# EDGAR Filing Document

**Accession Number:** 0002092574
**File Stem:** 0001104659-26-033354
**Filing Date:** 2026-3
**Character Count:** 22748
**Document Hash:** 2a09138ae6806db9c143d7a5ab213ea2
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001104659-26-033354.hdr.sgml**: 20260323

**ACCESSION NUMBER**: 0001104659-26-033354

**CONFORMED SUBMISSION TYPE**: SCHEDULE 13D

**PUBLIC DOCUMENT COUNT**: 2

**FILED AS OF DATE**: 20260323

**DATE AS OF CHANGE**: 20260323

**SUBJECT COMPANY**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** Swarmer, Inc
- **CENTRAL INDEX KEY:** 0002092574
- **STANDARD INDUSTRIAL CLASSIFICATION:** SERVICES-PREPACKAGED SOFTWARE [7372]
- **ORGANIZATION NAME:** 06 Technology
- **EIN:** 931378503
- **STATE OF INCORPORATION:** DE
- **FISCAL YEAR END:** 1231

**FILING VALUES:**
- **FORM TYPE:** SCHEDULE 13D
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 005-95575
- **FILM NUMBER:** 26782680

**BUSINESS ADDRESS:**
- **STREET 1:** 4515 SETON CENTER PKWY #330
- **CITY:** AUSTIN
- **STATE:** TX
- **ZIP:** 78759
- **BUSINESS PHONE:** 5123053513

**MAIL ADDRESS:**
- **STREET 1:** 4515 SETON CENTER PKWY #330
- **CITY:** AUSTIN
- **STATE:** TX
- **ZIP:** 78759
**FILED BY**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** Fink Alexander
- **CENTRAL INDEX KEY:** 0002109421

**ORGANIZATION NAME:**

**FILING VALUES:**
- **FORM TYPE:** SCHEDULE 13D

**MAIL ADDRESS:**
- **STREET 1:** 4515 SETON CENTER PKWY
- **STREET 2:** SUITE 330
- **CITY:** AUSTIN
- **STATE:** TX
- **ZIP:** 78759-5290

## Ex-99.C

**Exhibit C**

LOCK-UP AGREEMENT

________, 2026

Lucid Capital Markets, LLC

570 Lexington Avenue, 40th Floor

New York, New York 10022

---

| | |
|:---|:---|
| Re: | Underwriting Agreement, dated __________, 2026 (the "<u>Underwriting Agreement</u>"), by and between Swarmer, Inc (the "<u>Company</u>") and Lucid Capital Markets, LLC (the "<u>Representative</u>"), acting as representative to the several underwriters (collectively, the "<u>Underwriters</u>") |

---

Ladies and Gentlemen:

The undersigned irrevocably agrees, from the date hereof until one hundred and eighty (180) days following the Closing Date (as defined in the Underwriting Agreement) (such period, the "<u>Restriction Period</u>"), the undersigned will not, without prior written consent of the Representative, offer, sell, contract to sell, hypothecate, pledge or otherwise dispose of (or enter into any transaction which is designed to, or might reasonably be expected to, result in the disposition (whether by actual disposition or effective economic disposition due to cash settlement or otherwise) by the undersigned or any Affiliate (as defined in the Underwriting Agreement) of the undersigned or any person in privity with the undersigned or any Affiliate of the undersigned), directly or indirectly, or establish or increase a put equivalent position or liquidate or decrease a call equivalent position within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended (the "<u>Exchange Act</u>"), with respect to, any shares of common stock of the Company or securities convertible, exchangeable or exercisable into, shares of common stock of the Company beneficially owned, held or hereafter acquired by the undersigned (the "<u>Securities</u>"). Beneficial ownership shall be calculated in accordance with Section 13(d) of the Exchange Act. In order to enforce this covenant, the Company shall impose irrevocable stop-transfer instructions preventing the transfer agent of the Company from effecting any actions in violation of this letter agreement during the Restriction Period. The Representative may consent to an early release from the Restriction Period if, in its sole and absolute discretion, the market for the Securities would not be adversely impacted by sales and in cases of financial emergency.

