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| CIK | 1854963 |
SEC Filings
All companies that sell securities in the United States must register with the Securities and Exchange Commission (SEC) and file reports on a regular basis.
These reports include company annual reports (10K, 10Q), news updates (8K), investor presentations (found in 8Ks), insider trades (form 4), ownership reports (13D, and 13G), and reports related to the specific securities sold, such as registration statements and prospectus. This page shows recent SEC filings related to SHF Holdings, Inc.
SEC Filings (Chronological Order)
Halaman ini menyediakan daftar lengkap dan kronologis dari Pengajuan SEC, tidak termasuk pengajuan kepemilikan yang kami sediakan di tempat lain.
| September 2, 2025 |
Exhibit 10.1 THIS CONVERTIBLE PROMISSORY NOTE (AS MAY BE AMENDED FROM TIME TO TIME, THE “NOTE”) AND THE SECURITIES INTO WHICH IT MAY BE CONVERTED HAVE NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE “SECURITIES ACT”) OR UNDER THE SECURITIES LAWS OF ANY STATE. THESE SECURITIES ARE SUBJECT TO RESTRICTIONS ON TRANSFERABILITY AND RESALE. THIS NOTE HAS BEEN ACQUIRED FOR INVESTMENT |
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| September 2, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 27, 2025 SHF Holdings, Inc. (Exact name of registrant as specified in its charter) Delaware (State or other jurisdiction of incorporation) 001-40524 86-2409612 (Commission File |
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| August 22, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K/A (Amendment No. 1) CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 13, 2025 SHF Holdings, Inc. (Exact name of registrant as specified in its charter) Delaware (State or other jurisdiction of incorporation) 001-40524 86-2409 |
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| August 14, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2025 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number 001-40524 SHF Holdings, Inc. (Ex |
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| August 14, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 13, 2025 SHF Holdings, Inc. (Exact name of registrant as specified in its charter) Delaware (State or other jurisdiction of incorporation) 001-40524 86-2409612 (Commission File |
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| August 14, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q/A Amendment No. 1 ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2025 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number 001-40524 SHF |
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| July 11, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): July 8, 2025 SHF Holdings, Inc. (Exact name of registrant as specified in its charter) Delaware (State or other jurisdiction of incorporation) 001-40524 86-2409612 (Commission File Nu |
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| July 11, 2025 |
SHF Holdings, Inc. Amendment to Amended and Restated - 2022 Equity Incentive Plan Exhibit 10.1 AMENDMENT TO THE AMENDED AND RESTATED – 2022 EQUITY INCENTIVE PLAN WHEREAS, SHF Holdings, Inc. (the “Company”) established the Amend and Restated - 2022 Equity Incentive Plan (as amended, the “2022 Plan”) to attract, retain and provide incentives to key management employees, directors, and consultants of the Company and its Affiliates, and to align the interests of such service provid |
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| May 28, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 21, 2025 SHF Holdings, Inc. (Exact name of registrant as specified in its charter) Delaware (State or other jurisdiction of incorporation) 001-40524 86-2409612 (Commission File Nu |
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| May 28, 2025 |
United States Securities and Exchange Commission Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, For Use o |
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| May 28, 2025 |
Exhibit 10.1 WAIVER This Waiver (the “Waiver”), dated as of May 21, 2025 (the “Effective Date”), is made by and between SHF Holdings, Inc. (“SHF”) and Partner Colorado Credit Union (“PCCU” and, together with SHF, the “Parties,” and each, a “Party”). WHEREAS, SHF filed its Second Amended and Restated Certificate of Incorporation with the Secretary of State of the State of Delaware on September 28, |
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| May 28, 2025 |
United States Securities and Exchange Commission Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, For Use o |
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| May 21, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2025 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number 001-40524 SHF Holdings, Inc. (E |
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| May 16, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 12b-25 NOTIFICATION OF LATE FILING (Check One): ☐ Form 10-K ☐ Form 20-F ☐ Form 11-K ☒ Form 10-Q ☐ Form 10-D ☐ Form N-CEN ☐ Form N-CSR For Period Ended: March 31, 2025 ☐ Transition Report on Form 10-K ☐ Transition Report on Form 20-F ☐ Transition Report on Form 11-K ☐ Transition Report on Form 10-Q For the Transition Per |
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| May 7, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 2, 2025 SHF Holdings, Inc. (Exact name of registrant as specified in its charter) Delaware (State or other jurisdiction of incorporation) 001-40524 86-2409612 (Commission File Num |
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| May 2, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 28, 2025 SHF Holdings, Inc. (Exact name of registrant as specified in its charter) Delaware (State or other jurisdiction of incorporation) 001-40524 86-2409612 (Commission File |
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| April 30, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K/A ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2024 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number 001-40524 SHF Holdings, Inc. (Exac |
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| April 18, 2025 |
Changes in Registrant's Certifying Accountant, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 14, 2025 SHF Holdings, Inc. (Exact name of registrant as specified in its charter) Delaware (State or other jurisdiction of incorporation) 001-40524 86-2409612 (Commission File |
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| April 18, 2025 |
April 18, 2025 letter from Marcum LLP Exhibit 16.1 |
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| April 10, 2025 |
[Insider Trading Policies and Procedures] Exhibit 19 |
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| April 10, 2025 |
Subsidiaries of the Registrant Exhibit 21.1 Subsidiaries of SHF Holdings, Inc. Name of Subsidiary Jurisdiction of Organization SHF, LLC d/b/a Safe Harbor Financial Colorado SHFxAbaca, LLC., d/b/a Abaca Delaware |
