# EDGAR Filing Document

**Accession Number:** 0001863181
**File Stem:** 0001140361-23-015392
**Filing Date:** 2023-3
**Character Count:** 25125
**Document Hash:** 20ddf2fccf038c3484d28f3ab22715aa
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001140361-23-015392.hdr.sgml**: 20230331

**ACCESSION NUMBER**: 0001140361-23-015392

**CONFORMED SUBMISSION TYPE**: 8-K

**PUBLIC DOCUMENT COUNT**: 15

**CONFORMED PERIOD OF REPORT**: 20230330

**ITEM INFORMATION**: Entry into a Material Definitive Agreement

**ITEM INFORMATION**: Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year

**ITEM INFORMATION**: Submission of Matters to a Vote of Security Holders

**ITEM INFORMATION**: Financial Statements and Exhibits

**FILED AS OF DATE**: 20230331

**DATE AS OF CHANGE**: 20230331

**FILER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** Home Plate Acquisition Corp
- **CENTRAL INDEX KEY:** 0001863181
- **STANDARD INDUSTRIAL CLASSIFICATION:** BLANK CHECKS [6770]
- **IRS NUMBER:** 862858172
- **STATE OF INCORPORATION:** DE
- **FISCAL YEAR END:** 1231

**FILING VALUES:**
- **FORM TYPE:** 8-K
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 001-40844
- **FILM NUMBER:** 23788550

**BUSINESS ADDRESS:**
- **STREET 1:** P.O BOX 1314
- **CITY:** NEW YORK
- **STATE:** NY
- **ZIP:** 10028
- **BUSINESS PHONE:** 917-703-2312

**MAIL ADDRESS:**
- **STREET 1:** P.O BOX 1314
- **CITY:** NEW YORK
- **STATE:** NY
- **ZIP:** 10028

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UNITED STATES

### SECURITIES AND EXCHANGE COMMISSION

#### Washington, D.C. 20549

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### FORM 8-K

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#### CURRENT REPORT

#### PURSUANT TO SECTION 13 OR 15(D)

#### OF THE SECURITIES EXCHANGE ACT OF 1934

#### Date of Report (Date of earliest event reported): March 30, 2023

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## Home Plate Acquisition Corporation

#### (Exact name of registrant as specified in its charter)

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| | | |
|:---|:---|:---|
| **Delaware**<br>| **001-40844**<br>| **86-2858172**<br>|
| **(State or other jurisdiction of incorporation)** | **(Commission File Number)** | **(I.R.S. Employer Identification No.)** |

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| | |
|:---|:---|
| **P.O. Box 1314**<br>**New York, NY** | **10028**<br>|
| **(Address of Principal Executive Offices)** | **(Zip Code)** |

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(917) 703-2312

#### (Registrant's telephone number, including area code)

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Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions:

☐ Written communication pursuant to Rule 425 under the Securities Act (17 CFR 230.425)

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;☒ Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)

☐ Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))

☐ Pre-commencements communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))

Securities registered pursuant to Section 12(b) of the Act:

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| | | |
|:---|:---|:---|
| **Title of each class** | **Trading**<br> **Symbol(s)** | **Name of each exchange**<br> **on which registered** |
| **Units, each consisting of one share of Class A common stock and one-half of one warrant**<br>| **HPLTU**<br>| **The Nasdaq Stock Market LLC**<br>|
| **Class A common stock, par value $0.0001 per share**<br>| **HPLT**<br>| **The Nasdaq Stock Market LLC**<br>|
| **Warrants, each whole warrant exercisable for one share of Class A common stock at an exercise price of $11.50 per share**<br>| **HPLTW**<br>| **The Nasdaq Stock Market LLC**<br>|

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Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (§230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (§240.12b-2 of this chapter).

Emerging growth company ☒

If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. ☐

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| | |
|:---|:---|
| **Item 1.01** | **Entry into a Material Definitive Agreement** |

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*Amendment No. 1 to the Investment Management Trust Agreement*

As approved by its stockholders at the special meeting of stockholders held on March 30, 2023 (the "Special Meeting"), Home Plate Acquisition Corporation, a Delaware corporation (the "Company"), and Continental Stock Transfer & Trust Company entered into Amendment No. 1 (the "IMTA Amendment") to the Investment Management Trust Agreement, dated as of September 29, 2021 (the "IMTA"). The IMTA Amendment amends the IMTA allowing the Company to extend the period of time the Company must consummate a Business Combination (as defined in the IMTA) pursuant to the IMTA from April 4, 2023 to October 4, 2023.

