AUDDIA INC. 10-Q

Item 5. Other Information During the quarter ended March 31, 2025, no director or officer of the Company adopted or terminated or otherwise had in effect a “Rule 10b5-1 trading arrangement” or “non-Rule 10b5-1 trading arrangement,” as each term is defined in Item 408(a) of Regulation S-K. 23 Item 6. Exhibits The exhibits required by Item 601 of Regulation S-K and Item 15(b) of this Quarterly Report are listed in the Exhibit Index below. The exhibits listed in the Exhibit Index are incorporated by reference herein. Exhibit Number Description of Document Incorporated by reference from Form Filing Date Exhibit Number Filed Herewith 1.1 At-The-Market Issuance Sales Agreement, dated September 13, 2024, by and between Auddia Inc. and Ascendiant Capital Markets, LLC. 8-K 09-13-2024 1.1 2.2 Form of Plan of Conversion 8-K 02-22-2021 2.1 3.1 Certificate of Incorporation of the Company 8-K 02-22-2021 3.1 3.2 Certificate of Designation of Series A Preferred Stock filed November 13, 2023 8-K 11-16-2023 3.1 3.3 Certificate of Amendment to the Certificate of Incorporation of the Company dated February 23, 2024 8-K 02-27-2024 3.1 3.4 Certificate of Amendment to the Certificate of Incorporation of the Company dated March 27, 2025 8-K 04/01/2025 3.1 3.5 Series B Convertible Preferred Stock Certificate of Designations dated April 23, 2024 8-K 04-29-2024 3.1 3.6 Bylaws of the Company 8-K 02-22-2021 3.2 3.7 Amendment to Bylaws dated September 6, 2024 8-K 9-12-2024 3.1 3.8 Form of Warrant after Conversion from an LLC to a Corporation S-1/A 01-28-2020 3.5 3.9 Form of IPO Series A Warrant S-1/A 02-05-2021 3.6 4.1 Form of Common Stock Certificate S-1/A 10-08-2020 4.1 4.2 Form of IPO Representative’s Common Stock Purchase Warrant 8-K 02-22-2021 4.1 4.3 Description of Securities 10-K 03-31-2021 4.3 10.1 # Form of Auddia Inc. 2020 Equity Incentive Plan S-1/A 10-22-2020 10.3 10.2 ** Agreement with Major United States Broadcast Company S-1/A 01-28-2020 10.8 10.3 Form of IPO Series A Warrant Agent Agreement S-1/A 02-05-2021 10.10 10.4 # First Amendment to 2020 Equity Incentive Plan S-8 08-10-2021 99.2 10.5 # Second Amendment to 2020 Equity Incentive Plan 10-K 03-05-2025 10.5 10.6 # Form of Stock Option Grant Notice and Stock Option Agreement under 2020 Equity Incentive Plan S-8 08-10-2021 99.3 10.7 # Form of Restricted Stock Unit Grant Notice and Restricted Stock Unit Award Agreement under 2020 Equity Incentive Plan S-8 08-10-2021 99.4 10.8 # Form of Inducement Stock Option Grant Notice and Inducement Stock Option Agreement S-8 08-10-2021 99.5 10.9 # Clip Interactive, LLC 2013 Equity Incentive Plan S-8 08-10-2021 99.6 10.10 # Form of Stock Option Grant Notice and Stock Option Agreement under 2013 Equity Incentive Plan S-8 08-10-2021 99.7 10.11 # Executive Officer Employment Agreement for Michael Lawless dated October 13, 2021 8-K 10-15-2021 10.1 10.12 # Executive Officer Employment Agreement for Peter Shoebridge dated October 13, 2021 8-K 10-15-2021 10.2 24 Exhibit Number Description of Document Incorporated by reference from Form Filing Date Exhibit Number Filed Herewith 10.13 Secured Promissory Bridge Note dated November 14, 2022 8-K 11-14-2022 10.1 10.14 Common Stock Warrant dated November 14, 2022 8-K 11-14-2022 10.2 10.15 Security Agreement dated November 