The foregoing shall not apply to:

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;1. transfers of the Securities as a *bona fide* gift or gifts;

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;2. transfers the Securities to any immediate family member or to any trust for the direct or indirect benefit
of the undersigned or the immediate family (as defined below) of the undersigned;

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;3. if the undersigned is, or otherwise holds any the Securities through, a corporation, partnership, limited
liability company, trust or other business entity (1) transfers without consideration to another corporation, partnership, limited liability
company, trust or other business entity that is a direct or indirect affiliate (as defined in Rule 405 promulgated under the Securities
Act of 1933, as amended) of the undersigned or (2) distributions of the Securities to limited partners, limited liability company members
or stockholders of the undersigned;

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;4. transfers of the Securities by will, other testamentary document or intestate succession to the legal
representative, heir, beneficiary or a member of the immediate family of the undersigned;

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;5. transfers of the Securities by operation of law, including pursuant to a court or regulatory agency order,
a settlement agreement, a qualified domestic order or in connection with a divorce settlement;

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;6. transactions relating to Securities acquired in the Offering (as defined in the Underwriting Agreement)
or in open market purchase transactions after completion of the Offering;

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;7. in connection with the establishment of a trading plan pursuant to Rule 10b5-1 under the Exchange Act
(a "Rule 10b5-1 Trading Plan") for the transfer of Securities, provided that (a) such plan does not provide for the transfer
of Securities during the Restriction Period, (b) no public announcement or filing under the Exchange Act shall be voluntarily made by
or on behalf of the undersigned or the Company during the Restriction Period regarding the establishment of such plan, and (c) to the
extent a public announcement or filing under the Exchange Act, if any, is required by or on behalf of the undersigned or the Company regarding
the establishment of a Rule 10b5-1 Trading Plan during the Restriction Period, such announcement or filing shall include a statement to
the effect that no transfer of Securities may be made under such Rule 10b5-1 Trading Plan during the Restriction Period;

*provided however*, that the transferee agrees in writing with the Representative to be bound by the terms of this letter agreement and that no filing by any party under Section 16(a) of the Exchange Act shall be made voluntarily in connection with such transfer.

For purposes of this letter agreement, "immediate family" shall mean any relationship by blood, marriage, domestic partnership or adoption, not more remote than first cousin.

If the undersigned is an officer or director of the Company, the undersigned further agrees that the foregoing provisions shall be equally applicable to any issuer-directed or other Securities the undersigned may purchase in the Public Offering.

If the undersigned is an officer or director of the Company, (i) the Representative agrees that, at least two business days before the effective date of any release or waiver of the foregoing restrictions in connection with a transfer of shares of common stock, the Representative will notify the Company of the impending release or waiver, and (ii) the Company has agreed in the Underwriting Agreement to announce the impending release or waiver by press release through a major news service (or such other method approved by the Representative that satisfies the requirements of FINRA Rule 5131(d)(2)) at least two business days before the effective date of the release or waiver. Any release or waiver granted by the Representative hereunder to any such officer or director shall only be effective two business days after the publication date of such press release. The provisions of this paragraph will not apply if (i) the release or waiver is effected solely to permit a transfer not for consideration or that is to an immediate family member as defined in FINRA Rule 5130(i)(5) and (ii) the transferee has agreed in writing to be bound by the same terms described in this Lock-Up Agreement to the extent and for the duration that such terms remain in effect at the time of the transfer.

In addition, notwithstanding the foregoing, this letter agreement shall not restrict the delivery of shares of common stock to the undersigned upon (a) exercise of any options granted under any employee benefit plan of the Company; provided that any shares of common stock or Securities acquired in connection with any such exercise will be subject to the restrictions set forth in this letter agreement, (b) the exercise of warrants; provided that any shares of common stock or Securities acquired in connection with any such exercise will be subject to the restrictions set forth in this letter agreement, or (c) the receipt of restricted stock awards from the Company. This letter agreement shall also not restrict the disposition of shares of common stock to the Company pursuant to the terms of any such plan, arrangement or awards specified in clauses (a), (b) and (c) above to satisfy tax withholding obligations or the payment of taxes or any exercise price due with respect to the vesting of restricted stock awards or the cashless exercise or net exercise of stock options or upon termination of employment with the Company.

