HighPeak Energy, Inc. 10-Q

ITEM 5. OTHER INFORMATION During the three months ended September 30, 2024, no director or officer of the Company adopted or terminated a “Rule 10b5-1 trading arrangement” or “non-Rule 10b5-1 trading arrangement,” as each term is defined in Item 408 of Regulation S-K. On October 31, 2024, our Board requested that our Chief Executive Officer, President and certain other employees extend the vesting schedules of their restricted stock awards from November 4, 2024 to December 31, 2025, and they agreed to amend their restricted stock award agreements. Our Board desired to ensure the restricted stock previously granted would continue to provide retention value to the Company. In consideration of their agreement, they will be eligible to receive 2024 annual bonuses that would, but for the extension of their restricted stock vesting schedules, not have been awarded. 42 HIGHPEAK ENERGY, INC. ITEM 6. EXHIBITS Exhibit Number Description 3.1 Second Amended & Restated Certificate of Incorporation of HighPeak Energy, Inc. (incorporated by reference to Exhibit 3.1 to the Company’ s Current Report on Form 8-K (File No. 001-39464) filed with the SEC on June 2, 2023). 3.2 Amended and Restated Bylaws of HighPeak Energy, Inc. (incorporated by reference to Exhibit 3.1 to the Company’ s Current Report on Form 8-K (File No. 001-39464) filed with the SEC on November 9, 2020). 4.1 Registration Rights Agreement, dated as of August 21, 2020, by and among HighPeak Energy, Inc., HighPeak Pure Acquisition, LLC, HighPeak Energy, LP, HighPeak Energy II, LP, HighPeak Energy III, LP and certain other security holders named therein (incorporated by reference to Exhibit 4.4 to the Company’ s Current Report on Form 8-K (File No. 001-39464) filed with the SEC on August 27, 2020). 4.2 Stockholders’ Agreement, dated as of August 21, 2020, by and among HighPeak Energy, Inc., HighPeak Pure Acquisition, LLC, HighPeak Energy, LP, HighPeak Energy II, LP, HighPeak Energy III, LP, Jack Hightower and certain directors of Pure Acquisition Corp. (incorporated by reference to Exhibit 4.3 to the Company ’ s Current Report on Form 8-K (File No. 001-39464) filed with the SEC on August 27, 2020). 4.3 Amendment and Assignment to Warrant Agreement, dated as of August 21, 2020, by and among Pure Acquisition Corp., Continental Stock Transfer & Trust Company and HighPeak Energy, Inc. (incorporated by reference to Exhibit 4.2 to the Company ’ s Registration Statement on Form S-4 and Form S-1 (File No. 333-235313) filed with the SEC on August 5, 2020). 31.1* Certification of the Company ’ s Chief Executive Officer Pursuant to Section 302 of the Sarbanes Oxley Act of 2002 (18 U.S.C. Section 7241). 31.2* Certification of the Company ’ s Chief Financial Officer Pursuant to Section 302 of the Sarbanes Oxley Act of 2002 (18 U.S.C. Section 7241). 32.1** Certification of the Company ’ s Chief Executive Officer Pursuant to Section 906 of the Sarbanes Oxley Act of 2002 (18 U.S.C. Section 1350). 32.2** Certification of the Company ’ s Chief Financial Officer Pursuant to Section 906 of the Sarbanes Oxley Act of 2002 (18 U.S.C. Section 1350). 101.INS** Inline XBRL Instance 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 as Inline XBRL and contained in Exhibit 101). * Filed herewith. ** Furnished herewith. 43 HIGHPEAK ENERGY, INC. 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 hereto duly authorized. HIGHPEAK ENERGY, INC. November 4, 2024 By: /s/ Steven Tholen Steven Tholen Chief Financial Officer November 4, 2024 By: /s/ Keith Forbes Keith Forbes Vice President and Chief Accounting Officer 44