Company: GEDC
Filing Date: 2025-11-14
Form Type: 10-Q
Source: 0001493152-25-023306
Chunk: 43

Company: CalEthos, Inc.
Filing Date: 2025-11-14
Form: 10-Q
Item: Item 1A
Chunk 43
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We
are a small reporting company, as defined by Rule 12b-2 of the Exchange Act, and are not required to provide the information under this
item.

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

Sales
of Unregistered Securities

There
have been no sales of unregistered securities within the reporting period covered by this report that would be required to be disclosed
pursuant to Item 701 of Regulation S-K[, with the exception of the following:]

In
July 2025, in connection with a loan made to us by an accredited investor in the amount of $500,000 and an agreement to extend the
maturity date of an existing loan, we issued to the lender a five-year warrant to purchase 2,000,000 shares
of common stock for a purchase price of $0.50 per share. Such warrant was issued by us in reliance upon the exemption from registration
available under Section 4(2) of the Securities Act and Regulation D promulgated thereunder.

Repurchases
of Shares or of Company Equity Securities

None.

Item
3. Default Upon Senior Securities

None.

Item
4. Mine Safety Disclosures.

Not
applicable.

Item
5. Other Information

None

Item
6. Exhibits

The
following documents are filed as a part of this report or incorporated herein by reference:

    Exhibit
    Number
     
    Description

    3.1
     
    Restated Articles of Incorporation (incorporated by reference to Exhibit 3.1 to our Quarterly Report of Form 10-Q filed on May 15, 2024).

    3.2
     
    Amended and Restated Bylaws (incorporated by reference to Exhibit 3.2 to our Current Report on Form 8-K filed on July 19, 2013).

    10.1
     
    2021 Equity Incentive Plan (incorporated by reference to Exhibit Annex A to our Schedule 14C Information Statement filed on October 21, 2021).

    10.2
     
    Consulting Agreement dated as of October 10, 2018 between CalEthos Inc. and DSS Consulting Corporation (incorporated by reference to Exhibit 10.12 to our Annual Report on Form 10-K filed on March 31, 2022).

    10.3
     
    Employment Agreement dated as of