The foregoing description of the IMTA Amendment is qualified in its entirety by reference to the IMTA Amendment, a copy of which is attached as Exhibit 10.1 hereto and is incorporated herein by reference.

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| | |
|:---|:---|
| **Item 5.03** | **Amendments to Articles of Incorporation or Bylaws** |

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As approved by its stockholders at the Special Meeting, the Company filed an amendment (the "Extension Amendment") to the Company's Amended and Restated Certificate of Incorporation (the "A&R Charter") with the Secretary of State of the State of Delaware. The Extension Amendment (i) extends the date by which the Company must consummate its initial business combination from April 4, 2023 to October 4, 2023 and (ii) provides holders of the Company's Class B common stock, par value $0.0001 per share ("Class B Common Stock") the right to convert any and all of their Class B Common Stock into the Company's Class A common stock, par value $0.0001 per share ("Class A Common Stock" and, together with the Class B Common Stock, the "Common Stock") on a one-for-one basis prior to the closing of a business combination at the election of the holder.

The foregoing description is qualified in its entirety by reference to the Extension Amendment, a copy of which is attached as Exhibit 3.1 hereto and is incorporated herein by reference.

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| | |
|:---|:---|
| **Item 5.07** | **Submission of Matters to a Vote of Security Holders** |

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On March 30, 2023, the Company convened the Special Meeting. As of the close of business on March 6, 2023, the record date for the Special Meeting, there were an aggregate of 25,000,000 shares of Common Stock outstanding (consisting of 20,000,000 shares of Class A Common Stock and 5,000,000 shares of the Company's Class B Common Stock), each of which was entitled to one vote with respect to the Extension Amendment Proposal, the Trust Amendment Proposal and the Founder Share Amendment Proposal (each as defined below). A total of 19,338,174 shares of Common Stock, representing approximately 77.35% of the outstanding shares of Common Stock entitled to vote at the Special Meeting, were present in person or by proxy, constituting a quorum. The proposals listed below are described in more detail in the Company's definitive proxy statement, which was filed with the Securities and Exchange Commission on March 13, 2023. The stockholders of the Company voted on proposals to amend the A&R Charter to extend the date by which the Company must consummate a business combination (the "Extension Amendment Proposal") and to provide holders of Class B Common Stock the right to convert their Class B Common Stock into Class A Common Stock prior to the closing of a business combination (the "Founder Share Amendment Proposal") and to amend the IMTA to extend the date by which the Company must consummate a business combination (the "Trust Amendment Proposal"). A summary of the voting results at the Special Meeting is set forth below:

**The Extension Amendment Proposal** – To approve and amend the A&R Charter to extend the date by which the Company must consummate a business combination from April 4, 2023 to October 4, 2023.

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| | | |
|:---|:---|:---|
| **For** | **Against** | **Abstain** |
| 18,879,171 | 459,003 | 0 |

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**The Founder Share Amendment Proposal** – To approve and amend the A&R Charter to provide holders of Class B Common Stock the right to convert any and all of their Class B Common Stock into Class A Common Stock on a one-for-one basis prior to the closing of a business combination at the election of the holder.

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| | | |
|:---|:---|:---|
| **For** | **Against** | **Abstain** |
| 18,878,168 | 459,003 | 1,003 |

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**The Trust Amendment Proposal** – To approve and amend the IMTA allowing the Company to extend the period of time required to consummate a business combination from April 4, 2023 to October 4, 2023.

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| | | |
|:---|:---|:---|
| **For** | **Against** | **Abstain** |
| 18,879,171 | 459,003 | 0 |

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Stockholders holding 17,727,065 shares of Class A Common Stock exercised their right to redeem such shares for a pro rata portion of the funds in the Trust Account. As a result, approximately $181,169,174 (approximately $10.22 per share) will be withdrawn from the Trust Account to pay such redeeming holders.

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| | |
|:---|:---|
| **Item 9.01.** | **Financial Statements and Exhibits.** |

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&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;(d) Exhibits.

