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Sow Good Inc. – ‘10-K’ for 12/31/20 – ‘EX-4.9’

On:  Wednesday, 3/31/21, at 10:23am ET   ·   For:  12/31/20   ·   Accession #:  1683168-21-1122   ·   File #:  0-53952

Previous ‘10-K’:  ‘10-K/A’ on 5/15/20 for 12/31/19   ·   Next:  ‘10-K’ on 3/29/22 for 12/31/21   ·   Latest:  ‘10-K’ on 3/22/24 for 12/31/23   ·   38 References:   

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  As Of               Filer                 Filing    For·On·As Docs:Size             Issuer                      Filing Agent

 3/31/21  Sow Good Inc.                     10-K       12/31/20  100:5.8M                                   GlobalOne Filings Inc/FA

Annual Report   —   Form 10-K
Filing Table of Contents

Document/Exhibit                   Description                      Pages   Size 

 1: 10-K        Annual Report                                       HTML    549K 
 3: EX-4.10     Amendment to 2020 Stock Incentive Plan, Dated       HTML     27K 
                January 4, 2021                                                  
 4: EX-4.11     Amendment to 2020 Stock Incentive Plan, Dated       HTML     28K 
                March 19, 2021                                                   
 5: EX-4.14     Description of Securities                           HTML     46K 
 2: EX-4.9      Amendment to 2020 Stock Incentive Plan, Dated       HTML     28K 
                October 1, 2020                                                  
 6: EX-10.18    Employment Agreement, Dated October 1, 2020,        HTML     55K 
                Between Claudia Goldfarb and Sow Good Inc.                       
 7: EX-10.19    Employment Agreement, Dated October 1, 2020,        HTML     55K 
                Between Ira Goldfarb and Sow Good Inc.                           
 8: EX-10.20    Amended Employment Agreement, Dated January 4,      HTML     28K 
                2021, Between Claudia Goldfarb and Sow Good Inc.                 
 9: EX-10.21    Amended Employment Agreement, Dated January 4,      HTML     29K 
                2021, Between Ira Goldfarb and Sow Good Inc.                     
10: EX-31.1     Certification -- §302 - SOA'02                      HTML     29K 
11: EX-31.2     Certification -- §302 - SOA'02                      HTML     29K 
12: EX-32.1     Certification -- §906 - SOA'02                      HTML     25K 
13: EX-32.2     Certification -- §906 - SOA'02                      HTML     25K 
20: R1          Document and Entity Information                     HTML     66K 
21: R2          Balance Sheets                                      HTML    117K 
22: R3          Balance Sheets (Parenthetical)                      HTML     44K 
23: R4          Statements of Operations                            HTML    123K 
24: R5          Statements of Operations (Parenthetical)            HTML     27K 
25: R6          Statement of Stockholders' Equity (Unaudited)       HTML     58K 
26: R7          Statements of Cash Flows                            HTML    148K 
27: R8          1. Organization and Nature of Business              HTML     32K 
28: R9          2. Summary of Significant Accounting Policies       HTML     68K 
29: R10         3. Going Concern                                    HTML     30K 
30: R11         4. Business Combination, S-FDF                      HTML     56K 
31: R12         5. BRAC's IPO, Consolidation of BRAC and            HTML     45K 
                Non-controlling Interest                                         
32: R13         6. Related Party                                    HTML     43K 
33: R14         7. Fair Value of Financial Instruments              HTML     64K 
34: R15         8. Prepaid Expenses                                 HTML     35K 
35: R16         9. Property and Equipment                           HTML     41K 
36: R17         10. Investments in Allied Esports Entertainment,    HTML     36K 
                Inc.                                                             
37: R18         11. Leases                                          HTML     55K 
38: R19         12. Notes Payable                                   HTML     51K 
39: R20         13. Stockholders' Equity                            HTML     36K 
40: R21         14. Options                                         HTML     73K 
41: R22         15. Warrants                                        HTML     46K 
42: R23         16. Income Taxes                                    HTML     68K 
43: R24         17. Commitments                                     HTML     37K 
44: R25         18. Subsequent Events                               HTML     34K 
45: R26         2. Summary of Significant Accounting Policies       HTML    115K 
                (Policies)                                                       
46: R27         2. Summary of Significant Accounting Policies       HTML     46K 
                (Tables)                                                         
47: R28         4. Business Combination, S-FDF (Tables)             HTML     55K 
48: R29         6. Related Party (Tables)                           HTML     30K 
49: R30         7. Fair Value of Financial Instruments (Tables)     HTML     59K 
50: R31         8. Prepaid Expenses (Tables)                        HTML     35K 
51: R32         9. Property and Equipment (Tables)                  HTML     39K 
52: R33         10. Investments in Allied Esports Entertainment,    HTML     35K 
                Inc. (Tables)                                                    
