STOCK TITAN

Alpha Modus (AMOD) swaps 3.87M preferred for 109.59M common shares

Filing Impact
(Neutral)
Filing Sentiment
(Neutral)
Form Type
PRE 14C

Rhea-AI Filing Summary

Alpha Modus Holdings, Inc. reports that holders controlling approximately 62.1% of voting stock approved by written consent an exchange of 3,870,000 shares of Series C Preferred Stock for 109,588,265 shares of Class A Common Stock.

The exchange fixes the conversion outcome tied to a $10.00 face value and a conversion reference price of $0.353 (five‑lowest average), eliminates the Preferred liquidation preference and redemption rights, and will become effective twenty calendar days after mailing to stockholders as of the April 8, 2026 record date.

Positive

  • None.

Negative

  • None.

Insights

Majority holders approved a large preferred‑for‑common exchange that materially increases common shares outstanding.

The action converts or cancels mezzanine equity by issuing 109,588,265 common shares in exchange for 3,870,000 Series C preferred shares with a stated face value of $10.00 per preferred share. The exchange removes preferred liquidation and redemption features.

The transaction required NASDAQ shareholder approval under Rule 5635(d) because the issuance exceeds 20% of pre‑issuance common stock; the consent of holders controlling approximately 62.1% sufficed under Delaware law. The action becomes effective twenty calendar days after mailing and the stockholder lockup runs to June 13, 2026.

Record Date April 8, 2026 holders of record entitled to notice
Majority approval 62.1% holders consenting to the exchange as of the Record Date
Preferred shares exchanged 3,870,000 shares Series C Preferred Stock surrendered in the Exchange
Common shares issued 109,588,265 shares Class A Common Stock to be issued in exchange
Preferred face value $10.00/share face value used to compute conversion reference
Conversion reference price $0.353 average of five lowest closing prices during ten trading days prior to April 8, 2026
Common shares outstanding (as of Record Date) 50,895,307 shares common shares issued and outstanding as of April 8, 2026
Series C Preferred Stock financial
"exchange of 3,870,000 shares of Series C Preferred Stock"
A Series C preferred stock is a specific class of ownership issued during a later funding round that gives holders priority over common shareholders for getting paid and receiving dividends, like having a reserved lane in traffic when money is distributed. It often includes agreed rights such as a fixed payout, protection against dilution, and the option to convert into common shares, so investors treat it as a mix of safety and upside potential.
NASDAQ Listing Rule 5635(d) regulatory
"approved the Exchange in accordance with NASDAQ Listing Rule 5635(d)"
Nasdaq Listing Rule 5635(d) is a stock-exchange rule that determines when a company must get shareholder approval before issuing new shares tied to conversions or exercises of existing convertible securities, options or warrants. It matters to investors because it controls potential dilution of their holdings and changes in voting power—think of it like a rule that decides whether a previously agreed‑upon coupon can be redeemed without asking the group again.
liquidation preference financial
"Shares of Series C Preferred Stock have liquidation preferences over the Common Stock"
A liquidation preference is a rule that determines who gets paid first and how much they receive when a company is sold, goes bankrupt, or distributes its assets. It gives certain investors a priority claim—often returning their original investment plus any agreed multiple—before other owners receive money, which shapes how much common shareholders and founders ultimately get; think of it as a front-of-the-line pass that affects payout order and investor returns.
lockup market
"Stockholder agreed to lock up the Common Shares until June 13, 2026"
A lockup is a contractual restriction that prevents company insiders, early investors, and employees from selling their shares for a fixed period after a public offering or other share issuance. It matters to investors because when that period ends, a sudden increase in available shares can push the stock price down or change trading liquidity; think of it like many homeowners being allowed to list their homes for sale all at once after a temporary sales ban is lifted.

 

 

 

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, DC 20549

 

SCHEDULE 14C

 

Information Statement Pursuant to Section 14(c) of the

Securities Exchange Act of 1934

 

Check the appropriate box:
   
Preliminary Information statement
   
Confidential, For Use of the Commission Only (as permitted by Rule 14c-5(d)(2))
   
Definitive Information Statement

 

ALPHA MODUS HOLDINGS, INC.