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| | |
|:---|:---|
| **Exhibit No.** | **Description of Exhibits** |
| [3.1](brhc10050678_ex3-1.htm) | Amendment to the Amended and Restated Certificate of Incorporation of the Company. |
| [10.1](brhc10050678_ex10-1.htm) | Amendment No. 1 to the Investment Management Trust Agreement, dated March 30, 2023, entered into between the Company and Continental Stock Transfer & Trust Company. |
| 104 | Cover Page Interactive Data File (embedded within Inline XBRL document). |

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#### SIGNATURE
Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.

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| | | |
|:---|:---|:---|
|  | **Home Plate Acquisition Corporation** | **Home Plate Acquisition Corporation** |
| Date: March 31, 2023 | By: | /s/ Daniel Ciporin |
|  | Name: | Daniel Ciporin |
|  | Title: | Chief Executive Officer |

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## Exhibit 3.1

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#### Exhibit 3.1

#### CERTIFICATE OF AMENDMENT TO THE <br> AMENDED AND RESTATED <br> CERTIFICATE OF INCORPORATION <br> OF <br> HOME PLATE ACQUISITION CORPORATION
Home Plate Acquisition Corporation, a corporation organized and existing under the laws of the State of Delaware (the "***Corporation***"), does hereby certify:

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;1. The original certificate of incorporation of the Corporation was filed with the Secretary of State of Delaware on March 24, 2021, and amended and restated and filed with the Secretary of State of the State of Delaware on September 29, 2021 (as amended and restated, the "***Certificate of Incorporation***").

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;2. The Board of Directors of the Corporation has duly adopted resolutions setting forth amendments to the Amended and Restated Certificate of Incorporation (the ''Proposed Amendments''), declaring the Proposed Amendments to be advisable and in the best interests of the Corporation and its stockholders and authorizing the appropriate officers of the Corporation to solicit the consent of the stockholder therefor, which resolutions setting forth the Proposed Amendments are substantially as follows:

**RESOLVED**, that Section 4.3(b)(i) of Article IV of the Certificate of Incorporation is amended and restated to read in its entirety as follows:

"(i) Shares of Class B Common Stock shall be convertible into shares of Class A Common Stock on a one-for-one basis (the "**Initial Conversion Ratio**") (A) at any time at the election of holder of such shares of Class B Common Stock and (B) automatically upon the closing of the Business Combination."

**RESOLVED**, **FURTHER**, that Section 9.1(b) of Article IX of the Certificate of Incorporation is amended and restated to read in its entirety as follows:

"(b) Immediately after the Offering, a certain amount of the net offering proceeds received by the Corporation in the Offering (including the proceeds of any exercise of the underwriters' over-allotment option) and certain other amounts specified in the Corporation's registration statement on Form S-1, as initially filed with the Securities and Exchange Commission (the "**SEC**") on September 3, 2021, as amended (the "**Registration Statement**"), shall be deposited in a trust account (the "**Trust Account**"), established for the benefit of the Public Stockholders (as defined below) pursuant to a trust agreement described in the Registration Statement. Except for the withdrawal of interest income (if any) to pay the Corporation's taxes, none of the funds held in the Trust Account (including the interest earned on the funds held in the Trust Account) will be released from the Trust Account until the earliest to occur of (i) the completion of the initial Business Combination, (ii) the redemption of 100% of the Offering Shares (as defined below) if the Corporation does not complete its initial Business Combination within 24 months from the closing of the Offering, subject to applicable law, and (iii) the redemption of Offering Shares in connection with a stockholder vote to approve an amendment to this Amended and Restated Certificate that (A) would affect the substance or timing of the Corporation's obligation to allow redemption in connection with the initial Business Combination or to redeem 100% of the Offering Shares if the Corporation has not completed an initial Business Combination within 24 months from the closing of the Offering or (B) with respect to stockholders' rights or pre-initial Business Combination activity (as described in Section 9.7). Holders of shares of the Common Stock included as part of the units sold in the Offering (the "**Offering Shares**") (whether such Offering Shares were purchased in the Offering or in the secondary market following the Offering and whether or not such holders are the Sponsor or officers or directors of the Corporation, or any affiliates of any of the foregoing) are referred to herein as "**Public Stockholders**.""