The undersigned acknowledges that the execution, delivery and performance of this letter agreement is a material inducement to each Underwriter to perform under the Underwriting Agreement and that each Underwriter (which shall be a third party beneficiary of this letter agreement) and the Company shall be entitled to specific performance of the undersigned's obligations hereunder. The undersigned hereby represents that the undersigned has the power and authority to execute, deliver and perform this letter agreement, that the undersigned has received adequate consideration therefor and that the undersigned will indirectly benefit from the closing of the transactions contemplated by the Underwriting Agreement.

The undersigned understands that, if the Underwriting Agreement does not become effective, or if the Underwriting Agreement (other than the provisions thereof which survive termination) shall terminate or be terminated prior to payment for and delivery of the securities to be sold thereunder, the undersigned shall be released form all obligations under this letter agreement.

This letter agreement may not be amended or otherwise modified in any respect without the written consent of each of the Company, the Representative and the undersigned. This letter agreement shall be construed and enforced in accordance with the laws of the State of New York without regard to the principles of conflict of laws. The undersigned hereby irrevocably submits to the exclusive jurisdiction of the United States District Court sitting in the Southern District of New York and the courts of the State of New York located in Manhattan, for the purposes of any suit, action or proceeding arising out of or relating to this letter agreement, and hereby waives, and agrees not to assert in any such suit, action or proceeding, any claim that (i) it is not personally subject to the jurisdiction of such court, (ii) the suit, action or proceeding is brought in an inconvenient forum, or (iii) the venue of the suit, action or proceeding is improper. The undersigned hereby irrevocably waives personal service of process and consents to process being served in any such suit, action or proceeding by receiving a copy thereof sent to the Company at the address in effect for notices to it under the Underwriting Agreement and agrees that such service shall constitute good and sufficient service of process and notice thereof. The undersigned hereby waives any right to a trial by jury. Nothing contained herein shall be deemed to limit in any way any right to serve process in any manner permitted by law. The undersigned agrees and understands that this letter agreement does not intend to create any relationship between the undersigned and each Underwriter and that no issuance or sale of the Securities is created or intended by virtue of this letter agreement.

This letter agreement shall be binding on successors and assigns of the undersigned with respect to the Securities and any such successor or assign shall enter into a similar agreement for the benefit of the Underwriters.

This letter agreement is intended for the benefit of the parties hereto and their respective successors and permitted assigns and is not for the benefit of, nor may any provisions hereof be enforced by, any of other Person (as defined in the Underwriting Agreement).

\*\*\* SIGNATURE PAGE FOLLOWS\*\*\*

This letter agreement may be executed in two or more counterparts, all of which when taken together may be considered one and the same agreement.

---

| |
|:---|
| Signature |
| Print Name |
| Position in Company, if any |
| Address for Notice: |
| c/o Swarmer, Inc |
| 4515 Seton Center Pkwy #330 |
| Austin, TX 78759 |