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| April 10, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2024 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number 001-40524 SHF Holdings, Inc. (Exact |
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| April 7, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 1, 2025 SHF Holdings, Inc. (Exact name of registrant as specified in its charter) Delaware (State or other jurisdiction of incorporation) 001-40524 86-2409612 (Commission File N |
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| April 1, 2025 |
Results of Operations and Financial Condition, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 31, 2025 SHF Holdings, Inc. (Exact name of registrant as specified in its charter) Delaware (State or other jurisdiction of incorporation) 001-40524 86-2409612 (Commission File |
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| April 1, 2025 |
Exhibit 99.1 Safe Harbor Financial Reports Fourth Quarter and Year-End 2024 Results — Adjusted EBITDA(1) is positive for each of the last 3 years; Adjusted Working Capital(2) is approximately positive $2 million — Loan Interest Income increased 82% and 123% year-over-year for the three months and full-year ended December 31, 2024, respectively — Revenue for the Q4 2024 increased 5% compared to the |
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| April 1, 2025 |
FORM 12b-25 NOTIFICATION OF LATE FILING UNITED STATES SEC FILE NUMBER SECURITIES AND EXCHANGE COMMISSION 001-40524 Washington, D. |
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| March 20, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 20, 2025 SHF Holdings, Inc. (Exact name of registrant as specified in its charter) Delaware (State or other jurisdiction of incorporation) 001-40524 86-2409612 (Commission File |
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| March 20, 2025 |
Regulation FD Disclosure, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 13, 2025 SHF Holdings, Inc. (Exact name of registrant as specified in its charter) Delaware (State or other jurisdiction of incorporation) 001-40524 86-2409612 (Commission File |
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| March 20, 2025 |
Exhibit 3.1 CERTIFICATE OF AMENDMENT TO THE SECOND AMENDED AND RESTATED CERTIFICATE OF INCORPORATION OF SHF HOLDINGS, INC. SHF Holdings, Inc. (the “Corporation”), a corporation organized and existing under the General Corporation Law of the State of Delaware, hereby certifies as follows: 1. This Certificate of Amendment (the “Certificate of Amendment”) amends the provisions of the Corporation’s Se |
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| March 20, 2025 |
SHF Holdings, Inc. Special Meeting Exhibit 99.1 SHF Holdings, Inc. Special Meeting Sophia: Before we start, please note that remarks made today include forward-looking statements, including statements with respect to the company’s outlook and the company’s expectations regarding its market opportunities and other financial operational matters. Each forward-looking statement discussed during this presentation are subject to risks an |
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| March 14, 2025 |
Submission of Matters to a Vote of Security Holders UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 13, 2025 SHF Holdings, Inc. (Exact name of registrant as specified in its charter) Delaware (State or other jurisdiction of incorporation) 001-40524 86-2409612 (Commission File |
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| March 13, 2025 |
Regulation FD Disclosure, Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 13, 2025 SHF Holdings, Inc. (Exact name of registrant as specified in its charter) Delaware (State or other jurisdiction of incorporation) 001-40524 86-2409612 (Commission File |
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| March 13, 2025 |
Investor Presentation dated March 13, 2025 Exhibit 99.1 |
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| March 11, 2025 |
Exhibit 99.1 Newly Appointed Safe Harbor Financial CEO Terry Mendez Issues Letter to Shareholders Highlights Successful Debt Modification Agreement with PCCU and Upcoming Special Shareholder Meeting on Thursday, March 13 at 4:30 p.m. ET GOLDEN, Colo., March 11, 2025 – SHF Holdings, Inc., d/b/a Safe Harbor Financial (“Safe Harbor” or the “Company”) (Nasdaq: SHFS), a fintech leader in facilitating f |
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| March 11, 2025 |
Regulation FD Disclosure, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 11, 2025 SHF Holdings, Inc. (Exact name of registrant as specified in its charter) Delaware (State or other jurisdiction of incorporation) 001-40524 86-2409612 (Commission File |
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| March 7, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 3, 2025 SHF Holdings, Inc. (Exact name of registrant as specified in its charter) Delaware (State or other jurisdiction of incorporation) 001-40524 86-2409612 (Commission File N |
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| March 4, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 3. 2025 SHF Holdings, Inc. (Exact name of registrant as specified in its charter) Delaware (State or other jurisdiction of incorporation) 001-40524 86-2409612 (Commission File N |
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| March 4, 2025 |
Amended and Restated Senior Secured Promissory Note dated March 3, 2025 Exhibit 10.1 |
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| March 4, 2025 |
Exhibit 99.1 Safe Harbor Financial Successfully Modifies Debt Obligation with Partner Colorado Credit Union Agreement unlocks over $6 million in Cash Flow and Extends Due Date to October 2030 GOLDEN, Colo., March 4, 2025 – SHF Holdings, Inc., d/b/a Safe Harbor Financial (“Safe Harbor” or the “Company”) (Nasdaq: SHFS), a fintech leader in facilitating financial services and credit facilities to the |
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| March 3, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☒ Definitive Proxy State |
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| February 21, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☒ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐ Definitive Proxy State |
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| February 3, 2025 |
Entry into a Material Definitive Agreement, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): January 29, 2025 SHF Holdings, Inc. (Exact name of registrant as specified in its charter) Delaware (State or other jurisdiction of incorporation) 001-40524 86-2409612 (Commission Fil |
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| February 3, 2025 |
Exhibit 99.2 Safe Harbor Financial Announces Temporary Pause in Principal Payments and Ongoing Discussions to Modify Promissory Note with PCCU PCCU Modifies Credit Facility with Safe Harbor by Pausing Principal Payments for Two Months as New Terms are Considered; Safe Harbor Intends to Commence Making Growth Investments Immediately GOLDEN, Colo., Feb. 3, 2025 – SHF Holdings, Inc., d/b/a Safe Harbo |
