Item 5. Other Information
Item 5. Other Information
Trading Arrangements
During the quarterly period ended March 31, 2025,
none of our directors or officers (as defined in Rule 16a-1(f) promulgated under the Exchange Act) adopted or terminated any
“Rule 10b5-1 trading arrangement” or any “non-Rule 10b5-1 trading arrangement,” as each term is defined in Item 408 of Regulation
S-K.
Additional Information
None.
23
Item 6. Exhibits
The following exhibits are filed as part of, or
incorporated by reference into, this Report.
No.
Description of Exhibit
3.1 (1)
Amended and Restated Memorandum and Articles of Association.
10.1 (1)
Units and Restricted Shares Subscription Agreement, dated January 14, 2025, between the Company and Plum Partners IV, LLC
10.2 (1)
Units Subscription Agreement, dated January 14, 2025, between the Company and Cohen & Company Capital Markets, a division of J.V.B. Financial Group, LLC
10.3 (1)
Units Subscription Agreement, dated January 14, 2025, between the Company and Seaport Global Securities LLC
10.4 (1)
Letter Agreement, dated January 14, 2025, among the Company, the sponsor and each of the initial shareholders, directors and officers of the Company
10.5 (1)
Investment Management Trust Account Agreement, dated January 14, 2025, between the Company and Continental Stock Transfer & Trust Company
10.6 (1)
Registration Rights Agreement, dated January 14, 2025, among the Company, the sponsor and the other Holders (as defined therein) signatory thereto
10.7 (1)
Form of Indemnity Agreement, January 14, 2025, between the Company and each of the officers and directors of the Company
10.8 (2)
Amended And Restated Promissory Note, dated January 6, 2025, issued to Plum Partners IV, LLC
31.1*
Certification of the Principal Executive Officer Pursuant to Rules 13a-14(a) and Rule 15d-14(a) under the Securities Exchange Act, as adopted Pursuant to Section 302 of the Sarbanes-Oxley Act of 2002
31.2*
Certification of the Principal Financial Officer Pursuant to Rules 13a-14(a) and Rule 15d-14(a) under the Securities Exchange Act, as adopted Pursuant to Section 302 of the Sarbanes-Oxley Act of 2002
32.1**
Certification of the Principal Executive Officer Pursuant to 18 U.S.C. Section 1350, as adopted Pursuant to Section 906 of the Sarbanes-Oxley Act of 2002
32.2**
Certification of the Principal Financial Officer Pursuant to 18 U.S.C. Section 1350, as adopted Pursuant to Section 906 of the Sarbanes-Oxley Act of 2002
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 Labels 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.
(1) Incorporated by reference to an exhibit to the Registrant’s
Current Report on Form 8-K (File No. 001-42472), filed with the SEC on January 16, 2025.
(2) Incorporated by reference to an exhibit to the Registrant’s
Registration Statement on Form S-1, as amended (File No. 333-281144), filed with the SEC on January 7, 2025.
24
SIGNATURES
In accordance with the requirements
of the Exchange Act, the registrant caused this report to be signed on its behalf by the undersigned, thereunto duly authorized.
Plum Acquisition Corp. IV
Date: May 15, 2025
By:
/s/ Kanishka Roy
Name:
Kanishka Roy
Title:
Chief Executive Officer
(Principal Executive Officer)
Date: May 15, 2025
By:
/s/ Steven Handwerker
Name:
Steven Handwerker
Title:
Chief Financial Officer and Director
(Principal Financial Officer)
25
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.