the "Amount" sub-column of Column 4, entitled "Securities Acquired (A) or Disposed Of (D)" in the second transaction disclosed in Table I. The correct amount of shares acquired is 29,675 shares and, therefore, the correct figure in the "Amount" sub-column of Column 4, entitled "Securities Acquired (A) or Disposed Of (D)" and Column 5, entitled "Amount of Securities Beneficially Owned Following the Reported Transaction(s)," is 29,675 shares.

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July 29, 2022 Filed Sep 26, 2025 21:40 UTC Amendment
Compton KeyDirector
GrantClass A Common Stock 57,553 Not disclosed Not disclosed
Disclosure

SEC source: 0001193125-25-220856 · ownership.xml · nonDerivative · entry 1

Compton Key · CIK 0001937699 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnote

Disclosed balance after: 57,553

F1 · kind: 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 607,841 shares of Class A common stock of Legacy FiscalNote.

F3 · ownership.nature: The shares are beneficially owned by Global Public Offering Master Fund, L.P. ("GPO Master Fund"). The Reporting Person is a managing director of Urgent International Inc., which is the owner and operator of GPO Master Fund and its affiliated entities and the investment advisor for GPO Master Fund. As such, the Reporting Person may be deemed to have voting and dispositive power over the shares held by GPO Master Fund.

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January 03, 2022 Filed Jan 11, 2023 21:55 UTC Amendment
Resnik JoshSee Remarks
Tax withholdingClass A Common Stock 14,252 $6.25 $89,075.00
Disclosure

SEC source: 0001209191-23-003010 · doc4a.xml · nonDerivative · entry 1

Resnik Josh · CIK 0001937669 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 502,755

F1 · date: This amendment is filed to correct the entirety of the original filing on January 4, 2023. On January 4, 2023, the reporting person inadvertently filed a duplicate of a form that was filed on December 9, 2022.

F2 · shares: Represents shares of the issuer's Class A Common Stock withheld to satisfy the reporting person's tax obligation upon the vesting of 38,889 restricted stock units.

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December 17, 2021 Filed Dec 21, 2021 22:18 UTC SaleClass A Ordinary Shares, par value $0.0001 per share 300,000 $9.87 $2,961,000.00
Disclosure

SEC source: 0001273087-21-000026 · edgar.xml · nonDerivative · entry 3

MILLENNIUM MANAGEMENT LLC · CIK 0001273087 · 10% owner

MILLENNIUM GROUP MANAGEMENT LLC · CIK 0001446830 · 10% owner

ENGLANDER ISRAEL A · CIK 0001017456 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnotes

Disclosed balance after: 1,575,000

F7 · kind: This Form 4 reflects the purchases and sales of the Issuer's Class A Ordinary Shares made by ICS Opportunities II.

F1 · balance_after: As of the close of business on December 17, 2021, the reporting persons beneficially owned an aggregate of 1,575,000 Class A ordinary shares, par value $0.0001 per share ("Class A Ordinary Shares") of Duddell Street Acquisition Corp., a Cayman Islands exempted company (the "Issuer"). Specifically, (i) Integrated Core Strategies (US) LLC, a Delaware limited liability company ("Integrated Core Strategies"), beneficially owned 1,000,000 of the Issuer's Class A Ordinary Shares, (ii) ICS Opportunities, Ltd., an exempted company organized under the laws of the Cayman Islands ("ICS Opportunities"), beneficially owned 525,000 of the Issuer's Class A Ordinary Shares and (iii) ICS Opportunities II LLC, a Cayman Islands limited liability company ("ICS Opportunities II"), beneficially owned 50,000 of the Issuer's Class A Ordinary Shares.

F2 · ownership.nature: Millennium International Management LP, a Delaware limited partnership ("Millennium International Management"), is the investment manager to ICS Opportunities and ICS Opportunities II and may be deemed to have shared voting control and investment discretion over securities owned by ICS Opportunities and ICS Opportunities II.

F3 · ownership.nature: Millennium Management LLC, a Delaware limited liability company ("Millennium Management"), is the general partner of the managing member of Integrated Core Strategies and may be deemed to have shared voting control and investment discretion over securities owned by Integrated Core Strategies. Millennium Management is also the general partner of the 100% owner of ICS Opportunities and ICS Opportunities II and may also be deemed to have shared voting control and investment discretion over securities owned by ICS Opportunities and ICS Opportunities II.

F4 · ownership.nature: Millennium Group Management LLC, a Delaware limited liability company ("Millennium Group Management"), is the managing member of Millennium Management and may also be deemed to have shared voting control and investment discretion over securities owned by Integrated Core Strategies. Millennium Group Management is also the general partner of Millennium International Management and may also be deemed to have shared voting control and investment discretion over securities owned by ICS Opportunities and ICS Opportunities II.

F5 · ownership.nature: The managing member of Millennium Group Management is a trust of which Israel A. Englander, a United States citizen ("Mr. Englander"), currently serves as the sole voting trustee. Therefore, Mr. Englander may also be deemed to have shared voting control and investment discretion over securities owned by Integrated Core Strategies, ICS Opportunities and ICS Opportunities II.

F6 · ownership.nature: The foregoing should not be construed in and of itself as an admission by Millennium International Management, Millennium Management, Millennium Group Management or Mr. Englander as to beneficial ownership of the securities owned by Integrated Core Strategies, ICS Opportunities or ICS Opportunities II, as the case may be. Each reporting person disclaims beneficial ownership of the Class A Ordinary Shares disclosed herein except to the extent of such reporting person's pecuniary interest therein, if any.

