Item 5. Other Information
Item 5. Other Information
None.
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Item 6. Exhibits
EXHIBIT INDEX
Exhibit No.
Exhibit Description
1.1 (*)
Underwriting Agreement between the Company and Wells Fargo Securities LLC, as representative of the several underwriters, dated October 19, 2020, filed as Exhibit 1.1 to the Company ’ s Current Report on Form 8-K, filed with the Commission on October 26, 2020.
3.1 (*)
Certificate of Incorporation, filed as Exhibit 3.1 to the Company ’ s Registration Statement on Form S-1, as amended, (File No. 333-249035) originally filed with the Commission on September 25, 2020.
3.2 (*)
Amended and Restated Certificate of Incorporation, dated October 19, 2020, filed as Exhibit 3.1 to the Company ’ s Current Report on Form 8-K, filed with the Commission on October 26, 2020.
3.3 (*)
Certificate of Correction of Amended and Restated Certificate of Incorporation, dated October 21, 2020, filed as Exhibit 3.2 to the Company ’ s Current Report on Form 8-K, filed with the Commission on October 26, 2020.
3.4 (*)
Bylaws, filed as Exhibit 3.3 to the Company ’ s Registration Statement on Form S-1, as amended, (File No. 333-249035) originally filed with the Commission on September 25, 2020.
4.1 (*)
Specimen Unit Certificate, filed as Exhibit 4.1 to the Company ’ s Registration Statement on Form S-1, as amended, (File No. 333-249035) originally filed with the Commission on September 25, 2020.
4.2 (*)
Specimen Class A Common Stock Certificate, filed as Exhibit 4.2 to the Company ’ s Registration Statement on Form S-1, as amended, (File No. 333-249035) originally filed with the Commission on September 25, 2020.
4.3 (*)
Specimen Warrant Certificate, filed as Exhibit 4.3 to the Company ’ s Registration Statement on Form S-1, as amended, (File No. 333-249035) originally filed with the Commission on September 25, 2020.
4.4 (*)
Warrant Agreement between the Company and Continental Stock Transfer & Trust Company, as agent, dated October 21, 2020, filed as Exhibit 4.1 to the Company ’ s Current Report on Form 8-K, filed with the Commission on October 26, 2020.
10.1 (*)
Promissory Note, dated August 31, 2020, issued to BOC Yellowstone LLC, filed as Exhibit 10.7 to the Company ’ s Registration Statement on Form S-1, as amended, (File No. 333-249035) originally filed with the Commission on September 25, 2020.
10.2 (*)
Securities Subscription Agreement, dated August 31, 2020, between Yellowstone Acquisition Company and BOC Yellowstone, LLC, filed as Exhibit 10.4 to the Company ’ s Registration Statement on Form S-1, as amended, (File No. 333-249035) originally filed with the Commission on September 25, 2020.
10.3 (*)
Sponsor Warrants Purchase Agreement, dated October 9, 2020, between Yellowstone Acquisition Company and BOC Yellowstone LLC, filed as Exhibit 10.5 to the Company ’ s Registration Statement on Form S-1/A, as amended, (File No. 333-249035) filed with the Commission on October 9, 2020.
10.4 (*)
Amended and Restated Securities Subscription Agreement, dated October 9, 2020, between Yellowstone Acquisition Company and BOC Yellowstone, LLC, filed as Exhibit 10.8 to the Company ’ s Registration Statement on Form S-1/A, as amended, (File No. 333-249035) filed with the Commission on October 9, 2020.
10.5 (*)
Amended and Restated Sponsor Warrants Purchase Agreement, dated October 17, 2020, between Yellowstone Acquisition Company and BOC Yellowstone, LLC, filed as Exhibit 10.9 to the Company ’ s Registration Statement on Form S-1/A, as amended, (File No. 333-249035) filed with the Commission on October 19, 2020.
10.6 (*)
Second Amended and Restated Sponsor Warrants Purchase Agreement between the Company and BOC Yellowstone LLC, dated October 21, 2020, filed as Exhibit 10.1 to the Company ’ s Current Report on Form 8-K, filed with the Commission on October 26, 2020.
10.7 (*)
Second Amended and Restated Securities Subscription Agreement, dated October 21, 2020, between Yellowstone Acquisition Company and BOC Yellowstone LLC, filed as Exhibit 10.2 to the Company ’ s Current Report on Form 8-K, filed with the Commission on October 26, 2020.