(Name of Registrant as Specified in Its Charter)

 

Payment of filing fee (Check the appropriate box):
   
No Fee Required
   
Fee computed on table below per Exchange Act Rules 14c-5(g) and 0-11.

 

  (1) Title of each class of securities to which transactions applies:
     
   
   
  (2) Aggregate number of securities to which transactions applies:
     
   
   
  (3) Per unit price or other underlying value of transaction computed pursuant to Exchange Act Rule 0-11 (set forth the amount on which the filing fee is calculated and state how it was determined):
     
   
   
  (4) Proposed maximum aggregate value of transaction:
     
   
   
  (5) Total fee paid:
     
   

 

Fee paid previously with preliminary materials.
   
Check box if any part of the fee is offset as provided by Exchange Act Rule 0-11(a)(2) and identify the filing for which the offsetting fee was paid previously. Identify the previous filing by registration statement number, or the Form or Schedule and the date of its filing.

 

  (1) Amount previously paid:
     
   
     
  (2) Form, Schedule or Registration Statement No.:
     
   
     
  (3) Filing party:
     
   
     
  (4) Date filed:
     
   

 

 

 

 

 

 

ALPHA MODUS HOLDINGS, INC.

20311 Chartwell Center Dr., #1469

Cornelius, NC 28031

(704) 252-5050

 

INFORMATION STATEMENT

 

To the Holders of Common Stock of Alpha Modus Holdings, Inc.,

 

This Information Statement is being circulated to the stockholders of record of the outstanding Class A common stock, $0.0001 par value per share (the “Common Stock”), of Alpha Modus Holdings, Inc. (the “Company”), as of the close of business on April 8, 2026 (the “Record Date”), pursuant to Rule 14c-2 promulgated under the Securities Exchange Act of 1934, as amended (the “Exchange Act”). The purpose of this Information Statement is to inform our stockholders of actions taken by written consent of the holders of a majority of the outstanding voting stock of the Company, holding approximately 62.1% of the outstanding shares of our voting stock (the “Majority Stockholders”). This Information Statement shall be considered the notice required under the Delaware General Corporation Law (the “DGCL”).

 

WE ARE NOT ASKING YOU FOR A PROXY AND

YOU ARE REQUESTED NOT TO SEND US A PROXY

 

The following actions were authorized by written consent of the Majority Stockholders:

 

Exchange of Series C Preferred Stock for Common Stock

 

On April 8, 2026, the Company agreed to, and the Company’s Board of Directors approved, the exchange (the “Exchange”) of 3,870,000 shares of Series C Preferred Stock of the Company (the “Preferred Shares”) held by an affiliate of the Company’s CEO, William Alessi (and deemed to be beneficially owned by him), for 109,588,265 shares of Class A Common Stock (“Common Stock”) of the Company (the “Common Shares”).

 

Shares of Series C Preferred Stock have liquidation preferences over the Common Stock, redemption rights, voting rights, and, so long as certain trigger events have not occurred, are not generally convertible until at least 18 months following the closing of the Company’s merger with Alpha Modus, Corp., and following that date, they are convertible into shares of Common Stock based on their $10.00 face value divided by a conversion price equal to the average of the five lowest closing prices of the Common Stock during the ten trading days prior to the conversion notice. The average of the five lowest closing prices of the Common Stock during the ten trading days prior to April 8, 2026, was $0.353, so if the Preferred Shares had been convertible, they would have converted into the same 109,588,265 shares of Common Stock.

 

The Company is subject to the NASDAQ Stock Market’s Listing Rules because the Common Stock is currently listed on the NASDAQ Capital Market (“NASDAQ”). The issuance of the Common Shares in exchange for the Preferred Shares may implicate certain of the NASDAQ listing standards requiring stockholder approval in order to maintain our listing on NASDAQ.

 

The Majority Stockholders, in accordance with NASDAQ Listing Rule 5635(d), approved the Exchange and the issuance of the Common Shares in exchange for the Preferred Shares.

