Company: INV
Filing Date: 2025-10-08
Form Type: PRE 14A
Source: 0001140361-25-037708
Chunk: 14

Company: Innventure, Inc.
Filing Date: 2025-10-08
Form: PRE 14A
Chunk 14
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’ prior written notice to Yorkville, may redeem in cash, in whole or in part, amounts outstanding under the September 2025 Convertible Debentures prior to the Maturity Date. The redemption amount shall be equal to the outstanding principal balance being redeemed by the Company, plus the redemption premium of 10% of the principal amount being redeemed, plus all accrued and unpaid interest as of the date of such redemption.

On September 15, 2025, we and Yorkville entered into a registration rights agreement (the “September 2025 Registration Rights Agreement”) pursuant to which we are required to file a registration statement registering the resale by Yorkville of up to 12,000,000 shares of Common Stock issuable upon conversion of the September 2025 Convertible Debentures.

Additional information concerning the September 2025 Securities Purchase Agreement, September 2025 Registration Rights Agreement and September 2025 Convertible Debentures is contained in our Current Reports on Form 8-K filed with the SEC on September 15, 2025, which is incorporated by reference herein.

#### Reasons for Seeking Stockholder Approval
Under Nasdaq Listing Rule 5635(d), stockholder approval is required prior to the issuance of securities in connection with a transaction (or a series of related transactions) other than a public offering involving the sale, issuance or potential issuance of Common Stock (or securities convertible into or exercisable for Common Stock) equal to 20% or more of the shares of Common Stock or 20% or more of the voting power outstanding before the issuance at a price that is less than the Minimum Price (as calculated pursuant to Nasdaq Listing Rule 5635(d)). On September 12, 2025, the trading day immediately preceding the date of the execution of the September 2025 Securities Purchase Agreement, the Nasdaq Official Closing Price (as reflected on Nasdaq.com) of the Common Stock was $6.58 and the average closing price of the Common Stock for the five trading days immediately preceding September 15, 2025 was $5.80.

Under Nasdaq Listing Rule 5635(b), stockholder approval is required prior to the issuance of securities when the issuance or potential issuance will result in a change of control of a company. This rule does not specifically define when a change in control of a company may be deemed to occur for this purpose; however, Nasdaq suggests in its guidance that a change of control would occur, subject to certain limited exceptions, if after a transaction an investor