secwatch.observer — SEC 8-K summary
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Issuer:     AUDDIA INC. (AUUD)
CIK:        0001554818
Form:       8-K
Filed at:   2026-11-06T22:16:50+00:00
Accession:  0001683168-26-008388
Event type: other_material
Sentiment:  neutral
Materiality: 0.60
Item codes: 1.01, 3.02, 9.01
LLM model:  deepseek-v4.1-flash:cloud@v2

Auddia signs warrant exchange for up to 9.43M shares; initial 1.16M issued
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- Nov. 6, 2026 Warrant Exchange Agreements: each Existing Warrant exchanged for two AUUD common shares, initially 580,023 warrants for 1,160,045 shares.
- Additional 4,135,539 warrants will convert into 8,271,077 shares only after stockholder approval; total potential 9,431,122 shares.
- Exchange Cap is 19.99% of shares outstanding pre-signing; company must seek approval at a meeting within 75 days of closing, then every 60 days if needed.
- Holders waive Section 3(d) Fundamental Transaction rights tied to contemplated merger with Thramann Holdings and reorganization under McCarthy Finney, Inc.
- Exchange Shares issued under Section 3(a)(9); Rule 144 holding period tacks to original warrant issuance, and non-affiliate shares are freely tradable.

Source:
  EDGAR index:    https://www.sec.gov/Archives/edgar/data/1554818/000168316826008388/0001683168-26-008388-index.htm
  Primary doc:    https://www.sec.gov/Archives/edgar/data/1554818/000168316826008388/auddia_8k.htm
  HTML page:      https://secwatch.observer/filing/0001683168-26-008388

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