---

### UNITED STATES SECURITIES AND EXCHANGE COMMISSION
**Washington, D.C. 20549**

## SCHEDULE 13D

### Under the Securities Exchange Act of 1934

**Swarmer, Inc**

*(Name of Issuer)*

**Common Stock, par value $0.00001 per share**

*(Title of Class of Securities)*

**—**

*(CUSIP Number)*

**c/o Swarmer, Inc.**<br>4515 Seton Center Pkwy #330<br>Austin TX 78759<br>512-305-3513

*(Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications)*

**03/16/2026**

*(Date of Event Which Requires Filing of this Statement)*

| **CUSIP No.** | **—** |

---

| | | | |
|:--|:--|:--|:--|
| 1 | Name of reporting person<br>**Alexander Fink** | Name of reporting person<br>**Alexander Fink** | |
| 2 | Check the appropriate box if a member of a Group (See Instructions)<br>[x] (a)<br>[ ] (b) | Check the appropriate box if a member of a Group (See Instructions)<br>[x] (a)<br>[ ] (b) | |
| 3 | SEC use only | SEC use only | |
| 4 | Source of funds (See Instructions)<br>**OO** | Source of funds (See Instructions)<br>**OO** | |
| 5 | Check if disclosure of legal proceedings is required pursuant to Items 2(d) or 2(e)<br>[ ] | Check if disclosure of legal proceedings is required pursuant to Items 2(d) or 2(e)<br>[ ] | |
| 6 | Citizenship or place of organization<br>**L3** | Citizenship or place of organization<br>**L3** | |
| Number of Shares<br>Beneficially Owned by<br>Each Reporting Person With: | 7 | Sole Voting Power<br>**1483551.00** |
| Number of Shares<br>Beneficially Owned by<br>Each Reporting Person With: | 8 | Shared Voting Power<br>**0.00** |
| Number of Shares<br>Beneficially Owned by<br>Each Reporting Person With: | 9 | Sole Dispositive Power<br>**1483551.00** |
| Number of Shares<br>Beneficially Owned by<br>Each Reporting Person With: | 10 | Shared Dispositive Power<br>**0.00** |
| 11 | Aggregate amount beneficially owned by each reporting person<br>**1483551.00** | Aggregate amount beneficially owned by each reporting person<br>**1483551.00** | |
| 12 | Check if the aggregate amount in Row (11) excludes certain shares (See Instructions)<br>[x] | Check if the aggregate amount in Row (11) excludes certain shares (See Instructions)<br>[x] | |
| 13 | Percent of class represented by amount in Row (11)<br>**13.4%** | Percent of class represented by amount in Row (11)<br>**13.4%** | |
| 14 | Type of Reporting Person (See Instructions)<br>**IN** | Type of Reporting Person (See Instructions)<br>**IN** | |

---

**Comment for Reporting Person:** Consists of (i) 1,410,975 shares of common stock owned by Alexander Fink (the "Reporting Person"), (ii) 55,910 restricted stock units ("RSUs") owned by the Reporting Person, which vest within 60 days of the date hereof and (iii) 16,666 shares of common stock underlying options owned by the Reporting Person, which vest within 60 days of the date hereof. The securities reported in rows (7), (9) and (11) do not include, and the percentage in row (13) does not reflect, (i) 1,285,930 RSUs and (ii) 383,334 shares of common stock underlying options vesting beyond 60 days of the date hereof.

**Item 1. Security and Issuer**

**(a) Title of Class of Securities:**
Common Stock, par value $0.00001 per share

**(b) Name of Issuer:**
Swarmer, Inc

**(c) Address of Issuer's Principal Executive Offices:**
4515 Seton Center Pkwy #330, Austin, TX, 78759

**Item 4. Purpose of Transaction**

The information contained in rows (7), (8), (9), (10), (11) and (13) of the cover pages of this Schedule 13D and the information set forth in or incorporated by reference in Item 2, Item 3, Item 5 and Item 6 of the Schedule 13D is hereby incorporated by reference in its entirety into this Item 4.

The Reporting Person holds the securities of the Issuer for general investment purposes. The Reporting Person may, from time to time, depending on prevailing market, economic and other conditions, acquire additional shares of Common Stock or other securities of the Issuer, dispose of any such securities, or engage in discussions with the Issuer concerning such acquisitions or dispositions or further investments in the Issuer. The Reporting Person intends to review its investment in the Issuer on a continuing basis and, depending upon the price and availability of shares of Common Stock or other securities of the Issuer, subsequent developments affecting the Issuer, the Issuer's business and prospects, other investment and business opportunities available to the Reporting Person, general stock market and economic conditions, tax considerations and other factors considered relevant, may decide at any time to increase or to decrease the size of its investment in the Issuer in the open market, in privately negotiated transactions, pursuant to 10b5-1 trading plans or otherwise.