14, 2022 8-K 11-14-2022 10.3 10.16 Secured Promissory Bridge Note dated November 14, 2022 8-K 11-14-2022 10.1 10.17 Common Stock Warrant dated November 14, 2022 8-K 11-14-2022 10.2 10.18 Security Agreement dated November 14, 2022 8-K 11-14-2022 10.3 10.19 Secured Promissory Bridge Note dated April 17, 2023 8-K 04-21-2023 10.1 10.20 Common Stock Warrant for 600,000 shares dated April 17, 2023 8-K 04-21-2023 10.2 10.21 Common Stock Warrant for 650,000 shares dated April 17, 2023 8-K 04-21-2023 10.3 10.22 Form of 2023 Placement Agency Agreement 8-K 06-14-23 1.1 10.22 Form of Securities Purchase Agreement dated June 13, 2023 between Auddia Inc. and the Investors named therein 8-K 06-14-23 10.1 10.23 # Employment Agreement, effective as of November 27, 2023, between Auddia Inc. and John E. Mahoney 8-K 12-18-2023 10.1 10.24 Series A Preferred Securities Purchase Agreement dated November 11, 2023 between Auddia Inc. and Jeffrey Thramann 8-K 11-16-2023 10.1 10.25 Amendment and Waiver dated April 9, 2024 Relating to Senior Secured Bridge Notes 8-K 04-15-2024 10.1 10.26 Form of Securities Purchase Agreement dated April 23, 2024 10-Q 05-14-2024 10.41 10.27 Form of Common Stock Warrant dated April 23, 2024 8-K 04-29-2024 10.2 10.28 Form of Registration Rights Agreement dated April 23, 2024 8-K 04-29-2024 10.3 10.29 Common Stock Purchase Agreement, dated as of November 25, 2024, by and between White Lion Capital, LLC and Auddia Inc. 8-K 11-25-24 10.1 10.30 Registration Rights Agreement, dated as of November 25, 2024, by and between White Lion Capital, LLC and Auddia Inc. 8-K 11-25-24 10.2 25 Exhibit Number Description of Document Incorporated by reference from Form Filing Date Exhibit Number Filed Herewith 19.1 Insider Trading Policy 10-K 03-05-2025 19.1 31.1 Section 302 Certification by the Corporation’s Chief Executive Officer X 31.2 Section 302 Certification by the Corporation’s Chief Financial Officer X 32.1 Section 906 Certification by the Corporation’s Chief Executive Officer X 32.2 Section 906 Certification by the Corporation’s Chief Financial Officer X 97.1 Auddia Clawback Policy 10-K 04-01-2024 97.1 101.INS Inline XBRL Instance Document (the instance document does not appear in the Interactive Data File because its XBRL tags are embedded within the Inline XBRL document) 101.SCH Inline XBRL Taxonomy Extension Schema Document 101.CAL Inline XBRL Taxonomy Extension Calculation Linkbase Document 101.DEF Inline XBRL Taxonomy Extension Definition Linkbase Document 101.LAB Inline XBRL Taxonomy Extension Label Linkbase Document 101.PRE Inline XBRL Taxonomy Extension Presentation Linkbase Document 104 Cover Page Interactive Data File (formatted in IXBRL, and included in exhibit 101). ___________________________ # Indicates management contract or compensatory plan. ** Certain information contained in this Exhibit has been redacted and appears as “XXXXX” as the disclosure of same would be a disadvantage to the Registrant in the marketplace 26 SIGNATURES Pursuant to the requirements of Section 13 or 15(d) of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned, thereunto duly authorized. AUDDIA INC. By: /s/ Michael Lawless Michael Lawless President, Chief Executive Officer, Director By: /s/ John Mahoney John Mahoney Chief Financial Officer Date: May 8, 2025 27