FiscalNote Holdings (NOTE) SEC Filings, Sep-Oct 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.

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. 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.