10.8 (*)
Investment Management Trust Agreement, dated October 21, 2020, between the Company and Continental Stock Transfer & Trust Company, as trustee, filed as Exhibit 10.3 to the Company ’ s Current Report on Form 8-K, filed with the Commission on October 26, 2020.
10.9 (*)
Registration Rights Agreement between the Company and BOC Yellowstone LLC, dated October 21, 2020, filed as Exhibit 10.4 to the Company ’ s Current Report on Form 8-K, filed with the Commission on October 26, 2020.
10.10 (*)
Letter Agreement between the Company, BOC Yellowstone LLC and each of the officers and directors of the Company, dated October 21, 2020, filed as Exhibit 10.5 to the Company ’ s Current Report on Form 8-K, filed with the Commission on October 26, 2020.
10.11 (*)
Indemnity Agreement by and between the Company and Sydney Atkins, dated October 21, 2020, filed as Exhibit 10.6 to the Company ’ s Current Report on Form 8-K, filed with the Commission on October 26, 2020.
10.12 (*)
Indemnity Agreement by and between the Company and David Bronczek, dated October 21, 2020, filed as Exhibit 10.7 to the Company ’ s Current Report on Form 8-K, filed with the Commission on October 26, 2020.
10.13 (*)
Indemnity Agreement by and between the Company and Shanna Khan, dated October 21, 2020, filed as Exhibit 10.8 to the Company ’ s Current Report on Form 8-K, filed with the Commission on October 26, 2020.
10.14 (*)
Indemnity Agreement by and between the Company and Adam Peterson, dated October 21, 2020, filed as Exhibit 10.9 to the Company ’ s Current Report on Form 8-K, filed with the Commission on October 26, 2020.
10.15 (*)
Indemnity Agreement by and between the Company and Alex Rozek, dated October 21, 2020, filed as Exhibit 10.10 to the Company ’ s Current Report on Form 8-K, filed with the Commission on October 26, 2020.
10.16 (*)
Indemnity Agreement by and between the Company and Joshua Weisenburger, dated October 21, 2020, filed as Exhibit 10.11 to the Company ’ s Current Report on Form 8-K, filed with the Commission on October 26, 2020.
14.1 (*)
Code of Ethics, filed as Exhibit 14.1 to the Company's Annual Report on Form 10-K, filed with the Commission on March 12, 2021.
31.1 (#)
Certification of Co-Chief Executive Officer required by Rule 13a-14(a) or Rule 15d-14(a).
31.2 (#)
Certification of Co-Chief Executive Officer required by Rule 13a-14(a) or Rule 15d-14(a).
31.3 (#)
Certification of the Chief Financial Officer required by Rule 13a-14(a) or Rule 15d-14(a).
32.1 (#)(##)
Certification of the Co-Chief Executive Officer required by Rule 13a-14(b) or Rule 15d-14(b) and 18 U.S.C. 1350.
32.2 (#)(##)
Certification of the Co-Chief Executive Officer required by Rule 13a-14(b) or Rule 15d-14(b) and 18 U.S.C. 1350.
32.3 (#)(##)
Certification of the Chief Financial Officer required by Rule 13a-14(b) or Rule 15d-14(b) and 18 U.S.C. 1350.
101.INS (#)
XBRL Instance Document.
101.SCH (#)
XBRL Taxonomy Extension Schema Document.
101.CAL (#)
XBRL Taxonomy Extension Calculation Linkbase Document.
101.DEF (#)
XBRL Taxonomy Extension Definition.
101.LAB (#)
XBRL Taxonomy Extension Label Linkbase Document.
101.PRE (#)
XBRL Taxonomy Presentation Linkbase Document.
(*)
Incorporated by reference to the filing indicated.
(#)
Filed herewith.
(##)
The certifications attached as Exhibits 32.1, 32.2, and 32.3 that accompany this Report, are not deemed filed with the SEC and are not to be incorporated by reference into any filing of Yellowstone Acquisition Company under the Securities Act of 1933, as amended, or the Securities Exchange Act of 1934, as amended, whether made before or after the date of this Report irrespective of any general incorporation language contained in such filing.
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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.
YELLOWSTONE ACQUISITION COMPANY (Registrant)
By: /s/ Alex B. Ro zek
Alex B. Rozek
Co-President (Principal Executive Officer)
May 24, 2021
By: /s/ Adam K. Peterson
Adam K. Peterson
Co-President (Principal Executive Officer)
May 24, 2021
By: /s/ Joshua P. Weisenburger
Joshua P. Weisenburger
Chief Financial Officer
(Principal Financial and Accounting Officer)
May 24, 2021
22
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.