53: R34         11. Leases (Tables)                                 HTML     59K 
54: R35         12. Notes Payable (Tables)                          HTML     48K 
55: R36         14. Options (Tables)                                HTML     67K 
56: R37         15. Warrants (Tables)                               HTML     47K 
57: R38         16. Income Taxes (Tables)                           HTML     67K 
58: R39         17. Commitments (Tables)                            HTML     34K 
59: R40         1. Organization and Nature of Business (Details     HTML     61K 
                Narrative)                                                       
60: R41         2. Summary of Significant Accounting Policies       HTML     40K 
                (Details - Estimated Useful Lives)                               
61: R42         2. Summary of Significant Accounting Policies       HTML     27K 
                (Details - Inventory)                                            
62: R43         2. Summary of Significant Accounting Policies       HTML     35K 
                (Details - Basic and Diluted Loss Per Share)                     
63: R44         2. Summary of Significant Accounting Policies       HTML     47K 
                (Details Narrative)                                              
64: R45         3. Going Concern (Details Narrative)                HTML     47K 
65: R46         4. Business Combination, S-FDF (Details -           HTML     67K 
                Recognized Identifiable Assets Acquired and                      
                Liabilities Assumed)                                             
66: R47         4. Business Combination, S-FDF (Details - Pro       HTML     41K 
                Forma Results)                                                   
67: R48         4. Business Combination, S-FDF (Details Narrative)  HTML     37K 
68: R49         5. BRAC's IPO, Consolidation of BRAC and            HTML     40K 
                Non-controlling Interest (Details Narrative)                     
69: R50         6. Related Party (Details-BRAC Shares Owned by the  HTML     39K 
                Company Granted to the Grantee)                                  
70: R51         6. Related Party (Details Narrative)                HTML     92K 
71: R52         7. Fair Value of Financial Instruments (Details)    HTML     59K 
72: R53         8. Prepaid Expenses (Details)                       HTML     37K 
73: R54         9. Property and Equipment (Details-Property and     HTML     41K 
                equipment)                                                       
74: R55         9. Property and Equipment (Details Narrative)       HTML     30K 
75: R56         10. Investments in Allied Esports Entertainment,    HTML     33K 
                Inc. (Details - Gains and losses on investment )                 
76: R57         10. Investments in Allied Esports Entertainment,    HTML     54K 
                Inc. (Details Narrative)                                         
77: R58         11. Leases (Details - Lease expense)                HTML     28K 
78: R59         11. Leases (Details - Supplemental balance sheet    HTML     38K 
                information)                                                     
79: R60         11. Leases (Details - Other information)            HTML     32K 
80: R61         11. Leases (Details - Future minimum lease          HTML     45K 
                payments)                                                        
81: R62         11. Leases (Details Narrative)                      HTML     28K 
82: R63         12. Notes Payable (Details)                         HTML     42K 
83: R64         12. Notes Payable (Details Narrative)               HTML     70K 
84: R65         13. Stockholders' Equity (Details Narrative)        HTML     66K 
85: R66         14. Options (Details - Option granted)              HTML     41K 
86: R67         14. Options (Details - option summary)              HTML     45K 
87: R68         14. Options (Details - option activity)             HTML     52K 
88: R69         14. Options (Details Narrative)                     HTML     95K 
89: R70         15. Warrants (Details - Warrants Granted)           HTML     34K 
90: R71         15. Warrants (Details - Warrants Outstanding)       HTML     42K 
91: R72         15. Warrants (Details Narrative)                    HTML     45K 
92: R73         16. Income Taxes (Details-Income Tax Provision)     HTML     36K 
93: R74         16. Income Taxes (Details-Effective tax rate)       HTML     41K 
94: R75         16. Income Taxes (Details-Deferred Tax Assets)      HTML     54K 
95: R76         16. Income Taxes (Details Narrative)                HTML     29K 
96: R77         17. Commitments (Details)                           HTML     45K 
97: R78         17. Commitments (Details Narrartive)                HTML     29K 
99: XML         IDEA XML File -- Filing Summary                      XML    173K 
98: EXCEL       IDEA Workbook of Financial Reports                  XLSX    117K 
14: EX-101.INS  XBRL Instance -- sowg-20201231                       XML   1.49M 
16: EX-101.CAL  XBRL Calculations -- sowg-20201231_cal               XML    217K 
17: EX-101.DEF  XBRL Definitions -- sowg-20201231_def                XML    678K 
18: EX-101.LAB  XBRL Labels -- sowg-20201231_lab                     XML   1.04M 
19: EX-101.PRE  XBRL Presentations -- sowg-20201231_pre              XML    971K 
15: EX-101.SCH  XBRL Schema -- sowg-20201231                         XSD    177K 
100: ZIP         XBRL Zipped Folder -- 0001683168-21-001122-xbrl      Zip    155K  