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| February 3, 2025 |
Exhibit 99.1 |
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| January 29, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): January 28, 2025 SHF Holdings, Inc. (Exact name of registrant as specified in its charter) Delaware (State or other jurisdiction of incorporation) 001-40524 86-2409612 (Commission Fil |
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| January 29, 2025 |
Exhibit 99.1 Safe Harbor Financial Commences CEO Succession and Strategic Planning Initiative Sundie Seefried to Immediately Become Co-CEO and Retire in 30 Days; Will Remain on Board of Directors Post-Transition Business Transformation Expert, Terry Mendez, Appointed Co-CEO; Will Become CEO Upon Retirement of Seefried GOLDEN, Colo. (January 29, 2025) – SHF Holdings, Inc., d/b/a Safe Harbor Financi |
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| January 27, 2025 |
Exhibit 10.1 |
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| January 27, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): January 21, 2025 SHF Holdings, Inc. (Exact name of registrant as specified in its charter) Delaware (State or other jurisdiction of incorporation) 001-40524 86-2409612 (Commission Fil |
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| January 7, 2025 |
Entry into a Material Definitive Agreement, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): December 31, 2024 SHF Holdings, Inc. (Exact name of registrant as specified in its charter) Delaware (State or other jurisdiction of incorporation) 001-40524 86-2409612 (Commission Fi |
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| January 7, 2025 |
Exhibit 10.1 |
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| December 23, 2024 |
Investor Presentation, dated December 2024 Exhibit 99.1 |
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| December 23, 2024 |
Regulation FD Disclosure, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): December 23, 2024 SHF Holdings, Inc. (Exact name of registrant as specified in its charter) Delaware (State or other jurisdiction of incorporation) 001-40524 90-2409612 (Commission Fi |
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| December 19, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): December 13, 2024 SHF Holdings, Inc. (Exact name of registrant as specified in its charter) Delaware (State or other jurisdiction of incorporation) 001-40524 86-2409612 (Commission Fi |
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| November 12, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2024 ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-40524 SHF Holdings, Inc. |
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| November 12, 2024 |
Results of Operations and Financial Condition, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 12, 2024 SHF Holdings, Inc. (Exact name of registrant as specified in its charter) Delaware (State or other jurisdiction of incorporation) 001-40524 86-2409612 (Commission Fi |
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| November 12, 2024 |
Exhibit 99.1 Safe Harbor Financial Reports Financial Results for Third Quarter and Nine Months Ended September 30, 2024 —Net Income increased to $0.4 million in the third quarter of 2024 —Loan Interest Income increased 48% and 143.5% year-over-year for three and nine months ended September 30, 2024, respectively —Operating Expenses decreased 13% versus Q3 2023 and by 66.4% for the nine-month perio |
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| October 30, 2024 |
Exhibit 99.1 Safe Harbor Financial to Report Third Quarter 2024 Financial Results on Tuesday, November 12, 2024 Company to host conference call after the market closes at 4:30p.m. ET on Tuesday, November 12th GOLDEN, Colo., October 30, 2024 — SHF Holdings, Inc., d/b/a/ Safe Harbor Financial (“Safe Harbor”) (NASDAQ: SHFS), a leader in facilitating financial services and credit facilities to the reg |
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| October 30, 2024 |
Results of Operations and Financial Condition, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): October 30, 2024 SHF Holdings, Inc. (Exact name of registrant as specified in its charter) Delaware (State or other jurisdiction of incorporation) 001-40524 86-2409612 (Commission Fil |
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| October 18, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): October 14, 2024 SHF Holdings, Inc. (Exact name of registrant as specified in its charter) Delaware (State or other jurisdiction of incorporation) 001-40524 90-2409612 (Commission Fil |
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| October 10, 2024 |
Safe Harbor Financial 1526 Cole Blvd, #250 Golden, CO 80401 October 9, 2024 U.S. Securities and Exchange Commission Division of Corporation Finance Office of Finance 100 F Street, NE Washington, D.C. 20549 Attention: John Spitz and Ben Phippen Re: SHF Holdings, Inc. Form 10-K for the Fiscal Year Ended December 31, 2023 File No. 001-40524 Dear Messrs. Spitz and Phippen: SHF Holdings, Inc. (the “Com |
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| October 4, 2024 |
Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): October 3, 2024 SHF Holdings, Inc. (Exact name of registrant as specified in its charter) Delaware (State or other jurisdiction of incorporation) 001-40524 90-2409612 (Commission File |
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| October 1, 2024 |
Regulation FD Disclosure, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): October 1, 2024 SHF Holdings, Inc. (Exact name of registrant as specified in its charter) Delaware (State or other jurisdiction of incorporation) 001-40524 90-2409612 (Commission File |
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| October 1, 2024 |
Exhibit 99.1 Safe Harbor Financial to Participate in the Benzinga Cannabis Capital Conference on October 8 and 9, 2024 GOLDEN, Colo., October 1, 2024 — SHF Holdings, Inc., d/b/a/ Safe Harbor Financial (“Safe Harbor” or the “Company”) (NASDAQ: SHFS), a leader in facilitating financial services and credit facilities to the regulated cannabis industry, announced today that its management team will pa |
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| September 30, 2024 |
Investor Presentation, dated September 2024 Exhibit 99.1 |
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| September 30, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): September 27, 2024 SHF Holdings, Inc. (Exact name of registrant as specified in its charter) Delaware (State or other jurisdiction of incorporation) 001-40524 90-2409612 (Commission F |
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| September 18, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K/A (Amendment No. 1) CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): September 17, 2024 (August 29, 2024) SHF Holdings, Inc. (Exact name of registrant as specified in its charter) Delaware (State or other jurisdiction of incorporati |
