Welcome to our dedicated page for Fiscalnote Hldg SEC filings (Ticker: NOTE), a comprehensive resource for investors and traders seeking official regulatory documents including 10-K annual reports, 10-Q quarterly earnings, 8-K material events, and insider trading forms.
FiscalNote Holdings, Inc. filings document the regulatory record for an operating company that provides AI-driven policy and regulatory intelligence through PolicyNote and related advocacy, data and analysis products. Its 8-K filings cover reported financial results, Regulation FD communications, product and market-strategy disclosures, director changes and listing-status events.
FiscalNote's SEC record also includes proxy materials covering governance, board matters and executive compensation; Form 25 materials related to removal of its Class A common stock and warrants from NYSE listing; and late-filing notices for annual reporting. The filings describe capital structure matters involving Class A common stock and warrants, public-company reporting obligations, governance controls and risk disclosures tied to its software and information-services business.
FiscalNote Holdings, Inc. President and CEO Josh Resnik reported two Class A Common Stock transactions. On December 31, 2025, he acquired 3,376 shares at $1.25 per share through the company’s 2022 Employee Stock Purchase Plan, a transaction described as exempt under Rule 16b-3(d) and Rule 16b-3(c). This increased his direct holdings to 218,376 shares.
On January 20, 2026, 850 shares were withheld at $1.57 per share to cover his tax obligation upon the vesting of 2,153 restricted stock units, leaving him with 217,526 directly held shares of Class A Common Stock. Both transactions involve only directly owned shares and reflect routine plan participation and tax withholding rather than open-market buying or selling.
FiscalNote Holdings, Inc. reported an insider tax-withholding transaction by its Chief Legal & Administrative Officer, Todd Aman. On January 20, 2026, 317 shares of Class A Common Stock were withheld at a price of $1.57 per share to cover his tax obligations arising from the vesting of 893 restricted stock units.
After this withholding, Aman directly beneficially owned 79,770 shares of FiscalNote Class A Common Stock. The transaction reflects share withholding for taxes rather than an open-market sale.
FiscalNote Holdings, Inc. reported an insider equity transaction by its Chief Legal & Administrative Officer on 01/02/2026. The officer had 8,331 shares of Class A common stock withheld at a price of $1.59 per share, coded as an "F" transaction, which indicates shares withheld to cover obligations such as taxes. After this transaction, the officer beneficially owned 80,087 shares directly. The withheld shares arose from the vesting of 25,220 restricted stock units, and the transaction reflects tax settlement rather than an open-market sale.
FiscalNote Holdings, Inc. insider filing discloses a small share withholding by the President and CEO. On 01/02/2026, the CEO reported that 159 shares of Class A Common Stock were withheld at a price of $1.59 per share to cover tax obligations related to the vesting of 811 restricted stock units. After this transaction, the reporting person beneficially owned 215,000 shares of Class A Common Stock directly.
FiscalNote Holdings, Inc. reported an insider equity transaction by its CFO and SVP, Corporate Development. On 01/02/2026, 6,235 shares of Class A common stock were withheld at $1.59 per share to cover the executive’s tax obligation upon the vesting of 25,220 restricted stock units. After this tax withholding, the officer beneficially owns 109,203 shares of FiscalNote Class A common stock.
FiscalNote Holdings, Inc. director and 10% owner Timothy T. Hwang reported routine insider sales of Class A common stock related to tax withholding on vested restricted stock units. On 01/02/2026, he sold 1,293 and 423 shares of Class A common stock at a price of $1.6088 per share. These sales were made in sell-to-cover transactions to satisfy his tax obligations upon the vesting of 7,486 and 2,447 restricted stock units under a Rule 10b5-1 trading plan adopted on May 16, 2025. Following the reported transactions, he continued to hold a substantial indirect position in FiscalNote through the Timothy T. Hwang Revocable Trust, of which he is trustee.
NOTE insider plans to sell Class A shares under Rule 144. A holder has filed to sell 1,716 Class A shares through Fidelity Brokerage Services, with an aggregate market value of $2,760.70, on the NYSE. The filing states that 15,018,986 Class A shares are outstanding. The shares to be sold were acquired on 01/02/2026 through restricted stock vesting from the issuer as compensation, with payment made on the same date.
The seller, identified as Timothy Hwang, has also sold Class A shares of the same issuer during the past three months. These prior sales include 7,695 shares on 11/07/2025 for gross proceeds of $19,960.83 and 5,590 shares on 12/03/2025 for gross proceeds of $10,695.90. The signer represents that they are not aware of any undisclosed material adverse information about the issuer’s current or prospective operations.
FiscalNote Holdings, Inc. is registering up to 2,349,395 shares of Class A common stock for resale by a single selling stockholder. These shares are issuable under a Convertible Note that currently has approximately $20.4 million of principal outstanding and was issued pursuant to an August 5, 2025 Redemption and Exchange Agreement. The company will not receive any proceeds from the resale of these shares, though it may satisfy principal and interest on the note in cash or stock. The Convertible Note bears interest at 7.50% per year, is convertible at an initial price of $82.92 per share, and includes anti-dilution protections and quarterly $2 million principal installment obligations beginning April 1, 2026. Issuances are limited so the holder generally cannot own more than 4.99% of the outstanding Class A shares, which can be increased to 9.99% with notice.
FiscalNote Holdings, Inc. director reported an equity compensation grant of Class A common stock. On 12/01/2025, the non-management director received 5,136 shares of Class A common stock at a price of $0 per share, issued in lieu of a quarterly cash retainer for board service.
After this grant, the director beneficially owns 57,499 Class A shares directly and 6,724 Class A shares indirectly through the Sweeney Trust dated March 27, 2003, where the reporting person serves as trustee. The filing is made on Form 4 by a single reporting person in the capacity of a director.
FiscalNote Holdings director and 10% owner reports tax-related share sales
A FiscalNote Holdings, Inc. insider who serves as both a director and 10% owner reported automatic sales of Class A common stock tied to restricted stock unit (RSU) vesting. On 12/02/2025, the reporting person sold 4,213 and 1,377 Class A shares at a price of $1.9134 per share in separate transactions. These sales were made to cover tax obligations that arose when 7,486 and 2,447 RSUs vested, under a pre-established Rule 10b5-1 trading plan adopted on May 16, 2025. After these transactions, 201,205 Class A shares were reported as beneficially owned indirectly through the Timothy T. Hwang Revocable Trust, for which the reporting person serves as trustee.