 

The written consents of the Majority Stockholders we have received constitute the only stockholder approval required under the DGCL, NASDAQ Listing Rule 5635(d), our Second Amended and Restated Certificate of Incorporation, and our Amended and Restated Bylaws, to approve the issuance of the Common Shares in exchange for the Preferred Shares. Our Board of Directors is not soliciting your consent or your proxy in connection with this action, and neither consents nor proxies are being requested from stockholders.

 

The actions taken by written consent of the Majority Stockholders will not become effective until the date that is twenty (20) calendar days after this Information Statement is first mailed or otherwise delivered to holders of our Common Stock as of the Record Date.

 

  By order of the Board of Directors
   
  William Alessi
  Chief Executive Officer and Director
   
  April [__], 2026

 

 

 

 

THIS INFORMATION STATEMENT IS BEING PROVIDED TO YOU BY THE BOARD OF

DIRECTORS OF THE COMPANY. WE ARE NOT ASKING YOU FOR A PROXY AND

YOU ARE REQUESTED NOT TO SEND US A PROXY

 

INFORMATION STATEMENT

(Preliminary)

 

April [__], 2026

 

GENERAL INFORMATION

 

Alpha Modus Holdings, Inc., a Nevada corporation, with its principal executive offices located at 20311 Chartwell Center Dr., #1469, Cornelius, NC, 28031, is sending you this Notice and Information Statement to notify you of an action that the Majority Stockholders has taken by written consent in lieu of a special meeting of stockholders. References in this Information Statement to the “Company, “we,” “our,” “us,” and “Alpha Modus” are to Alpha Modus Holdings, Inc., and, to the extent applicable, its subsidiaries. The entire cost of furnishing this Information Statement will be borne by the Company. We will request brokerage houses, nominees, custodians, fiduciaries and other like parties to forward the Information Statement to beneficial owners of the Common Stock held of record by them.

 

Copies of this Information Statement are being mailed on or about April [__], 2026, to the holders of record of the outstanding shares of our Common Stock on April 8, 2026, which we refer to as the “Record Date.”

 

Background

 

The following actions were approved by the written consent of the Majority Stockholders holding approximately 62.1% of our outstanding voting stock as of April 8, 2026, in lieu of a special meeting of our stockholders.

 

Exchange of Series C Preferred Stock for Common Stock

 

On April 8, 2026, the Company agreed to, and the Company’s Board of Directors approved, the exchange (the “Exchange”) of 3,870,000 shares of Series C Preferred Stock of the Company (the “Preferred Shares”) held by an affiliate of the Company’s CEO, William Alessi (and deemed to be beneficially owned by him), for 109,588,265 shares of Class A Common Stock (“Common Stock”) of the Company (the “Common Shares”).

 

Shares of Series C Preferred Stock have liquidation preferences over the Common Stock, redemption rights, voting rights, and, so long as certain trigger events have not occurred, are not generally convertible until at least 18 months following the closing of the Company’s merger with Alpha Modus, Corp., and following that date, they are convertible into shares of Common Stock based on their $10.00 face value divided by a conversion price equal to the average of the five lowest closing prices of the Common Stock during the ten trading days prior to the conversion notice. The average of the five lowest closing prices of the Common Stock during the ten trading days prior to April 8, 2026, was $0.353, so if the Preferred Shares had been convertible, they would have converted into the same 109,588,265 shares of Common Stock.

 

The Company is subject to the NASDAQ Stock Market’s Listing Rules because the Common Stock is currently listed on the NASDAQ Capital Market (“NASDAQ”). The issuance of the Common Shares in exchange for the Preferred Shares implicates certain of the NASDAQ listing standards requiring stockholder approval in order to maintain our listing on NASDAQ.

 

The Majority Stockholders, in accordance with NASDAQ Listing Rule 5635(d), approved the Exchange and the issuance of the Common Shares in exchange for the Preferred Shares.

 

The written consents of the Majority Stockholders we have received constitute the only stockholder approval required under the DGCL, NASDAQ Listing Rule 5635(d), our Second Amended and Restated Certificate of Incorporation, and our Amended and Restated Bylaws, to approve the issuance of the Common Shares in exchange for the Preferred Shares. Our Board of Directors is not soliciting your consent or your proxy in connection with this action, and neither consents nor proxies are being requested from stockholders.

