Company: IPST
Filing Date: 2025-05-20
Form Type: 10-Q
Source: 0001788230-25-000062
Chunk: 7

Company: Heritage Distilling Holding Company, Inc.
Filing Date: 2025-05-20
Form: 10-Q
Item: Part II, Item 1A
Chunk 7
---
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

We did not issue any unregistered equity securities during the the period covered by this report.

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.

64

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, 20243.2Amended and Restated Bylaws of Heritage Distilling Holding Company, Inc.8-K001-424113.2November 26, 20243.3Certificate of Designations, Preferences and Rights of the Series A Convertible Preferred StockS-1/A333-279382 3.8October 3, 20243.4Certificate of Designations, Preferences, Powers and Rights of the Series B Convertible Preferred Stock8-K001-424113.1January 24, 20254.1Specimen common stock certificateS-1/A333-279382 4.1August 28, 20244.2Form of Representative’s Warrant from initial public offering8-K001-424114.1November 26, 20244.3Form of outstanding restricted stock units issued under the 2019 Plan prior to January 1, 2024S-1/A333-279382 4.3July 5, 20244.4Form of outstanding restricted stock units issued under the 2019 Plan after January 1, 2024S-1/A333-279382 4.4August 28, 20244.5Form of outstanding warrants that expire in August 2028S-1333-279382 4.5May 13, 20244.6Form of outstanding prepaid warrants with no expiration dateS-1333-