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| September 4, 2024 |
Safe Harbor Financial Secures Key Executive Team with Strategic Contract Extensions Exhibit 99-1 Safe Harbor Financial Secures Key Executive Team with Strategic Contract Extensions GOLDEN, Colo. |
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| September 4, 2024 |
Amendment to Employment Agreement dated August 1, 2024, between the Company and Sundie Seefried Exhibit 10.2 Amendment to Employment Agreement This is an amendment (“Amendment”) to the Executive Employment Agreement entered into as of February 11, 2022 (“Employment Agreement”) by and between SHF, LLC doing business as Safe Harbor Financial (“SHF”) as a wholly owned subsidiary of SHF Holdings, Inc., a Delaware corporation (the “Company”), and Sundie Seefried (the “Executive”). W I T N E S S E |
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| September 4, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 29, 2024 SHF Holdings, Inc. (Exact name of registrant as specified in its charter) Delaware (State or other jurisdiction of incorporation) 001-40524 90-2409612 (Commission File |
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| September 4, 2024 |
Employment Agreement effective September 28, 2022, between the Company and Sundie Seefried Exhibit 10.1 |
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| August 27, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 21, 2024 SHF Holdings, Inc. (Exact name of registrant as specified in its charter) Delaware (State or other jurisdiction of incorporation) 001-40524 90-2409612 (Commission File |
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| August 27, 2024 |
Employment Agreement dated November 15, 2022, and executed between the Company and Dan Roda Exhibit 10.1 |
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| August 27, 2024 |
Amendment to Employment Agreement dated August 1, 2024, between the Company and Tyler Beuerlein Exhibit 10.3 |
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| August 27, 2024 |
Amendment to Employment Agreement dated August 1, 2024, between the Company and Dan Roda Exhibit 10.2 |
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| August 14, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2024 ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-40524 SHF Holdings, Inc. (Exac |
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| August 14, 2024 |
Results of Operations and Financial Condition, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 14, 2024 SHF Holdings, Inc. (Exact name of registrant as specified in its charter) Delaware (State or other jurisdiction of incorporation) 001-40524 90-2409612 (Commission File |
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| August 14, 2024 |
Exhibit 99.1 Safe Harbor Financial Reports Financial Results for Second Quarter and Six Months Ended June 30, 2024 —Net Income increased to $0.9 million in the second quarter of 2024 —Loan Interest Income increased 203.6% year-over-year —Excluding impairment expense in 2023, Operating Expenses decreased 34.5% versus 2023 —Cash and cash equivalents increased 25% to $6.1 million GOLDEN, Colo., Augus |
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| June 17, 2024 |
Investor Presentation, dated June 2024 Exhibit 99.1 |
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| June 17, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 11, 2024 SHF Holdings, Inc. (Exact name of registrant as specified in its charter) Delaware (State or other jurisdiction of incorporation) 001-40524 90-2409612 (Commission File N |
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| May 29, 2024 |
Regulation FD Disclosure, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 29, 2024 SHF Holdings, Inc. (Exact name of registrant as specified in its charter) Delaware (State or other jurisdiction of incorporation) 001-40524 90-2409612 (Commission File Nu |
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| May 29, 2024 |
Investor Presentation, dated May 2024 Exhibit 99.1 |
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| May 13, 2024 |
Exhibit 2.8 FIRST AMENDMENT TO SECOND AMENDMENT TO AGREEMENT AND PLAN OF MERGER WARRANT AGREEMENT AND LOCK-UP AGREEMENT This FIRST AMENDMENT TO SECOND AMENDMENT TO AGREEMENT AND PLAN OF MERGER, WARRANT AGREEMENT, AND LOCK-UP AGREEMENT (this “Amendment”) is dated effective as of February 27, 2024, and is made and entered into by and among SHF Holdings, Inc., a Delaware corporation (“Parent”), SHF M |
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| May 13, 2024 |
Results of Operations and Financial Condition, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 13, 2024 SHF Holdings, Inc. (Exact name of registrant as specified in its charter) Delaware (State or other jurisdiction of incorporation) 001-40524 90-2409612 (Commission File Nu |
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| May 13, 2024 |
Exhibit 99.1 Safe Harbor Financial Announces First Quarter 2024 Results —Net Income increased 245% year-over-year to approximately $2.0 million in the first quarter of 2024 —Adjusted EBITDA increased 165.3% to approximately $1.1 million(1) —Operating Expenses decreased 35.8% versus the same period in 2023 GOLDEN, Colo., May 13, 2024 — SHF Holdings, Inc., d/b/a/ Safe Harbor Financial (“Safe Harbor” |
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| May 13, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2024 ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-40524 SHF Holdings, Inc. (Exa |
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| May 10, 2024 |
United States Securities and Exchange Commission Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. 1) Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confi |
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| April 29, 2024 |
United States Securities and Exchange Commission Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, For Use o |
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| April 15, 2024 |
Exhibit 99.1 Safe Harbor Financial Announces Appointment of CEO, Sundie Seefried to Board of Directors Board Member, John Darwin, to step down to pursue other opportunities GOLDEN, Colo., April 15, 2024 — SHF Holdings, Inc., d/b/a/ Safe Harbor Financial (“Safe Harbor” or the “Company”) (NASDAQ: SHFS), a leader in facilitating financial services and credit facilities to the regulated cannabis indus |
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| April 15, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 9, 2024 SHF Holdings, Inc. (Exact name of registrant as specified in its charter) Delaware (State or other jurisdiction of incorporation) 001-40524 90-2409612 (Commission File N |
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| April 8, 2024 |
Exhibit 10.1 |
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| April 8, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 2, 2024 SHF Holdings, Inc. (Exact name of registrant as specified in its charter) Delaware (State or other jurisdiction of incorporation) 001-40524 90-2409612 (Commission File N |