 

The actions taken by written consent of the Majority Stockholders will not become effective until the date that is twenty (20) calendar days after this Information Statement is first mailed or otherwise delivered to holders of our Common Stock as of the Record Date.

 

WE ARE NOT ASKING YOU FOR A PROXY, AND

YOU ARE REQUESTED NOT TO SEND A PROXY.

 

 

 

 

ACTION TAKEN

 

This Information Statement contains a brief summary of the material aspects of the action approved by the members of the Board of Directors of the Company and the Majority Stockholders.

 

APPROVAL OF THE ISSUANCE OF THE COMMON SHARES IN EXCHANGE FOR THE PREFERRED SHARES, IN ACCORDANCE WITH APPLICABLE NASDAQ LISTING RULES

 

On April 8, 2026, the Company agreed to, and the Company’s Board of Directors approved, the Exchange of 3,870,000 shares of Series C Preferred Stock of the Company (the Preferred Shares) held by an affiliate of the Company’s CEO, William Alessi (held in the name of The Alessi 2023 Irrevocable Trust, all of which Preferred Shares are deemed to beneficially owned by Mr. Alessi as Mr. Alessi’s spouse is the trustee of the trust, which is referred to herein as the “Stockholder”), for 109,588,265 shares of Common Stock (the Common Shares) to be issued to the Stockholder.

 

Shares of Series C Preferred Stock have liquidation preferences over the Common Stock, redemption rights, voting rights, and, so long as certain trigger events have not occurred, are not generally convertible until at least 18 months following the closing of the Company’s merger with Alpha Modus, Corp. (which closing occurred on December 13, 2024), and following that date (June 13, 2026), they are convertible into shares of Common Stock based on their $10.00 face value divided by a conversion price equal to the average of the five lowest closing prices of the Common Stock during the ten trading days prior to the conversion notice. The average of the five lowest closing prices of the Common Stock during the ten trading days prior to April 8, 2026, was $0.353, so if the Preferred Shares had been convertible, they would have converted into the same 109,588,265 shares of Common Stock.

 

On April 8, 2026, the Stockholder agreed with the Company to lock up the Common Shares such that the Stockholder will not sell or otherwise transfer the Common Shares (other than to an affiliate) until June 13, 2026 (the date that the Preferred Shares would have become convertible if no trigger events had occurred).

 

The Company agreed to the Exchange as issuing the Common Shares in exchange for and cancellation of the Preferred Shares will (i) eliminate the liquidation preferences and redemption rights with respect to the Preferred Shares, (ii) fix the number of shares Common Stock to be issued upon conversion of the Preferred Shares (which would have generally been generally convertible in the future based on the closing price of the Common Stock as described above), and ensure that future decreases in the trading prices of the Company’s common stock would not result in more shares of Common Stock being issued upon conversion, (iii) eliminate mezzanine equity on the Company’s balance sheet and reduce stockholders’ deficit, and (iv) increase the market value of the Company’s securities listed on the Nasdaq Capital Market.

 

Stockholders Entitled to Receive Notice of Action by Written Consent

 

Under Section 228 of the DGCL, any action that can be taken at an annual or special meeting of stockholders may be taken without a meeting, without prior notice and without a vote, if the holders of outstanding stock having not less than the minimum number of votes that would be necessary to authorize or take such action at a meeting at which all shares entitled to vote thereon were present, consent to such action in writing. Prompt notice of any action so taken by written consent must be provided to all holders of our Common Stock as of the Record Date.

 

 

 

 

NASDAQ Listing Requirements and the Necessity of Stockholder Approval

 

The Company is subject to the NASDAQ Listing Rules because our Common Stock is currently listed on NASDAQ. The issuance of the Common Shares implicate certain of the NASDAQ listing standards requiring prior stockholder approval in order to maintain our listing on NASDAQ, as follows:

 

  NASDAQ Listing Rule 5635(d) requires stockholder approval prior to a transaction, other than a public offering, involving the sale, issuance or potential issuance by the issuer of common stock (or securities convertible into or exercisable for common stock), which alone or together with sales by officers, directors or substantial stockholders of the issuer, equals 20% or more of the common stock or 20% or more of the voting power outstanding before the issuance at a price that is less than the lower of (i) the closing price immediately preceding the signing of the binding agreement; or (ii) the average closing price of the common stock for the five trading days immediately preceding the signing of the binding agreement (such lower price the “Minimum Price”).

