Company: INV
Filing Date: 2025-03-26
Form Type: 424B3
Source: 0001140361-25-010351
Chunk: 5

Company: Innventure, Inc.
Filing Date: 2025-03-26
Form: 424B3
Chunk 5
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 each pursuant to the terms of the Standby Equity Purchase Agreement dated October 24, 2023, entered into with Yorkville. Issuance to Ducera On February 3, 2025, the Company issued to Ducera Partners LLC and its affiliates (“Ducera”) 85,471 shares of Common Stock (the “Ducera shares”) pursuant to the terms of an engagement letter under which Ducera would perform certain financial advisory and investment baking services to Innventure LLC. Such engagement letter was amended to include the Company on December 23, 2024. Issuance to Roth On October 31, 2024, pursuant to a letter agreement between Innventure LLC and Roth Capital Partners LLC (“Roth”), dated July 8, 2024, the Company issued to Roth 25,000 shares of Common Stock (the “Roth shares”) in settlement of $250,000 of transaction costs incurred by the Company and its affiliates for certain capital markets advisory services. Issuance to Grail Partners On March 24, 2025, the Company issued to affiliates of Grail Partners LLC an aggregate of 300,000 shares of Series C Preferred Stock (the “Grail shares”) in settlement of amounts owed pursuant to the terms of a letter agreement under which Grail Partners LLC would provide certain financial advisory and merchant banking services. The Company issued the SEPA shares, the Ducera shares, the Roth shares, and the Grail shares in transactions not involving an underwriter and not requiring registration under Section 5 of the Securities Act, in reliance on the exemption afforded by Section 4(a)(2) thereof or Regulation D promulgated under the Securities Act. The Company has previously registered the resale of the SEPA shares, and the Roth shares (as defined below) under the Securities Act. The Company has also agreed to register the resale of the Ducera shares under the Securities Act.

| Item 3.03 | Material Modification to Rights of Security Holders. |

The information set forth in Item 1.01 and Item 5.03 is incorporated herein by reference.

| Item 5.03 | Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year. |

On the Closing Date, the Company filed the Series C Preferred Stock Certificate of Designations with the Secretary of State of the State of Delaware, which became effective upon filing. A description of the material terms of the Series C Preferred Stock is below. Ranking With respect to (i) payment of