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. Form 144 notice reports a proposed sale of 4,766 Class A shares through Fidelity Brokerage Services, planned for 10/02/2025, with an aggregate market value of $22,860.60. The shares were acquired on 10/01/2025 by restricted stock vesting from the issuer and payment is recorded as compensation. The filing lists the number of Class A shares outstanding as 163,909,082.
The filing also discloses three prior Class A sales by the Timothy T. Hwang Revocable Trust during the past three months: 37,201 shares on 07/02/2025 for $24,273.65, 56,155 shares on 08/04/2025 for $32,721.52, and 5,785 shares on 09/04/2025 for $24,545.18. The filer attests there is no undisclosed material adverse information.
On 07/29/2022 shares of FiscalNote Holdings, Inc. (NOTE) were issued on the closing of a business combination that exchanged Legacy FiscalNote securities for Class A common stock. The filing reports an amendment correcting the number of shares acquired: the correct amount is 690,636 shares, reflecting an adjustment and rounding for a 1-for-12 reverse stock split effected by the issuer on August 29, 2025. The shares were received in the business combination in exchange for 607,841 Legacy FiscalNote Class A shares and are beneficially owned by Global Public Offering Master Fund, L.P. The reporting person, Compton Key, is identified as a director and is a managing director of Urgent International Inc., the owner/operator and investment advisor to the GPO Master Fund, and thus may be deemed to have voting and dispositive power over the shares.
FiscalNote Holdings, Inc. (NOTE) Form 4 shows that Paul Donnell, the companys Chief Accounting Officer, sold 40 shares of Class A common stock on 01/06/2025 at a reported price of $17.19 per share. The filing states the sale was a sell-to-cover to satisfy tax withholding on the vesting of 104 restricted stock units and was executed under a Rule 10b5-1 trading plan adopted May 12, 2023.
The Form 4 was filed late and the filer notes an administrative error. The reported share count and price were adjusted and rounded to reflect a 1-for-12 reverse stock split the issuer effected on August 29, 2025. The Form is signed by an attorney-in-fact on 09/26/2025.
FiscalNote Holdings, Inc. filed a DEF 14C information statement listing two shareholder actions: Action No. 1 to approve the potential issuance of more than 19.99% of outstanding common stock under a GPO Note, and Action No. 2 to approve the potential issuance of more than 19.99% of outstanding common stock pursuant to convertible debentures, if required. The document also includes partial beneficial ownership tables showing share classes, counts and percentages for various holders and entities including related funds and sponsors, and states that FiscalNote's SEC filings and annual and quarterly reports are available on the SEC website and on www.fiscalnote.com. The filing is signed by Todd Aman, Chief Legal & Administrative Officer.
FiscalNote Holdings, Inc. filed a DEF 14C information statement listing two shareholder actions: Action No. 1 to approve the potential issuance of more than 19.99% of outstanding common stock under a GPO Note, and Action No. 2 to approve the potential issuance of more than 19.99% of outstanding common stock pursuant to convertible debentures, if required. The document also includes partial beneficial ownership tables showing share classes, counts and percentages for various holders and entities including related funds and sponsors, and states that FiscalNote's SEC filings and annual and quarterly reports are available on the SEC website and on www.fiscalnote.com. The filing is signed by Todd Aman, Chief Legal & Administrative Officer.
FiscalNote Holdings, Inc. reported that on August 5, 2025 it entered into a securities purchase agreement with YA II PN, Ltd. to issue convertible debentures in two tranches totaling approximately $33 million. The filing references a prior report filed with the SEC on August 6, 2025. The second tranche, a debenture of $12.3 million, was issued on September 11, 2025. The document is signed by Todd Aman, Chief Legal & Administrative Officer, dated September 11, 2025. The disclosure identifies the counterparty, the aggregate principal amount of the financing, and the date of the second tranche issuance.
FiscalNote Holdings, Inc. (NOTE) director Brandon Sweeney received 2,218 shares of Class A Common Stock as compensation on 09/03/2025 in lieu of a quarterly cash retainer, recorded on a Form 4 filed 09/05/2025. After the grant, Mr. Sweeney directly beneficially owns 52,363 shares and indirectly owns 6,724 shares through the Sweeney Trust dated March 27, 2003, for which he is Trustee. The filing notes a 1-for-12 reverse stock split effective August 29, 2025 that resulted in proportionate adjustments to reported holdings. The Form 4 was signed by an attorney-in-fact, Todd Aman.
FiscalNote Holdings, Inc. (NOTE) Form 4 shows that director Keith Nilsson received 1,479 shares of Class A common stock on 09/03/2025 as director compensation in lieu of a quarterly cash retainer, recorded at a price of $0 per share. Following that transaction the reporting person directly beneficially owned 87,289 shares of Class A common stock. The filing discloses additional indirect interests held by entities named Xplorer Capital Fund III L.P., XC FiscalNote-B, LLC, Xplorer Capital Fund III GP, LLC, XC FiscalNote-C, LLC and XC Continuation Fund I, LLC. The form also notes a 1-for-12 reverse stock split effected by the issuer on August 29, 2025, which proportionately adjusted the reported share amounts.
Anna Sedgley, a director of FiscalNote Holdings, Inc. (NOTE), was granted 2,712 shares of Class A Common Stock as non-management director compensation in lieu of a quarterly cash retainer, recorded as a transaction on 09/03/2025. After the grant, the reporting person beneficially owned 53,720 shares of Class A Common Stock. The filing notes that the issuer effected a 1-for-12 reverse stock split on 08/29/2025, which proportionately adjusted the number of shares owned. The Form 4 was signed on behalf of the reporting person by an attorney-in-fact on 09/05/2025.
FiscalNote Holdings, Inc. preliminary information statement seeks shareholder approval for two related actions that would permit the issuance of more than 19.99% of the company’s outstanding common stock if required: one under a GPO note and a second under certain convertible debentures. The filing includes a beneficial ownership table showing Class A and Class B holdings and voting power for several holders and sponsor entities, with aggregated totals presented as shares, percentages of total common stock, and percentages of total voting power. The statement identifies key related parties (including Xplorer Capital, Xplorer-managed entities, Maso Capital-related sponsors and funds) and discloses addresses for those entities. It also directs readers to the company’s SEC filings and public website for additional reports and says materials will be furnished free of charge via www.fiscalnote.com and the SEC site.
FiscalNote Holdings, Inc. (NOTE) Form 144 discloses a proposed sale of 5,785 Class A shares through Fidelity Brokerage Services, with an aggregate market value of $24,545.18 and an approximate sale date of 09/04/2025 on the NYSE. These shares were acquired via restricted stock vesting and recorded as compensation on 09/02/2025. The filing reports total Class A shares outstanding of 163,909,082. The filer also reports two prior sales by the Timothy T. Hwang Revocable Trust within the past three months: 37,201 shares sold on 07/02/2025 for $24,273.65 and 56,155 shares sold on 08/04/2025 for $32,721.52. The notice includes the standard representation that the seller is not aware of undisclosed material adverse information.