The Reporting Person is President and CEO (U.S.) of the Issuer and a member of the Issuer's Board of Directors and, in such capacity, may have influence over the corporate activities of the Issuer, including activities which may relate to items described in subparagraphs (a) through (j) of Item 4 of Schedule 13D.

Except as described in this Schedule 13D, the Reporting Person does not have any present plans or proposals that relate to or would result in any of the actions described in subparagraphs (a) through (j) of Item 4 of Schedule 13D, although, the Reporting Person, at any time and from time to time, may review, reconsider and change their position and/or purpose and/or develop such plans.

**Item 5. Interest in Securities of the Issuer**

**(a)**
(a)-(c) The information as of the date of the event which requires filing of this statement required by Items 5(a)-(c) is set forth in rows (7)-(13) of the cover page hereto and is incorporated herein by reference. The percentage set forth in row (13) of the cover page is based on 10,998,609, as reported in the Issuer's Current Report on Form 8-K filed on March 18, 2026.

The securities reported in rows (7), (9) and (11) do not include, and the percentage in row (13) does not reflect, (i) 1,285,930 RSUs and (ii) 383,334 shares of common stock underlying options vesting beyond 60 days of the date hereof.

**(b)**
See Item 5 a)

**(c)**
See Item 5 a)

**Item 6. Contracts, Arrangements, Understandings or Relationships With Respect to Securities of the Issuer.**

Employment Agreement

The Issuer entered into an employment agreement with the Reporting Person with respect to his service as President and Chief Executive Officer (U.S.) on September 22, 2025, as amended by the Amendment to the Employment Agreement on February 18, 2026. Under the terms of the Employment Agreement, as amended, the Reporting Person is entitled to an initial annual base salary of $250,000. Additionally, pursuant to the terms of the employment agreement, the Reporting Person received 1,341,840 RSUs and 400,000 options. The RSUs and options shall vest, subject to the Reporting Person's continued employment, in 1/48th monthly installments on each monthly anniversary of the date of grant, commencing on the first month anniversary of the date of grant; provided, however, that 100% of the RSUs and options shall vest upon a change of control.

Lockup Agreement

In connection with the Issuer's initial public offering, the Reporting Person agreed that, without the prior written consent of Lucid Capital Markets, LLC, as representative of the several underwriters, he will not directly or indirectly offer to sell, sell, transfer or dispose of any shares of Common Stock or similar securities for a period of six (6) months following the closing of the Issuer's initial public offering without the prior written consent of the underwriter, subject to certain exceptions, including transactions relating to securities acquired in the Issuer's initial public offering or in open market transactions after the completion of the Issuer's initial public offering; transfers pursuant to bona fide gift(s), by will, other testamentary document or intestate succession; by operation of law; the establishment of a trading plan pursuant to Rule 10b5-1 promulgated under the Exchange Act; transfers of shares of Common Stock to any trust for the direct or indirect benefit of the transferor or their immediate family; if the stockholder is a corporation, limited liability company, partnership, trust or other entity, transfers to its stockholders, members, partners or trust beneficiaries as part of a distribution, or to any corporation, partnership or other entity that is its affiliate; and transfers to the Issuer in connection with the "net" or "cashless" exercise of options or other rights to purchase shares of Common Stock granted pursuant to an equity incentive plan, stock purchase plan or other arrangement described in this prospectus in satisfaction of any tax withholding obligations through cashless surrender or otherwise, provided, that any shares of Common Stock issued upon exercise of such option or other rights shall remain subject to the terms of the lock-up agreement.

Except as described herein, there are no contracts, arrangements, understandings or relationships (legal or otherwise) among the person named in Item 2 above or between such person and any other person with respect to any securities of the Issuer.

### SIGNATURE

After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct.

**Reporting Person:** Alexander Fink

**Signature:** /s/ Alexander Fink

**Name/Title:** Alexander Fink

**Date:** 03/23/2026