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| April 8, 2024 |
Exhibit 10.2 |
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| April 2, 2024 |
Regulation FD Disclosure, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 2, 2024 SHF Holdings, Inc. (Exact name of registrant as specified in its charter) Delaware (State or other jurisdiction of incorporation) 001-40524 90-2409612 (Commission File N |
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| April 2, 2024 |
Investor Presentation, dated April 2, 2024 Exhibit 99.1 |
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| April 1, 2024 |
Exhibit 1 |
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| April 1, 2024 |
Exhibit 7 |
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| April 1, 2024 |
Description of Registered Securities Exhibit 4.6 DESCRIPTION OF THE REGISTRANT’S SECURITIES REGISTERED PURSUANT TO SECTION1 12 OF THE SECURITIES EXCHANGE ACT OF 1934 The following summary of the registered securities of SHF Holdings, Inc. does not purport to be complete and is qualified in its entirety by reference to our second amended and restated certificate of incorporation, as amended, and bylaws, each of which are incorporated |
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| April 1, 2024 |
Exhibit 97 SHF Holdings, Inc. Clawback Policy 1. Purpose and Scope. The Board of Directors (the “Board”) of SHF Holdings, Inc. (the “Company”) believes that it is in the best interests of the Company and its shareholders to create and maintain a culture that emphasizes integrity and accountability and that reinforces the Company’s pay-for-performance compensation philosophy. The Board has therefor |
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| April 1, 2024 |
Form SHF Holdings, Inc. Stock Option Agreement Exhibit 4 SHF Holdings, Inc. AMENDED AND RESTATED - 2022 EQUITY INCENTIVE PLAN OPTION AGREEMENT THIS OPTION AGREEMENT (this “Agreement”) is made and effective as of January 31, 2023 (the “Grant Date”), by and between SHF Holdings, Inc. (the “Company”), and (“Optionee”). W I T N E S S E T H: WHEREAS, the Company desires to increase the incentive of Optionee whose contributions are important to the |
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| April 1, 2024 |
Exhibit 99.1 Safe Harbor Financial Announces Fourth Quarter and Year-End 2023 Results —Record annual revenue increased 85.3% year-over-year to $17.6 million in 2023 —Loan Book Value increased 194.2% to $55.6 million in 2023, up from $18.9 million year-over-year —Has facilitated more than $21.5 billion in deposit activity across 41 states since inception GOLDEN, Colo., April 1, 2024 — SHF Holdings, |
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| April 1, 2024 |
Amended and Restated - 2022 Equity Incentive Plan Exhibit 3 |
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| April 1, 2024 |
Results of Operations and Financial Condition, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 1, 2024 SHF Holdings, Inc. (Exact name of registrant as specified in its charter) Delaware (State or other jurisdiction of incorporation) 001-40524 90-2409612 (Commission File N |
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| April 1, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2023 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number 001-40524 SHF Holdings, Inc. (Exact |
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| March 14, 2024 |
Investor Presentation, dated March 13, 2024 Exhibit 99.1 |
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| March 14, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 14, 2024 SHF Holdings, Inc. (Exact name of registrant as specified in its charter) Delaware (State or other jurisdiction of incorporation) 001-40524 90-2409612 (Commission File |
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| March 4, 2024 |
Exhibit 2.1 FIRST AMENDMENT TO SECOND AMENDMENT TO AGREEMENT AND PLAN OF MERGER WARRANT AGREEMENT AND LOCK-UP AGREEMENT This FIRST AMENDMENT TO SECOND AMENDMENT TO AGREEMENT AND PLAN OF MERGER, WARRANT AGREEMENT, AND LOCK-UP AGREEMENT (this “Amendment”) is dated effective as of February 27, 2024, and is made and entered into by and among SHF Holdings, Inc., a Delaware corporation (“Parent”), SHF M |
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| March 4, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 27, 2024 SHF Holdings, Inc. (Exact name of registrant as specified in its charter) Delaware (State or other jurisdiction of incorporation) 001-40524 90-2409612 (Commission Fi |
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| February 14, 2024 |
SHF / Silver Hill Trust 2018-SBC1 / Ionic Ventures, LLC - SC 13G/A Passive Investment SC 13G/A 1 g084051sch13ga.htm SC 13G/A SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G/A Under the Securities Exchange Act of 1934 (Amendment No. 1)* SHF Holdings, Inc. (Name of Issuer) Class A Common Stock, par value $0.0001 per share (Title of Class of Securities) 824430102 (CUSIP Number) December 31, 2023 (Date of Event which Requires Filing of this Statement) Check the a |
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| February 14, 2024 |
SHF / Silver Hill Trust 2018-SBC1 / Vellar Opportunities Fund Master, Ltd. Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 SCHEDULE 13G/A Under the Securities Exchange Act of 1934 (Amendment No. |
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| February 14, 2024 |
SHF / Silver Hill Trust 2018-SBC1 / M3 PARTNERS LP Passive Investment SC 13G/A 1 fp0087178-19sc13ga.htm SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G (Rule 13d-102) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULE 13d-1(b), (c), AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(b) (Amendment No. 1) Shf holdings, Inc. (Name of Issuer) Common Stock (Title of Class of Securities) 824430102 (CUSIP Number) December 31, 20 |
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| January 11, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): January 5, 2024 SHF Holdings, Inc. (Exact name of registrant as specified in its charter) Delaware (State or other jurisdiction of incorporation) 001-40524 90-2409612 (Commission File |
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| December 29, 2023 |
Exhibit 107 Calculation of Filing Fee Tables Form S-8 (Form Type) SHF Holdings, Inc. |
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| December 29, 2023 |
SHF Holdings, Inc. Amended and Restated 2022 Equity Incentive Plan Exhibit 99.1 SHF Holdings, Inc. AMENDED AND RESTATED 2022 EQUITY INCENTIVE PLAN 1. ESTABLISHMENT, EFFECTIVE DATE AND TERM SHF Holdings, Inc. (f/k/a Northern Lights Acquisition Corp.), a Delaware corporation (“Safe Harbor”) has previously established the Northern Lights Acquisition Corp. 2022 Equity Incentive Plan (the “Plan”), effective June 28, 2022. Safe Harbor hereby amends and restates “Plan”) |
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| December 29, 2023 |
