Item 5. Other Information
ITEM 5. Other Information
None.
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ITEM 6. Exhibits
Exhibit No.
Description
Form
File Number
Date
Exhibit No.
Filed or Furnished herewith
3.1
Amended and Restated Certificate of Incorporation of Direct Digital Holdings, Inc.
8-K
001-41261
February 16, 2022
3.1
3.2
Amended and Restated Bylaws of Direct Digital Holdings, Inc.
8-K
001-41261
February 16, 2022
3.2
10.1
Loan and Security Agreement, dated effective as of January 9, 2023, by and among Direct Digital Holdings, LLC, Colossus Media, LLC, Huddled Masses LLC, Orange142, LLC, and Direct Digital Holdings, Inc., as borrowers, and Silicon Valley Bank, as lender.
8-K
001-41261
January 11, 2023
10.1
10.2
Third Amendment to Term Loan and Security Agreement, dated January 9, 2023, by and between Direct Digital, LLC, as borrower, Colossus Media, LLC, Huddled Masses LLC, Orange142, LLC, and Direct Digital Holdings, Inc., as guarantors, and Lafayette Square Loan Servicing, LLC, as administrative agent, and the various lenders thereto.
8-K
001-41261
January 11, 2023
10.2
31.1
Certification of the Chief Executive Officer of Direct Digital Holdings, Inc., pursuant to Rule 13a-14(a) of the Exchange Act, as adopted pursuant to Section 302 of the Sarbanes-Oxley Act of 2002.
X
31.2
Certification of the Chief Financial Officer of Direct Digital Holdings, Inc, pursuant to Rule 13a-14(a) of the Exchange Act, as adopted pursuant to Section 302 of the Sarbanes-Oxley Act of 2002.
X
32.1*
Certification of the Chief Executive Officer pursuant to Rule 13a-14(b) of the Exchange Act and 18 U.S.C. Section 1350, as adopted pursuant to Section 906 of the Sarbanes-Oxley Act of 2002.
X
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32.2*
Certification of the Chief Financial Officer pursuant to Rule 13a-14(b) of the Exchange Act and 18 U.S.C. Section 1350, as adopted pursuant to Section 906 of the Sarbanes-Oxley Act of 2002.
X
101.INS*
Inline XBRL Instance Document
X
101.SCH*
Inline XBRL Taxonomy Extension Schema
X
101.CAL*
Inline XBRL Taxonomy Extension Calculation Linkbase
X
101.DEF*
Inline XBRL Taxonomy Extension Definition Linkbase
X
101.LAB*
Inline XBRL Taxonomy Extension Label Linkbase
X
101.PRE*
Inline XBRL Extension Presentation Linkbase
X
104*
Cover Page Interactive Data File (formatted as inline XBRL and contained in Exhibit 101)
X
*
This exhibit will not be deemed “filed” for purposes of Section 18 of the Exchange Act, or otherwise subject to the liability of that section. Such exhibit will not be deemed to be incorporated by reference into any filing under the Securities Act or the Exchange Act, except to the extent that the Company specifically incorporates it by reference.
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SIGNATURES
Pursuant to the requirements 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.
Date: May 15, 2023
DIRECT DIGITAL HOLDINGS, INC.
By:
/s/ Susan Echard
SUSAN ECHARD
Chief Financial Officer
(Duly Authorized Signatory, Principal Financial and Accounting Officer)
43
Text extracted from the filing as submitted to EDGAR. Formatting, tables and exhibits are simplified for reading; the original document is authoritative for anything you rely on.