 

The Common Shares will constitute more than 20% of the Company’s Common Stock outstanding before the issuance of the Common Shares. The closing price of the Common Stock immediately prior to the Company’s agreement with and approval of the Exchange was $0.3537/share, the average closing price of the Common Stock for the five trading days immediately preceding the signing the Exchange agreement and approval was $0.3591/share, and the Minimum Price is therefore $0.3537/share. The 3,870,000 Preferred Shares to be exchanged have a face value of $10.00 per share ($38,700,000 in the aggregate), and the 109,588,265 Common Shares will therefore be issued at approximately $0.353/share, which is less than the Minimum Price. Because the Common Shares will be issued at a price less than the Minimum Price, the Company secured stockholder approval of the Exchange and issuance of the Common Shares pursuant to NASDAQ Listing Rule 5635(d), which applies to the Exchange and the issuance of the Common Shares.

 

The Majority Stockholders, in accordance with NASDAQ Listing Rule 5635(d), approved the Exchange and the issuance of the Common Shares.

 

Effective Date of Action by Written Consent

 

Pursuant to Rule 14c-2 promulgated under the Exchange Act, the earliest date that the corporate action being taken pursuant to the written consent can become effective is 20 calendar days after the first mailing or other delivery of this Information Statement to holders of our Common Stock as of the Record Date. On the 20th calendar day after the first mailing or other delivery of this Information Statement, the action taken by written consent of the Majority Stockholders described above will become effective, and the Common Shares will be issued. We recommend that you read this Information Statement in its entirety for a full description of the action approved by the holders of a majority of our outstanding Common Stock.

 

Dissenter’s Rights of Appraisal

 

Stockholders do not have any dissenter’s rights or appraisal rights in connection with the approval of the Exchange and the issuance of the Common Shares.

 

OUTSTANDING VOTING SECURITIES

 

Each share of our Common Stock entitles its holder to one vote on each matter submitted to stockholders, and each share of Series C Preferred Stock entitles its holder to one vote on each matter submitted to stockholders. As of the Record Date, 50,895,307 shares of Common Stock were issued and outstanding and entitled to take action by written consent and to receive notice of the action taken by written consent, and 30,422,176 shares of Common Stock owned by the Majority Stockholders and 3,870,000 shares of Series C Preferred Stock owned by the Majority Stockholders consented in favor of the actions to be taken, constituting approximately 62.1% of the total votes of the Company’s voting capital stock outstanding as of the Record Date. Such stock voted in favor the actions to be taken consists of the following: (i) 139,784 shares of Common Stock held in the name of The Alessi 2023 Irrevocable Trust, (ii) 6,719,967 shares of Common Stock held in the name of The WRA 2023 Irrevocable Trust, (iii) 6,719,967 shares of Common Stock held in the name of The Janet Alessi 2023 Irrevocable Trust, (iv) 6,719,967 shares of Common Stock held in the name of The Isabella Alessi 2023 Irrevocable Trust, (v) 6,719,967 shares of Common Stock held in the name of The Kim Alessi Richter Irrevocable Trust, (vi) 610,216 shares of Common Stock held in the name of the Alessi Revocable Trust, (vii) 2,792,308 shares of Common Stock held in the name of Janbella Group, LLC, and (viii) 3,870,000 shares of Series C Preferred Stock held in the name of The Alessi 2023 Irrevocable Trust. William Alessi’s spouse, Sonia Alessi, is the trustee of each of the preceding trusts, and Mr. Alessi is deemed to be the beneficial owner of shares held in the name of each of the trusts. Mr. Alessi has voting and investment discretion with respect to shares held by Janbella Group, LLC, and is deemed to be the beneficial owner of shares held in the name of Janbella Group, LLC.

 

As of April 8, 2026, the Majority Stockholders had executed and delivered to the Company written consents approving the action set forth herein. Since the action has been approved by the Majority Stockholders, no proxies are being solicited with this Information Statement.