‘EX-4.9’   —   Amendment to 2020 Stock Incentive Plan, Dated October 1, 2020


This Exhibit is an HTML Document rendered as filed.  [ Alternative Formats ]



EXHIBIT 4.9

 

AMENDMENT TO

BLACK RIDGE OIL & GAS, INC.

2020 STOCK INCENTIVE PLAN

 

This document is the Amendment to the Black Ridge Oil & Gas, Inc. 2020 Stock Incentive Plan, as amended (the “Plan”).

 

W I T N E S S E T H

 

WHEREAS, Black Ridge Oil & Gas, Inc. (the “Company”) has established the Plan; and

 

WHEREAS, Section 10.10 of the Plan permits amendment of the Plan by the Board of Directors of the Company (the “Board”), conditioned on additional approvals by the Company’s shareholders for certain amendments;

 

WHEREAS, the Board has authorized the Company to close on that certain Asset Purchase Agreement (the “APA”) dated June 9, 2020 with Seller (as defined therein) pursuant to which the Company will purchase assets related to the freeze-dried fruits business of Seller (the “Transaction”); and

 

WHEREAS, pursuant to the APA and as a condition to closing the Transaction, the Board is required to have approved an amendment to the Plan (subject to further approval by shareholders within one year of closing on the Transaction).

 

NOW, THEREFORE, in consideration of the premises, the Plan is amended as follows:

 

Section 5.1 of the Plan is hereby deleted in its entirety and replaced with the following:

 

“5.1 Number of Shares. Subject to adjustment as provided in Section 10.6, the number of shares of Common Stock which may be issued under the Plan shall not exceed 514,150 shares of Common Stock. Shares of Common Stock that are issued under the Plan or are subject to outstanding Incentives will be applied to reduce the maximum number of shares of Common Stock remaining available for issuance under the Plan. Shares of Common Stock subject to a participant’s exercise of either an option or a SAR, but not both (a “tandem SAR”), shall be counted only once.”

 

[Certification on following page.]

 

 

 C: 
  C:   

 

 

CERTIFICATION

 

The undersigned Chairman of the Board of Black Ridge Oil & Gas, Inc., a Nevada corporation, does hereby certify that the foregoing Amendment to the Black Ridge Oil & Gas, Inc. 2020 Stock Incentive Plan was adopted for the Company by its Board of Directors, subject to approval by the stockholders, at a meeting of the Board of Directors held September 29, 2020.

 

 

 

___________________________________________

Bradley Berman, Chairman of the Board

 

 

 


Dates Referenced Herein   and   Documents Incorporated by Reference

This ‘10-K’ Filing    Date    Other Filings
Filed on:3/31/2110-Q
For Period end:12/31/20
9/29/20
6/9/20
 List all Filings 


18 Subsequent Filings that Reference this Filing

  As Of               Filer                 Filing    For·On·As Docs:Size             Issuer                      Filing Agent