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November 12, 2021 Filed Dec 21, 2021 22:18 UTC PurchaseClass A Ordinary Shares, par value $0.0001 per share 30,681 $9.92 $304,232.80
Disclosure

SEC source: 0001273087-21-000026 · edgar.xml · nonDerivative · entry 2

MILLENNIUM MANAGEMENT LLC · CIK 0001273087 · 10% owner

MILLENNIUM GROUP MANAGEMENT LLC · CIK 0001446830 · 10% owner

ENGLANDER ISRAEL A · CIK 0001017456 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnotes

Disclosed balance after: 1,875,000

F7 · kind: This Form 4 reflects the purchases and sales of the Issuer's Class A Ordinary Shares made by ICS Opportunities II.

F9 · price: This represents the volume-weighted average price of purchases at prices ranging from $9.91 to $9.92, inclusive. Upon request by the Securities and Exchange Commission staff, the Issuer, or any security holder of the Issuer, the reporting persons will provide details regarding the number of shares purchased by the reporting person at each separate price.

F2 · ownership.nature: Millennium International Management LP, a Delaware limited partnership ("Millennium International Management"), is the investment manager to ICS Opportunities and ICS Opportunities II and may be deemed to have shared voting control and investment discretion over securities owned by ICS Opportunities and ICS Opportunities II.

F3 · ownership.nature: Millennium Management LLC, a Delaware limited liability company ("Millennium Management"), is the general partner of the managing member of Integrated Core Strategies and may be deemed to have shared voting control and investment discretion over securities owned by Integrated Core Strategies. Millennium Management is also the general partner of the 100% owner of ICS Opportunities and ICS Opportunities II and may also be deemed to have shared voting control and investment discretion over securities owned by ICS Opportunities and ICS Opportunities II.

F4 · ownership.nature: Millennium Group Management LLC, a Delaware limited liability company ("Millennium Group Management"), is the managing member of Millennium Management and may also be deemed to have shared voting control and investment discretion over securities owned by Integrated Core Strategies. Millennium Group Management is also the general partner of Millennium International Management and may also be deemed to have shared voting control and investment discretion over securities owned by ICS Opportunities and ICS Opportunities II.

F5 · ownership.nature: The managing member of Millennium Group Management is a trust of which Israel A. Englander, a United States citizen ("Mr. Englander"), currently serves as the sole voting trustee. Therefore, Mr. Englander may also be deemed to have shared voting control and investment discretion over securities owned by Integrated Core Strategies, ICS Opportunities and ICS Opportunities II.

F6 · ownership.nature: The foregoing should not be construed in and of itself as an admission by Millennium International Management, Millennium Management, Millennium Group Management or Mr. Englander as to beneficial ownership of the securities owned by Integrated Core Strategies, ICS Opportunities or ICS Opportunities II, as the case may be. Each reporting person disclaims beneficial ownership of the Class A Ordinary Shares disclosed herein except to the extent of such reporting person's pecuniary interest therein, if any.

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November 08, 2021 Filed Dec 21, 2021 22:18 UTC PurchaseClass A Ordinary Shares, par value $0.0001 per share 54,773 $9.92 $543,074.30
Disclosure

SEC source: 0001273087-21-000026 · edgar.xml · nonDerivative · entry 1

MILLENNIUM MANAGEMENT LLC · CIK 0001273087 · 10% owner

MILLENNIUM GROUP MANAGEMENT LLC · CIK 0001446830 · 10% owner

ENGLANDER ISRAEL A · CIK 0001017456 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnotes

Disclosed balance after: 1,844,319

F7 · kind: This Form 4 reflects the purchases and sales of the Issuer's Class A Ordinary Shares made by ICS Opportunities II.

F8 · price: This represents the volume-weighted average price of purchases at prices ranging from $9.915 to $9.92, inclusive. Upon request by the Securities and Exchange Commission staff, the Issuer, or any security holder of the Issuer, the reporting persons will provide details regarding the number of shares purchased by the reporting person at each separate price.

F2 · ownership.nature: Millennium International Management LP, a Delaware limited partnership ("Millennium International Management"), is the investment manager to ICS Opportunities and ICS Opportunities II and may be deemed to have shared voting control and investment discretion over securities owned by ICS Opportunities and ICS Opportunities II.

F3 · ownership.nature: Millennium Management LLC, a Delaware limited liability company ("Millennium Management"), is the general partner of the managing member of Integrated Core Strategies and may be deemed to have shared voting control and investment discretion over securities owned by Integrated Core Strategies. Millennium Management is also the general partner of the 100% owner of ICS Opportunities and ICS Opportunities II and may also be deemed to have shared voting control and investment discretion over securities owned by ICS Opportunities and ICS Opportunities II.

F4 · ownership.nature: Millennium Group Management LLC, a Delaware limited liability company ("Millennium Group Management"), is the managing member of Millennium Management and may also be deemed to have shared voting control and investment discretion over securities owned by Integrated Core Strategies. Millennium Group Management is also the general partner of Millennium International Management and may also be deemed to have shared voting control and investment discretion over securities owned by ICS Opportunities and ICS Opportunities II.

F5 · ownership.nature: The managing member of Millennium Group Management is a trust of which Israel A. Englander, a United States citizen ("Mr. Englander"), currently serves as the sole voting trustee. Therefore, Mr. Englander may also be deemed to have shared voting control and investment discretion over securities owned by Integrated Core Strategies, ICS Opportunities and ICS Opportunities II.

F6 · ownership.nature: The foregoing should not be construed in and of itself as an admission by Millennium International Management, Millennium Management, Millennium Group Management or Mr. Englander as to beneficial ownership of the securities owned by Integrated Core Strategies, ICS Opportunities or ICS Opportunities II, as the case may be. Each reporting person disclaims beneficial ownership of the Class A Ordinary Shares disclosed herein except to the extent of such reporting person's pecuniary interest therein, if any.

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Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.