 

 

 

 

SECURITY OWNERSHIP OF CERTAIN BENEFICIAL OWNERS AND MANAGEMENT

 

The following table sets forth certain information with respect to the beneficial ownership of our common stock as of April 8, 2026, for (i) each of our named executive officers and directors; (ii) all of our named executive officers and directors as a group; and (iii) each other shareholder known by us to be the beneficial owner of more than 5% of our outstanding common stock.

 

Beneficial ownership is determined in accordance with SEC rules and generally includes voting or investment power with respect to securities. For purposes of this table, a person or group of persons is deemed to have “beneficial ownership” of any shares of common stock that such person or any member of such group has the right to acquire within sixty (60) days thereafter. For purposes of computing the percentage of outstanding shares of our common stock held by each person or group of persons named above, any shares that such person or persons has the right to acquire within sixty (60) days are deemed to be outstanding for such person, but not deemed to be outstanding for the purpose of computing the percentage ownership of any other person. The inclusion herein of any shares listed as beneficially owned does not constitute an admission of beneficial ownership by any person.

 

The percentages below are calculated based on 50,895,307 shares of our Common Stock, and 4,300,000 shares of Series C Preferred Stock, issued and outstanding as of April 8, 2026. Unless otherwise indicated, the address of each beneficial owner listed in the table below is c/o our company, Alpha Modus Holdings, Inc., 20311 Chartwell Center Dr., #1469, Cornelius, NC, 28031.

 

Name and Address
of Beneficial
Owner
  Number of
Shares of
Class A
Common Stock
   %   Number of
Shares of
Series C
Preferred
Stock
   % 
Directors and Executive Officers                    
William Alessi   31,172,176(1)   61.2%   3,870,000(2)   90.0%
Rodney Sperry   54,249    0.1           
Chris Chumas   206,641(3)   0.4%   -    - 
Thomas Gallagher   81,000    0.2%   430,000    10.0%
Michael Garel   105,652    0.2%   -    - 
Gregory Richter   121,252(4)   0.2%   -    - 
Scott Wattenberg   85,252    0.2%   -    - 
William Ullman   787,832(5)   1.5%   -    - 
All Directors and Executive Officers as a Group   32,614,054    63.5%   4,300,000    100.0%

 

  (1) Includes (i) 139,784 shares of common stock held in the name of The Alessi 2023 Irrevocable Trust, (ii) 6,719,967 shares of common stock held in the name of The WRA 2023 Irrevocable Trust, (iii) 6,719,967 shares of common stock held in the name of The Janet Alessi 2023 Irrevocable Trust, (iv) 6,719,967 shares of common stock held in the name of The Isabella Alessi 2023 Irrevocable Trust, (v) 6,719,967 shares of common stock held in the name of The Kim Alessi Richter Irrevocable Trust, (vi) 610,216 shares of common stock held in the name of the Alessi Revocable Trust, (vii) 2,792,308 shares of common stock held in the name of Janbella Group, LLC, and (viii) 750,000 shares of common stock held in the name of Insight Acquisition Sponsor LLC, which has granted an irrevocable proxy to vote such shares to William Alessi. William Alessi’s spouse, Sonia Alessi, is the trustee of each of the preceding trusts, and Mr. Alessi is deemed to be the beneficial owner of shares held in the name of each of the trusts. Mr. Alessi has voting and investment discretion with respect to shares held by Janbella Group, LLC, and is deemed to be the beneficial owner of shares held in the name of Janbella Group, LLC.
     
  (2) Consists of (i) 3,870,000 shares of Series C Preferred Stock held in the name of The Alessi 2023 Irrevocable Trust.
     
  (3) Consists of (i) 75,000 shares of Class A common stock held in the name of Chris Chumas, and (ii) 6,000 shares of Class A common stock held in the name of Mr. Chumas’s spouse, Amanda Chumas.
     
  (4) Includes (i) 121,252 shares of Class A common stock held in the name of Gregory Richter, and (ii) 16,000 shares of Class A common stock held in the name of Mr. Richter’s spouse, Kim Alessi Richter.
     
