Item 5. Other Information
ITEM 5. OTHER INFORMATION
None.
ITEM 6. EXHIBITS
(a) Exhibits
Please note that the agreements included as exhibits to this Form 10-Q are included to provide information regarding their terms and are not intended to provide any other factual or disclosure information about INNOVATE Corp. or the other parties to the agreements. The agreements may contain representations and warranties by each of the parties to the applicable agreement that have been made solely for the benefit of the other parties to the applicable agreement and may not describe the actual state of affairs as of the date they were made or at any other time.
Exhibit
Number Description
3.1 Certificate of Amendment to the Certificate of Incorporation, as filed with the Secretary of State of Delaware on August 18, 2021, with an effective date of September 20, 2021 (incorporated by reference to Exhibit 3.1 to the Current Report on Form 8-K filed on August 19 , 2021) (File No. 021-35210)
3.2 Amendment to the By-Laws, effective September 20, 2021 (incorporated by reference to Exhibit 3. 2 to the Current Report on Form 8-K filed on August 19, 2021) (File No. 021-35210)
3.3 Certificate of Designations of Series B Preferred Stock, dated August 30, 2021 (incorporated by reference to Exhibit 3.1 to the Current Report on Form 8-K filed on August 30, 2021) (File No. 001-35210)
4.1 Tax Benefits Preservation Plan, dated August 30, 2021 (incorporated by reference to Exhibit 4.1 to the Current Report on Form 8-K filed on August 30, 2021) (File No. 001-35210)
4.2 Certificate of Designation of Series A-3 Convertible Participating Preferred Stock, dated July 1, 2021 (incorporated by reference to Exhibit 4.1 to the Current Report on Form 8-K filed on July 7, 2021) (File No. 001-35210)
4.3 Certificate of Designation of Series A-4 Convertible Participating Preferred Stock, dated July 1, 2021 (incorporated by reference to Exhibit 4.2 to the Current Report on Form 8-K filed on July 7, 2021) (File No. 001-35210)
4.4 Amended and Restated Certificate of Designation of Series A Fixed-to-Floating Rate Perpetual Preferred Stock, dated July 1, 2021 (incorporated by reference to Exhibit 4.3 to the Current Report on Form 8-K filed on July 7, 2021) (File No. 001-35210)
10.1 Form of Exchange Agreement, dated July 1, 2021 (incorporated by reference to Exhibit 10.1 to the Current Report on Form 8-K filed on July 7, 2021) (File No. 001-35210)
10.3 HC2 Preferred Support Agreement, dated July 1, 2021 (incorporated by reference to Exhibit 10.1 to the Current Report on Form 8-K filed on July 1, 2021) (File No. 001-35210)
10.4 DBM Common Support Agreement, dated July 1, 2021 (incorporated by reference to Exhibit 10.2 to the Current Report on Form 8-K filed on July 1, 2021) (File No. 001-35210)
31.1 Rule 13a-14(a)/15d-14(a) Certification of Chief Executive Officer (filed herewith)
31.2 Rule 13a-14(a)/15d-14(a) Certification of Chief Financial Officer (filed herewith)
32.1* Section 1350 Certification of Chief Executive Officer and Chief Financial Officer
101 The following materials from the registrant’s Quarterly Report on Form 10-Q for the three months ended September 30, 2021, formatted in extensible business reporting language (XBRL); (i) Condensed Consolidated Statements of Operations for the three months ended September 30, 2021 and 2020, (ii) Condensed Consolidated Statements of Comprehensive Income (Loss) for the three months ended September 30, 2021 and 2020, (iii) Condensed Consolidated Balance Sheets at September 30, 2021 and December 31, 2020, (iv) Condensed Consolidated Statements of Stockholders’ Equity for the three and nine months ended September 30, 2021 and 2020, (v) Condensed Consolidated Statements of Cash Flows for the three and nine months ended September 30, 2021 and 2020, and (vi) Notes to Condensed Consolidated Financial Statements (filed herewith).
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* These certifications are being "furnished" and will not be deemed "filed" for purposes of Section 18 of the Securities Exchange Act of 1934, as amended, or otherwise subject to the liability of that section. Such certifications will not be deemed to be incorporated by reference into any filing under the Securities Act of 1933 or the Securities Exchange Act of 1934, as amended, except to the extent that the registrant 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.
INNOVATE Corp.
Date: November 4, 2021 By: /S/ Michael J. Sena
Michael J. Sena
Chief Financial Officer
(Duly Authorized Officer and Principal Financial and Accounting Officer)
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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.