As filed with the Securities and Exchange Commission on December 29, 2023 As filed with the Securities and Exchange Commission on December 29, 2023 Registration No. |
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| December 13, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): December 13, 2023 SHF Holdings, Inc. (Exact name of registrant as specified in its charter) Delaware (State or other jurisdiction of incorporation) 001-40524 90-2409612 (Commission Fi |
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| November 14, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 14, 2023 SHF Holdings, Inc. (Exact name of registrant as specified in its charter) Delaware (State or other jurisdiction of incorporation) 001-40524 90-2409612 (Commission Fi |
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| November 14, 2023 |
Exhibit 99.1 Safe Harbor Financial to Report Fiscal Third Quarter 2023 Financial Results on November 14, 2023 Company to host conference call after the market closes at 4:30 p.m. ET on November 14th GOLDEN, Colo., November 7, 2023 - SHF Holdings, Inc., d/b/a/ Safe Harbor Financial (“Safe Harbor” or the “Company”) (NASDAQ: SHFS), a leader in facilitating financial services and credit facilities to |
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| November 14, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2023 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-40524 SHF Holdings, In |
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| November 14, 2023 |
Exhibit 99.2 Safe Harbor Financial Announces Third Quarter and Nine Month 2023 Results Revenue of $4.3 million for the third quarter; Nine-month revenue of $13.1 million Third consecutive quarter of more than $1.0 billion in processed deposits; Loan book value for the quarter increased 123% year-over-year to a record $42.2 million GOLDEN, Colo., November 14, 2023 - SHF Holdings, Inc., d/b/a/ Safe |
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| October 27, 2023 |
Exhibit 2.2 Execution Version WARRANT AGREEMENT between SHF HOLDINGS, INC. and Stockholders’ Representative THIS WARRANT AGREEMENT (this “Agreement”), dated as of October 26, 2023 (the “Effective Date”), is by and between SHF Holdings, Inc., a Delaware corporation (the “Company”), and Dan Roda, solely in such individual’s capacity as the representative of the Company Securityholders (the “Stockhol |
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| October 27, 2023 |
Exhibit 99.1 Safe Harbor Financial Restructures Certain Deferred Consideration Obligations in Connection With 2022 Acquisition of Abaca Agreement Reduces Dilution, Provides Long Term Benefits to Company and Shareholders GOLDEN, Colo., October 27, 2023 — SHF Holdings, Inc., d/b/a/ Safe Harbor Financial (“Safe Harbor” or the “Company”) (NASDAQ: SHFS), a leader in facilitating financial services and |
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| October 27, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): October 26, 2023 SHF Holdings, Inc. (Exact name of registrant as specified in its charter) Delaware (State or other jurisdiction of incorporation) 001-40524 90-2409612 (Commission Fil |
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| October 27, 2023 |
Exhibit 2.1 Execution Version SECOND AMENDMENT TO AGREEMENT AND PLAN OF MERGER This SECOND AMENDMENT TO AGREEMENT AND PLAN OF MERGER (this “Second Amendment”) dated as of October 26, 2023 (the “Effective Date”), is made and entered into by and among SHF Holdings, Inc., a Delaware corporation (“Parent”), SHF Merger Sub I Inc., a Delaware corporation and a direct wholly-owned subsidiary of Parent (“ |
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| September 19, 2023 |
Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): September 13, 2023 SHF Holdings, Inc. (Exact name of registrant as specified in its charter) Delaware (State or other jurisdiction of incorporation) 001-40524 90-2409612 (Commission F |
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| August 28, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 28, 2023 SHF Holdings, Inc. (Exact name of registrant as specified in its charter) Delaware (State or other jurisdiction of incorporation) 001-40524 90-2409612 (Commission File |
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| August 28, 2023 |
Investor Presentation, dated August 27, 2023 Exhibit 99.1 |
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| August 22, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 16, 2023 SHF Holdings, Inc. (Exact name of registrant as specified in its charter) Delaware (State or other jurisdiction of incorporation) 001-40524 90-2409612 (Commission File |
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| August 22, 2023 |
Exhibit 10.1 |
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| August 14, 2023 |
Exhibit 99.1 Safe Harbor Financial to Report Fiscal Second Quarter 2023 Financial Results on August 14, 2023 Company to host conference call after the market closes at 4:30 p.m. ET on August 14th GOLDEN, Colo., August 8, 2023 — SHF Holdings, Inc., d/b/a/ Safe Harbor Financial (“Safe Harbor” or the “Company”) (NASDAQ: SHFS) , a leader in facilitating financial services and credit facilities to the |
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| August 14, 2023 |
Exhibit 99.2 Safe Harbor Financial Announces Second Quarter 2023 Results Revenue of $4.6 million Second consecutive quarter of more than $1.1 billion in processed deposits; monthly average Balances on Deposit increased 60% versus the same period last year Closed over $15 million in cannabis commercial real estate loans during the quarter GOLDEN, Colo., August 14, 2023 — SHF Holdings, Inc., d/b/a/ |
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| August 14, 2023 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 14, 2023 SHF Holdings, Inc. (Exact name of registrant as specified in its charter) Delaware (State or other jurisdiction of incorporation) 001-40524 90-2409612 (Commission File |
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| August 14, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2023 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-40524 SHF Holdings, Inc. (E |
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| July 21, 2023 |
SHF / Silver Hill Trust 2018-SBC1 / Partner Colorado Credit Union Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 SHF Holdings, Inc. (Name of Issuer) Class A Common Stock, $0.0001 par value per share (Title of Class of Securities) 824430102 (CUSIP Number) Doug Fagan | President / CEO Partner Colorado Credit Union 6221 Sheridan Blvd, Arvada, CO 80003 (303) 422-6221 Name, Address and Te |
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| July 21, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): July 21, 2023 SHF Holdings, Inc. (Exact name of registrant as specified in its charter) Delaware (State or other jurisdiction of incorporation) 001-40524 90-2409612 (Commission File N |