  (5) Includes (i) 156,797 shares of Class A common stock held in the name of William Ullman, (ii) 159,983 shares of Class A common stock held in the name of Water Street Opportunities I LLC, (iii) 50,000 shares of common stock issuable under the Private Placement Warrants held by Mr. Ullman, which are deemed to be beneficially owned by Mr. Ullman since the warrants are exercisable within 60 days of the date of the Closing, and (iii) 421,052 shares of common stock issuable under the Private Placement Warrants held by Water Street Opportunities I LLC, which are deemed to be beneficially owned by Water Street Opportunities I LLC since the warrants are exercisable within 60 days of the date of the Closing. Mr. Ullman has voting and investment discretion with respect to securities held by Water Street Opportunities I LLC, and is deemed to be the beneficial owner of securities held in the name of Water Street Opportunities I LLC.

 

CAUTIONARY NOTE REGARDING FORWARD-LOOKING STATEMENTS

 

This Information Statement contains forward-looking statements in addition to historical information. When used in this Information Statement, the words “can,” “will,” “intends,” “expects,” “believes,” similar expressions and any other statements that are not historical facts are intended to identify those assertions as forward-looking statements. All statements that address activities, events or developments that the Company intends, expects or believes may occur in the future are forward-looking statements. Any forward-looking statements made by the Company in this Information Statement speak only as of the date hereof. Factors or events that affect the transactions or could cause the Company’s actual results to differ may emerge from time to time, and it is not possible for the Company to predict all of them. The Company does not undertake any obligation to update or revise any forward-looking statement, whether as a result of new information, future developments or otherwise, except as may be required by any applicable securities laws.

 

 

 

 

INCORPORATION OF CERTAIN INFORMATION BY REFERENCE

 

The SEC allows us to incorporate by reference information into this Information Statement, which means that we can disclose important information to you by referring you to another document that we have filed separately with the SEC. The information incorporated by reference is deemed to be part of this Information Statement.

 

The following documents, as filed with the SEC by the Company, are incorporated herein by reference:

 

  (1) Annual Report on Form 10-K for the year ended December 31, 2025, filed on March 31, 2026.
  (2) Current Report on Form 8-K filed on April 10, 2026.

 

Copies of documents incorporated by reference, excluding exhibits except to the extent such exhibits are specifically incorporated by reference, are available from us without charge, upon oral or written request to:

 

ALPHA MODUS HOLDINGS, INC.

20311 Chartwell Center Dr., #1469

Cornelius, NC 28031

(704) 252-5050

Attn: Secretary

 

ADDITIONAL INFORMATION

 

We file reports with the SEC. These reports include annual and quarterly reports, as well as other information the Company is required to file pursuant to the Exchange Act. You may read and copy materials we file with the SEC at the SEC’s Public Reference Room at 100 F Street, N.E., Washington, D.C. 20549. You may obtain information on the operation of the Public Reference Room by calling the SEC at 1-800-SEC-0330. The SEC maintains an Internet site that contains reports, proxy and information statements, and other information regarding issuers that file electronically with the SEC at http://www.sec.gov.

 

  By order of the Board of Directors
   
  William Alessi
  Chief Executive Officer and Director
   
  April [__], 2026

 

 

 

 

FAQ

What did AMOD shareholders approve?

Holders controlling about 62.1% approved the exchange of 3,870,000 Series C Preferred Shares for 109,588,265 Class A Common Shares, as described in the Information Statement.

How many new Class A shares will AMOD issue?

The company will issue 109,588,265 Class A Common Shares in exchange for the Preferred Shares; the issuance is tied to the Preferred face value and conversion reference price described in the filing.

Why was stockholder approval required for the AMOD exchange?

Approval was required under NASDAQ Listing Rule 5635(d) because the issued Common Shares exceed 20% of pre‑issuance common stock; the Majority Stockholders provided the required consent.

When does the exchange become effective and are there transfer restrictions?

The exchange becomes effective twenty calendar days after mailing to holders of record as of April 8, 2026. The receiving stockholder agreed to a lockup until June 13, 2026 except transfers to affiliates.

What happens to the Series C Preferred rights after the exchange?

The exchange cancels the Preferred Shares and eliminates their liquidation preferences and redemption rights, per the Information Statement describing the approved action.