 4/25/24  Sow Good Inc.                     S-1/A                  3:3.2M                                   Donnelley … Solutions/FA
 4/22/24  Sow Good Inc.                     S-1/A                  5:3.6M                                   Donnelley … Solutions/FA
 4/16/24  Sow Good Inc.                     S-1/A                  5:3.2M                                   Donnelley … Solutions/FA
 3/27/24  Sow Good Inc.                     S-1/A                 90:10M                                    RDG Filings/FA
 3/22/24  Sow Good Inc.                     10-K       12/31/23   93:11M                                    RDG Filings/FA
 2/13/24  Sow Good Inc.                     S-1                  155:17M                                    RDG Filings/FA
11/21/23  Sow Good Inc.                     S-1                  155:17M                                    RDG Filings/FA
11/14/23  Sow Good Inc.                     10-Q        9/30/23   74:6.9M                                   RDG Filings/FA
 8/14/23  Sow Good Inc.                     10-Q        6/30/23   68:5.1M                                   GlobalOne Filings Inc/FA
 5/22/23  Sow Good Inc.                     10-Q        3/31/23   68:4.3M                                   GlobalOne Filings Inc/FA
 4/14/23  Sow Good Inc.                     10-K       12/31/22   92:7.4M                                   GlobalOne Filings Inc/FA
11/14/22  Sow Good Inc.                     10-Q        9/30/22   71:5.1M                                   GlobalOne Filings Inc/FA
 8/15/22  Sow Good Inc.                     10-Q        6/30/22   71:4.9M                                   GlobalOne Filings Inc/FA
 5/13/22  Sow Good Inc.                     10-Q        3/31/22   71:3.9M                                   GlobalOne Filings Inc/FA
 3/29/22  Sow Good Inc.                     10-K       12/31/21  102:7.9M                                   GlobalOne Filings Inc/FA
11/15/21  Sow Good Inc.                     10-Q        9/30/21   75:4.7M                                   GlobalOne Filings Inc/FA
 8/16/21  Sow Good Inc.                     10-Q        6/30/21   78:5M                                     GlobalOne Filings Inc/FA
 5/13/21  Sow Good Inc.                     10-Q        3/31/21   79:3.3M                                   GlobalOne Filings Inc/FA


20 Previous Filings that this Filing References

  As Of               Filer                 Filing    For·On·As Docs:Size             Issuer                      Filing Agent

 2/05/21  Sow Good Inc.                     8-K:1,3,8,9 2/05/21    3:102K                                   GlobalOne Filings Inc/FA
 1/22/21  Sow Good Inc.                     8-K:1,5,8,9 1/20/21    4:1.2M                                   GlobalOne Filings Inc/FA
 1/04/21  Sow Good Inc.                     8-K:1,2,5,912/28/20    2:167K                                   GlobalOne Filings Inc/FA
11/12/20  Sow Good Inc.                     10-Q        9/30/20   68:2.9M                                   GlobalOne Filings Inc/FA
10/06/20  Sow Good Inc.                     8-K:1,2,5,8 9/30/20    3:87K                                    GlobalOne Filings Inc/FA
 8/11/20  Sow Good Inc.                     10-Q        6/30/20   68:2.7M                                   GlobalOne Filings Inc/FA
 6/17/20  Sow Good Inc.                     SC 13D/A               2:193K Allied Gaming & Entertainment Inc GlobalOne Filings Inc/FA
 5/15/20  Sow Good Inc.                     10-Q        3/31/20   64:2.5M                                   GlobalOne Filings Inc/FA
 2/26/20  Sow Good Inc.                     8-K:5,9     2/26/20    3:197K                                   GlobalOne Filings Inc/FA
 2/21/20  Sow Good Inc.                     8-K:3,5,9   2/21/20    3:40K                                    GlobalOne Filings Inc/FA
 1/10/20  Sow Good Inc.                     DEF 14C     1/10/20    1:305K                                   GlobalOne Filings Inc/FA
 3/06/18  Sow Good Inc.                     8-K:1,5,9   3/01/18    3:65K                                    GlobalOne Filings Inc/FA
12/14/16  Sow Good Inc.                     8-K:5,8,9  12/12/16    3:144K                                   GlobalOne Filings Inc/FA
 3/28/13  Sow Good Inc.                     10-K       12/31/12   69:5.7M                                   Publicease Inc./FA
12/12/12  Sow Good Inc.                     8-K:1,3,5,912/10/12    4:187K                                   Publicease Inc./FA
 9/27/12  Sow Good Inc.                     8-K:1,5,9   9/25/12    3:100K                                   Publicease Inc./FA
 4/03/12  Sow Good Inc.                     8-K:5,9     4/02/12    2:24K                                    Publicease Inc./FA
 3/26/12  Sow Good Inc.                     PRE 14C     3/21/12    1:402K                                   Publicease Inc./FA
 8/22/11  Sow Good Inc.                     S-1                   55:5.9M                                   Publicease Inc./FA
 4/19/10  Emerald Oil, Inc.                 8-K:1,8,9   4/16/10    4:861K                                   Toppan Merrill/FA
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Filing Submission 0001683168-21-001122   –   Alternative Formats (Word / Rich Text, HTML, Plain Text, et al.)

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