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| May 30, 2023 |
EXHIBIT 1 JOINT FILING AGREEMENT In accordance with Rule 13d-1(k) under the Securities Exchange Act of 1934, as amended, the undersigned agree to the joint filing on behalf of each of them of a Statement on Schedule 13G (including any and all amendments thereto) with respect to the Common Stock of SHF Holdings, Inc. |
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| May 30, 2023 |
SHF / Silver Hill Trust 2018-SBC1 / M3 PARTNERS LP Passive Investment SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G (Rule 13d-102) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULE 13d-1(b), (c), AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(b) Shf holdings, Inc. (Name of Issuer) Common Stock (Title of Class of Securities) 824430102 (CUSIP Number) May 17, 2023 (Date of Event Which Requires Filing of This Statement |
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| May 19, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 18, 2023 SHF Holdings, Inc. (Exact name of registrant as specified in its charter) Delaware (State or other jurisdiction of incorporation) 001-40524 86-2409612 (Commission File Nu |
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| May 15, 2023 |
Exhibit 4 |
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| May 15, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2023 ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-40524 SHF Holdings, Inc. (Exa |
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| May 15, 2023 |
Exhibit 3 |
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| May 15, 2023 |
Exhibit 1 |
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| May 15, 2023 |
Exhibit 2 |
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| May 15, 2023 |
Results of Operations and Financial Condition, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 15, 2023 SHF Holdings, Inc. (Exact name of registrant as specified in its charter) Delaware (State or other jurisdiction of incorporation) 001-40524 90-2409612 (Commission File Nu |
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| May 15, 2023 |
Exhibit 99.1 Safe Harbor Financial Announces First Quarter 2023 Financial Results - Processed a record $1.1 billion in deposits; monthly average balances on deposit increased 55% versus the same prior year period - - Increased deposit capacity by up to $1 billion through recent Five Star Bank partnership - - Significantly strengthened balance sheet, reduced total debt obligations by more than 60% |
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| April 28, 2023 |
United States Securities and Exchange Commission Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, For Use o |
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| April 21, 2023 |
Safe Harbor Financial Welcomes Douglas Fagan to Board of Directors Exhibit 99.1 Safe Harbor Financial Welcomes Douglas Fagan to Board of Directors GOLDEN, Colo., April 20, 2023 — SHF Holdings, Inc., d/b/a/ Safe Harbor Financial (“Safe Harbor” or the “Company”) (NASDAQ: SHFS), a leader in facilitating financial services and credit facilities to the regulated cannabis industry, today announced that it has appointed Douglas Fagan, President and CEO of Partner Colora |
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| April 21, 2023 |
Investor Presentation, dated April 20, 2023. Exhibit 99.2 |
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| April 21, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 14, 2023 SHF Holdings, Inc. (Exact name of registrant as specified in its charter) Delaware (State or other jurisdiction of incorporation) 001-40524 90-2409612 (Commission File |
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| April 14, 2023 |
Description of Registered Securities Exhibit 4.2 DESCRIPTION OF THE REGISTRANT’S SECURITIES REGISTERED PURSUANT TO SECTION1 12 OF THE SECURITIES EXCHANGE ACT OF 1934 The following summary of the registered securities of SHF Holdings, Inc. does not purport to be complete and is qualified in its entirety by reference to our second amended and restated certificate of incorporation, as amended, and bylaws, each of which are incorporated |
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| April 14, 2023 |
Subsidiaries of the Registrant Exhibit 21.1 Subsidiaries of SHF Holdings, Inc. Name of Subsidiary Jurisdiction of Organization SHF, LLC d/b/a Safe Harbor Financial Colorado Rockview Digital Solutions, Inc., d/b/a Abaca Delaware |
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| April 14, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2022 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number 001-40524 SHF Holdings, Inc. (Exact |
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| April 14, 2023 |
Exhibit 10.13 |
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| April 14, 2023 |
Exhibit 10.12 |
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| April 10, 2023 |
SHF / Silver Hill Trust 2018-SBC1 / Partner Colorado Credit Union Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 SHF Holdings, Inc. (Name of Issuer) Class A Common Stock, $0.0001 par value per share (Title of Class of Securities) 824430102 (CUSIP Number) Doug Fagan | President / CEO Partner Colorado Credit Union 6221 Sheridan Blvd, Arvada, CO 80003 (303) 422-6221 Name, Address and Te |
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| April 6, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 1, 2023 SHF Holdings, Inc. (Exact name of registrant as specified in its charter) Delaware (State or other jurisdiction of incorporation) 001-40524 90-2409612 (Commission File N |
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| March 30, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 12b-25 NOTIFICATION OF LATE FILING (CHECK ONE): ☒ Form 10-K ☐ Form 20-F ☐ Form 11-K ☐ Form 10-Q ☐ Form N-SAR Commission File Number: 001-40524 For Period Ended: December 31, 2022 ☐ Transition Report on Form 10-K ☐ Transition Report on Form 20-F ☐ Transition Report on Form 11-K ☐ Transition Report on Form 10-Q ☐ Transition |
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| March 30, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 30, 2023 SHF Holdings, Inc. (Exact name of registrant as specified in its charter) Delaware (State or other jurisdiction of incorporation) 001-40524 90-2409612 (Commission File |
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| March 30, 2023 |
Exhibit 99.1 Safe Harbor Financial Announces Preliminary Fourth Quarter and Full Year 2022 Financial Results - Full year revenue increased 34% to $9.4 million, number of active accounts increased 82% to 1040 compared to 2021 - - Recent agreement to resolve $64.7 million in payment obligations significantly strengthens balance sheet, strongly positions the Company for further growth in 2023 - GOLDE |
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| March 30, 2023 |
