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.
Form 144 filed for a proposed sale of 7,695 Class A shares, with an approximate sale date of November 7, 2025. The indicated aggregate market value is $19,960.83, and the broker listed is Fidelity Brokerage Services LLC for transactions on the NYSE.
The shares were acquired on November 3, 2025 via restricted stock vesting as compensation. Over the past three months, the Timothy T. Hwang Revocable Trust reported sales of 5,785 shares on September 4, 2025 for $24,545.18 and 4,766 shares on October 2, 2025 for $22,860.60. The filing lists 163,909,082 shares outstanding.
FiscalNote Holdings, Inc. furnished an 8-K announcing its financial results for the quarter ended September 30, 2025. The results were disclosed via a press release attached as Exhibit 99.1 under Item 2.02 (Results of Operations and Financial Condition).
The company states that the Item 2.02 information, including Exhibit 99.1, is being furnished and is not deemed “filed” for purposes of Section 18 of the Exchange Act, nor incorporated by reference unless expressly set forth. No additional financial details are included in this report.
FiscalNote Holdings (NOTE) disclosed a Form 4 for its President and CEO. On 10/31/2025, 277 shares of Class A Common Stock were withheld (Transaction Code F) at $4.1 to satisfy taxes triggered by the vesting of 810 restricted stock units.
After this tax withholding, the reporting person beneficially owned 228,670 shares directly. This reflects a routine, non‑open‑market tax settlement tied to equity vesting.
FiscalNote Holdings, Inc. disclosed executive compensation changes and retention incentives. The company entered into amended and restated employment agreements with CEO Josh Resnik and CFO Jon Slabaugh that adjust the severance multiple used for benefits upon a Covered Termination, revise the definition of “Good Reason,” and confirm that “Target Bonus” is tied to the fiscal year of the Date of Termination. The Compensation Committee approved the agreements.
The Committee also granted one-time cash retention awards of $500,000 to Mr. Resnik and $300,000 to Mr. Slabaugh, payable if each remains employed for 48 months after executing the award agreements, with acceleration in certain specified scenarios. In addition, the Committee adopted an Amended and Restated Change in Control Severance Plan to replace the prior plan; principal executive and financial officers and named executive officers do not participate in the new plan.
FiscalNote Holdings (NOTE) disclosed a routine insider transaction on a Form 4. A director reported that 305 shares of Class A common stock were withheld on 10/17/2025 to satisfy taxes upon the vesting of 893 restricted stock units. The shares were valued at $4.25 each for this tax withholding event.
Following the transaction, the reporting person beneficially owns 38,122 shares indirectly through the Gerald Yao Revocable Trust dated January 10, 2019. This filing reflects standard tax withholding associated with equity vesting rather than an open-market sale.
FiscalNote Holdings (NOTE) reported a routine insider transaction by its CFO and SVP, Corp. Dev. On 10/17/2025, 1,464 shares of Class A common stock were withheld at $4.25 to cover taxes upon vesting of 2,977 restricted stock units. Following this, the officer directly beneficially owned 115,438 shares. The filing notes all share counts and prices reflect the company’s 1-for-12 reverse stock split effected on August 29, 2025.
FiscalNote Holdings (NOTE) reported an insider transaction by its President and CEO. On 10/17/2025, 736 shares of Class A Common Stock were withheld at $4.25 under transaction code F to cover taxes upon the vesting of 2,153 restricted stock units. Following this withholding, the executive beneficially owned 228,947 shares, held directly.
FiscalNote Holdings (NOTE) filed a Form 4 for its Chief Accounting Officer reporting a tax withholding transaction. On 10/17/2025, the officer had 202 shares of Class A common stock withheld (transaction code F) at a price of $4.25 per share to cover taxes upon the vesting of 575 restricted stock units.
Following this transaction, the officer beneficially owns 34,355 shares directly. This amount includes 799 shares acquired under the 2022 Employee Stock Purchase Plan, adjusted and rounded for the company’s 1-for-12 reverse stock split, with those ESPP acquisitions noted as exempt under Rule 16b-3.
FiscalNote Holdings (NOTE) Form 4: The Chief Legal & Admin. Officer reported an automatic share withholding for taxes. On 10/17/2025, 269 shares of Class A Common Stock were withheld at $4.25 under transaction code “F,” reflecting tax settlement upon the vesting of 893 restricted stock units. Following this, the officer beneficially owns 88,418 shares, held directly. The filing notes all share counts and prices reflect the company’s 1-for-12 reverse stock split effective August 29, 2025.
Timothy T. Hwang, a director and reported 10% owner of FiscalNote Holdings, Inc. (NOTE), reported multiple sell transactions of Class A common stock under a Rule 10b5-1 trading plan. The sales on 09/03/2025 and 10/01/2025 were described as sell-to-cover transactions to satisfy tax withholding on vested restricted stock units: one set related to the vesting of 7,486 RSUs and another to 2,447 RSUs. Reported sale lots include 4,347, 1,438, 3,591, and 1,175 shares at prices of $4.2429 and $4.7966; the filing shows the reporting person beneficially owning 214,490 Class A shares following the transactions. The filing notes that reported share counts and prices were adjusted for a 1-for-12 reverse stock split effective August 29, 2025. The Form 4 was signed by an attorney-in-fact on 10/03/2025.