**RESOLVED, FURTHER,** that Section 9.2(d) of Article IX of the Certificate of Incorporation is amended and restated to read in its entirety as follows:

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"(d) In the event that the Corporation has not completed an initial Business Combination within 24 months from the closing of the Offering, the Corporation shall (i) cease all operations except for the purpose of winding up, (ii) as promptly as reasonably possible but no more than ten business days thereafter subject to lawfully available funds therefor, redeem the Offering Shares, at a per-share price, payable in cash, equal to the aggregate amount then on deposit in the Trust Account, including interest earned on the funds held in the Trust Account not previously released to the Corporation to pay its taxes, if any (less up to $100,000 of interest to pay dissolution expenses), divided by the number of the then outstanding Offering Shares, which redemption will completely extinguish rights of the Public Stockholders (including the right to receive further liquidating distributions, if any), subject to applicable law, and (iii) as promptly as reasonably possible following such redemption, subject to the approval of the remaining stockholders and the Board in accordance with applicable law, liquidate and dissolve, subject in each case to the Corporation's obligations under the DGCL to provide for claims of creditors and the requirements of other applicable law."

**RESOLVED, FURTHER,** that Section 9.7 of Article IX of the Certificate of Incorporation is amended and restated to read in its entirety as follows:

"**<u>Additional Redemption Rights</u>**. If, in accordance with <u>Section 9.1(a)</u>, any amendment is made to <u>Section 9.2(d)</u> that would affect the substance or timing of the Corporation's obligation to allow redemption in connection with the Corporation's initial Business Combination or to redeem 100% of the Offering Shares if the Corporation does not complete an initial Business Combination within 24 months from the closing of the Offering or with respect to any other provision relating to stockholders' rights or pre-initial Business Combination activity, the Public Stockholders shall be provided with the opportunity to redeem their Offering Shares upon approval of any such amendment, at a per-share price, payable in cash, equal to the aggregate amount then on deposit in the Trust Account, including interest earned on the funds held in the Trust Account and not previously released to the Corporation to pay its taxes, divided by the number of the then outstanding Offering Shares; provided, however, that any such amendment will be voided, and this Article IX will remain unchanged, if any stockholders who wish to redeem are unable to redeem due to the Redemption Limitation."

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;3. All other provisions of the Certificate of Incorporation shall remain in full force and effect.

**IN WITNESS WHEREOF**, the Corporation has caused this Certificate of Amendment to be signed this day of March 30, 2023.

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| |
|:---|
| /s/ Jonathan Rosenzweig |
| Jonathan Rosenzweig<br> Chief Financial Officer and Secretary |

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## Exhibit 10.1

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#### Exhibit 10.1

#### AMENDMENT NO. 1 TO INVESTMENT MANAGEMENT TRUST AGREEMENT
THIS AMENDMENT NO. 1 TO THE INVESTMENT MANAGEMENT TRUST AGREEMENT (this "***Amendment***") is made as of March 30, 2023, by and between Home Plate Acquisition Corporation, a Delaware corporation (the "***Company***"), and Continental Stock Transfer & Trust Company, a New York corporation (the "***Trustee***"). Capitalized terms contained in this Amendment, but not specifically defined in this Amendment, shall have the meanings ascribed to such terms in the Original Agreement (as defined below).

WHEREAS, on October 4, 2021, the Company consummated an initial public offering (the "***Offering***") of units of the Company, each of which is composed of one share of the Company's Class A common stock, par value $0.0001 per share ("***Common Stock***"), and one-half of one redeemable warrant, each whole warrant entitling the holder thereof to purchase one share of Common Stock;

WHEREAS, $200,000,000 of the gross proceeds of the Offering and sale of the Private Placement Warrants (as defined in the Underwriting Agreement) were delivered to the Trustee to be deposited and held in the segregated Trust Account located in the United States for the benefit of the Company and the holders of the shares of Common Stock included in the Units issued in the Offering pursuant to the investment management trust agreement made effective as of September 29, 2021, by and between the Company and the Trustee (the "***Original Agreement***");

WHEREAS, the Company has sought the approval of the holders of its shares of Common Stock and holders of its shares of Class B common stock, par value $0.0001 per share (the "***Class B Common Stock***"), at a special meeting to: (i) give the Company the right to extend the date (the "***Termination Date***") by which it has to consummate a business combination from April 4, 2023 to October 4, 2023 (the "***Extended Date***") (the "***Extension Amendment***") and (ii) a proposal to amend the Original Agreement to allow the Company to extend the Termination Date to the Extended Date (the "***Trust Amendment***");

WHEREAS, holders of at least a majority of the then issued and outstanding shares of Common Stock and Class B Common Stock, voting together as a single class, approved the Extension Amendment and the Trust Amendment; and

WHEREAS, the parties desire to amend the Original Agreement to, among other things, reflect amendments to the Original Agreement contemplated by the Trust Amendment.

