Company: IPST
Filing Date: 2025-11-18
Form Type: 10-Q
Source: 0001788230-25-000175
Chunk: 6

Company: Heritage Distilling Holding Company, Inc.
Filing Date: 2025-11-18
Form: 10-Q
Item: Part II, Item 1A
Chunk 6
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Item 1A. Risk Factors

As a “smaller reporting company,” we are not required to provide the information required by this Item.

Item 2. Unregistered Sales of Equity Securities and Use of Proceeds

Recent Sales of Unregistered Securities

During the quarter ended September 30, 2025 did not have any sales of unregistered securities that we have not reported in our filings under the Exchange Act., 

Item 3. Defaults upon Senior Securities

None.

Item 4. Mine Safety Disclosures

Not applicable.

Item 5. Other Information

None.

Item 6. Exhibits.

The Exhibits listed in the Exhibit Index are filed as part of this quarterly report on Form 10-Q. Each management contract or compensatory plan or agreement listed on the Exhibit Index is identified by a hashtag.

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Table of Contents

EXHIBIT INDEX

Exhibit Incorporated by ReferenceNumberDescription of ExhibitsFormFile No.ExhibitFiling Date3.1Second Amended and Restated Certificate of Incorporation of Heritage Distilling Holding Company, Inc.8-K001-424113.1November 26, 20243.2First Amendment to Second Amended and Restated Certificate of Incorporation of Heritage Distilling Holding Company, Inc.8-K001-424113.1June 27, 20253.3Second Amendment to Second Amended and Restated Certificate of Incorporation of Heritage Distilling Holding Company, Inc.8-K001-424113.1September 29, 20253.4Third Amendment to Second Amended and Restated Certificate of Incorporation of Heritage Distilling Holding Company, Inc.8-K001-424113.1October 31, 20253.5Amended and Restated Bylaws of Heritage Distilling Holding Company, Inc.10-Q/A001-424113.3August 18, 20253.6Certificate of Designations, Preferences and Rights of the Series A Convertible Preferred StockS-1/A333-279382 3.8October 3, 20243.7Certificate of Designations, Preferences, Powers and Rights of the Series B Convertible Preferred Stock8-K001-424113.1January 24, 20253.8Certificate of Amendment to the Certificate of Designations, Preferences, Powers and Rights of Series B Convertible Preferred StockS-1333-2880513.5June 13, 20254.1Specimen common stock certificateS-1