UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 10-Q/A
(Amendment No. 1)
(Mark One)
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QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934
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For the quarterly period ended June 30, 2024
or
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TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934
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For the transition period from to
Commission File Number 001-37893
(Exact name of registrant as specified in its charter)
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(State or other jurisdiction of
incorporation or organization)
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(I.R.S. Employer
Identification No.)
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(Address of principal executive offices)
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(Zip Code)
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(646 ) 669-7272
(Registrant's telephone number, including area code)
Not Applicable
(Former name, former address and former fiscal year, if changed since last report)
Securities registered pursuant to Section 12(b) of the Act:
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Title of each class
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Trading
Symbol(s)
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Name of each exchange on which registered
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The
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Indicate by check mark whether the registrant (1) has filed all reports required to be filed by Section 13 or 15(d) of the Securities Exchange Act of 1934 during the preceding 12 months (or for such shorter period that the registrant was required to file such reports), and (2) has been subject to such filing requirements for the past 90 days. ☒ Yes ☐ No
Indicate by check mark whether the registrant has submitted electronically every Interactive Data File required to be submitted pursuant to Rule 405 of Regulation S-T (§232.405 of this chapter) during the preceding 12 months (or for such shorter period that the registrant was required to submit such files). ☒ Yes ☐ No
Indicate by check mark whether the registrant is a large accelerated filer, an accelerated filer, a non-accelerated filer, a smaller reporting company, or an emerging growth company. See the definitions of "large accelerated filer," "accelerated filer," "smaller reporting company," and "emerging growth company" in Rule 12b-2 of the Exchange Act.
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Large accelerated filer
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☐
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Accelerated filer
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☐
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☒
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Smaller reporting company
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Emerging growth company
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If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. ☐
Indicate by check mark whether the registrant is a shell company (as defined in Rule 12b-2 of the Exchange Act): Yes ☐ No ☒
As of August 16, 2024, the registrant had 16,871,826 shares of common stock, $0.0005 par value per share, outstanding.
EXPLANATORY NOTE
Fluent, Inc. (the “Company”) is filing this Amendment No. 1 on Form 10-Q/A (this “Amendment”) to amend its Quarterly Report on Form 10-Q for the quarter ended June 30, 2024, originally filed with the Securities and Exchange Commission (“SEC”) on August 19, 2024 (the “Original Form 10-Q”), to (1) include Exhibit 10.8 (Second Amendment to Credit Agreement), which was omitted in the Original Form 10-Q, and (2) correct the name of Exhibit 10.10 (Securities Purchase Agreement) and (3) clarify that Exhibits 10.4, 10.5, 10.8 and 10.10 should have been marked also with the symbol “+” (to indicate that certain schedules, attachments and exhibits to such Exhibits had been omitted as stated in the relevant footnote).
This Amendment is an “exhibit-only” amendment and contains only the Cover Page to this Amendment, this Explanatory Note, Item 6, and the Signature Page hereto.
This Amendment speaks as of the filing date of the Original Form 10-Q, does not reflect events that may have occurred subsequent to the original filing date, and does not modify or update in any way disclosures made in the Original Form 10-Q other than as indicated. Accordingly, this Amendment should be read in conjunction with the Original Form 10-Q and the Company’s other filings with the SEC.
Item 6. Exhibits.
The following exhibits are filed as part of, or incorporated by reference into, this Quarterly Report on Form 10-Q.
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Incorporated by Reference
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Filed
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Exhibit No.
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Exhibit Description
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Form
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File No.
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Exhibit
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Filing Date
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Herewith
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3.1
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8-K
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001-37893
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3.1
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3/26/2015
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3.2
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8-K
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001-37893
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3.2
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3/26/2015
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3.3
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8-K
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001-37893
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3.1
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9/26/2016
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3.4
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8-K
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001-37893
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3.1
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4/16/2018
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3.5
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8-K
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001-37893
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3.1
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4/12/2024
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3.6
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8-K
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001-37893
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3.2
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2/19/2019
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10.1
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10-Q
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001-37893
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10.1
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5/15/2024
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10.2
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10-Q
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001-37893
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10.2
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5/15/2024
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10.3
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10-Q
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001-37893
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10.3
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5/15/2024
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10.4
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10-K
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001-37893
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10.26
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4/2/2024
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10.5
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10-Q
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001-37893
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10.8
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5/15/2024
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10.6
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10.7
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10.8
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X
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10.9
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10.10
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10.11
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10.12
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31.1
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X
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31.2
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X
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32.1
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32.2
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101.INS
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Inline XBRL Instance Document (the Instance Document does not appear in the Interactive Data File because its XBRL tags are embedded within the Inline XBRL document)*
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101.SCH
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Inline XBRL Taxonomy Extension Schema Document*
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101.CAL
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Inline XBRL Taxonomy Extension Calculation Linkbase Document*
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101.DEF
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Inline XBRL Taxonomy Extension Definition Linkbase Document*
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101.LAB
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Inline XBRL Taxonomy Extension Label Linkbase Document*
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101.PRE
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Inline XBRL Taxonomy Extension Presentation Linkbase Document*
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104
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Cover Page Interactive Data File (formatted as Inline XBRL and contained in Exhibit 101)*
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X
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*
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Previously filed with the Company’s Quarterly Report on Form 10-Q for the period ended June 30, 2024, as filed with the SEC on August 19, 2024.
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**
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Previously furnished with the Company’s Quarterly Report on Form 10-Q for the period ended June 30, 2024, as filed with the SEC on August 19, 2024. This certification is deemed not filed for purposes of Section 18 of the Exchange Act or otherwise subject to the liability of that section, nor shall it be deemed incorporated by reference into any filing under the Securities Act or the Exchange Act.
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+
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Certain of the schedules, attachments and exhibits to this exhibit have been omitted in accordance with Regulation S-K Item 601(b)(10). The Company hereby undertakes to furnish supplementally a copy of all omitted schedules to the SEC upon its request.
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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.
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Fluent, Inc.
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August 20, 2024
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By:
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/s/ Ryan Perfit
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Ryan Perfit
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Interim Chief Financial Officer
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(Principal Financial and Accounting Officer)
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