Company: IPST
Filing Date: 2025-08-14
Form Type: 10-Q
Source: 0001788230-25-000126
Chunk: 18

Company: Heritage Distilling Holding Company, Inc.
Filing Date: 2025-08-14
Form: 10-Q
Item: Part II, Item 3
Chunk 18
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Table of Contents

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.

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, 20253.3Amended and Restated Bylaws of Heritage Distilling Holding Company, Inc.8-K001-424113.2November 26, 20243.4Certificate of Designations, Preferences and Rights of the Series A Convertible Preferred StockS-1/A333-279382 3.8October 3, 20243.5Certificate of Designations, Preferences, Powers and Rights of the Series B Convertible Preferred Stock8-K001-424113.1January 24, 20253.6Certificate 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/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