NOW, THEREFORE, in consideration of the mutual agreements contained herein and other good and valuable consideration, the receipt and sufficiency of which are hereby acknowledged, and intending to be legally bound hereby, the parties hereto agree as follows:

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;1. *Amendment to Trust Agreement.* Section 1(i) of the Original Agreement is hereby amended and restated in its entirety as follows:

"(i) Commence liquidation of the Trust Account only after and promptly after (x) receipt of, and only in accordance with, the terms of a letter from the Company ("**Termination Letter**") in a form substantially similar to that attached hereto as either Exhibit A or Exhibit B, as applicable, signed on behalf of the Company by the Chief Executive Officer, Chief Financial Officer, Secretary or Chairman of the board of directors of the Company (the "**Board**") or other authorized officer of the Company, and, in the case of Exhibit A, acknowledged and agreed to by the Representative, and complete the liquidation of the Trust Account and distribute the Property in the Trust Account, including interest not previously released to the Company to pay its tax obligations (net of taxes payable and expenses related to the administration of the trust account and less up to $100,000 of interest that may be released to the Company to pay dissolution expenses), only as directed in the Termination Letter and the other documents referred to therein, or (y) upon the date which is, the later of (1) 24 months after the closing of the Offering and (2) such later date as may be approved by the Company's stockholders in accordance with the Charter if a Termination Letter has not been received by the Trustee prior to such date, in which case the Trust Account shall be liquidated in accordance with the procedures set forth in the Termination Letter attached as Exhibit B and the Property in the Trust Account, including interest not previously released to the Company to pay its tax obligations (less up to $100,000 of interest that may be released to the Company to pay dissolution expenses) shall be distributed to the Public Stockholders of record as of such date; provided, however, that the Trustee has no obligation to monitor or question the Company's position that an allocation has been made for taxes payable;"

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2. *Miscellaneous Provisions.*

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;2.1. *Successors.* All the covenants and provisions of this Amendment by or for the benefit of the Company or the Trustee shall bind and inure to the benefit of their permitted respective successors and assigns.

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;2.2. *Severability.* This Amendment shall be deemed severable, and the invalidity or unenforceability of any term or provision hereof shall not affect the validity or enforceability of this Amendment or of any other term or provision hereof. Furthermore, in lieu of any such invalid or unenforceable term or provision, the parties hereto intend that there shall be added as a part of this Amendment a provision as similar in terms to such invalid or unenforceable provision as may be possible and be valid and enforceable.

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;2.3. *Applicable Law.* This Amendment shall be governed by and construed and enforced in accordance with the laws of the State of New York.

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;2.4. *Counterparts.* This Amendment may be executed in several original or facsimile counterparts, each of which shall constitute an original, and together shall constitute but one instrument.

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;2.5. *Effect of Headings.* The section headings herein are for convenience only and are not part of this Amendment and shall not affect the interpretation thereof.

&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;2.6. *Entire Agreement.* The Original Agreement, as modified by this Amendment, constitutes the entire understanding of the parties and supersedes all prior agreements, understandings, arrangements, promises and commitments, whether written or oral, express or implied, relating to the subject matter hereof, and all such prior agreements, understandings, arrangements, promises and commitments are hereby canceled and terminated.

*[Signature page follows]*

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IN WITNESS WHEREOF, the parties hereto have caused this Amendment to be duly executed as of the date first above written.

#### Continental Stock Transfer & Trust Company, as Trustee

By: /s/ Francis Wolf<br>

Name: Francis Wolf<br>

Title: Vice President<br>

#### Home Plate Acquisition Corporation

#### <br>

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| | |
|:---|:---|
| By: | /s/ Jonathan Rosenzweig |

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Name: Jonathan Rosenzweig <br> Title: Chief Financial Officer and Secretary

*[Signature Page to Amendment No. 1 to Investment Management Trust Agreement]*

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