Exhibit 99.1 Safe Harbor Financial Enters into Agreement to Resolve $64.7 Million in Payment Obligations - Significantly strengthens balances sheet and net worth with a serviceable amount of debt - GOLDEN, Colo., March 30, 2023 — SHF Holdings, Inc., d/b/a/ Safe Harbor Financial (“Safe Harbor” or the “Company”) (NASDAQ: SHFS), a leader in facilitating banking, payments, and financial services to th |
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| March 30, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 29, 2023 SHF Holdings, Inc. (Exact name of registrant as specified in its charter) Delaware (State or other jurisdiction of incorporation) 001-40524 90-2409612 (Commission File |
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| March 29, 2023 |
Exhibit 99.1 Safe Harbor Financial to Hold Fourth Quarter and Full Year 2022 Earnings Conference Call on Thursday, March 30, 2023 GOLDEN, Colo., Mar. 28, 2023 - SHF Holdings, Inc., d/b/a/ Safe Harbor Financial (“Safe Harbor” or the “Company”) (NASDAQ: SHFS), a leader in facilitating banking, payments, and financial services to the regulated cannabis industry, today announced that Chief Executive O |
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| March 29, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 28, 2023 SHF Holdings, Inc. (Exact name of registrant as specified in its charter) Delaware (State or other jurisdiction of incorporation) 001-40524 90-2409612 (Commission File |
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| March 17, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 16, 2023 SHF Holdings, Inc. (Exact name of registrant as specified in its charter) Delaware (State or other jurisdiction of incorporation) 001-40524 90-2409612 (Commission File |
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| March 17, 2023 |
Filed Pursuant to Rule 424(b)(3) Registration No. 333-267796 PROSPECTUS SUPPLEMENT NO. 3 (to Prospectus dated December 9, 2022) SHF HOLDINGS, INC. Primary Offering of Up to 5,750,000 Shares of Class A Common Stock Underlying Public Warrants Secondary Offering of Up to 16,360,000 Shares of Class A Common Stock Underlying Series A Convertible Preferred Up to 1,022,500 Shares of Class A Common Stock |
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| March 14, 2023 |
Filed Pursuant to Rule 424(b)(3) Registration No. 333-267796 PROSPECTUS SUPPLEMENT NO. 2 (to Prospectus dated December 9, 2022) SHF HOLDINGS, INC. Primary Offering of Up to 5,750,000 Shares of Class A Common Stock Underlying Public Warrants Secondary Offering of Up to 16,360,000 Shares of Class A Common Stock Underlying Series A Convertible Preferred Up to 1,022,500 Shares of Class A Common Stock |
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| March 14, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 13, 2023 SHF Holdings, Inc. (Exact name of registrant as specified in its charter) Delaware (State or other jurisdiction of incorporation) 001-40524 90-2409612 (Commission File |
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| February 28, 2023 |
Regulation FD Disclosure, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K/A (Amendment No. 1) CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 28, 2023 SHF Holdings, Inc. (Exact name of registrant as specified in its charter) Delaware (State or other jurisdiction of incorporation) 001-40524 90-24 |
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| February 28, 2023 |
Investor Presentation, dated February 27, 2023. Exhibit 99.1 |
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| February 27, 2023 |
Investor Presentation, dated February 27, 2023. Exhibit 99.1 |
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| February 27, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 27, 2023 SHF Holdings, Inc. (Exact name of registrant as specified in its charter) Delaware (State or other jurisdiction of incorporation) 001-40524 90-2409612 (Commission Fi |
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| February 14, 2023 |
SHF / Silver Hill Trust 2018-SBC1 / Ayrton Capital LLC Passive Investment SC 13G/A 1 formsc13ga.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1)* SHF HOLDINGS, INC. (Name of Issuer) Class A Common Stock, $0.0001 par value (Title of Class of Securities) 824430102 (CUSIP Number) December 31, 2022 (Date of Event Which Requires Filing of this Statement) Check the appropriate bo |
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| February 14, 2023 |
SHF / Silver Hill Trust 2018-SBC1 / CITADEL ADVISORS LLC - SC 13G/A Passive Investment SC 13G/A 1 tm234574-33sc13ga.htm SC 13G/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G* (Rule 13d-102) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO § 240.13d-1(b), (c), AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO § 240.13d-2 (Amendment No. 2)* SHF Holdings, Inc. (Name of Issuer) Class A Common Stock, par value $0.0001 per share (the “Share |
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| February 14, 2023 |
Joint Filing Statement Statement Pursuant to Rule 13d-1(k)(1) EX-1 2 ex1.htm Exhibit 1 Joint Filing Statement Statement Pursuant to Rule 13d-1(k)(1) The undersigned hereby consent and agree to file a joint statement on Schedule 13G under the Securities Exchange Act of 1934, as amended, with respect to the Class A Common Stock, $0.0001 par value of SHF Holdings, Inc., beneficially owned by them, together with any or all amendments thereto, when and if appropr |
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| February 14, 2023 |
SHF / Silver Hill Trust 2018-SBC1 / Vellar Opportunities Fund Master, Ltd. Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 SCHEDULE 13G/A Under the Securities Exchange Act of 1934 (Amendment No. |
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| February 10, 2023 |
SHF / Silver Hill Trust 2018-SBC1 / Hudson Bay Capital Management LP - SHFS 13GA Passive Investment SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G/A Under the Securities Exchange Act of 1934 (Amendment No. 1)* SHF Holdings, Inc. (f/k/a Northern Lights Acquisition Corp.) (Name of Issuer) Class A Common Stock, par value $0.0001 per share (Title of Class of Securities) 824430102 (CUSIP Number) December 31, 2022 (Date of Event Which Requires Filing of this Statement) Check th |
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| February 9, 2023 |
SHF / Silver Hill Trust 2018-SBC1 / Ionic Ventures, LLC - SC 13G Passive Investment SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* SHF Holdings, Inc. (Name of Issuer) Class A Common Stock, par value $0.0001 per share (Title of Class of Securities) 824430102 (CUSIP Number) February 2, 2023 (Date of Event which Requires Filing of this Statement) Check the appropriate box to designate the rule pursua |
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| February 7, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 7, 2023 SHF Holdings, Inc. (Exact name of registrant as specified in its charter) Delaware (State or other jurisdiction of incorporation) 001-40524 90-2409612 (Commission Fil |
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| February 7, 2023 |
Filed Pursuant to Rule 424(b)(3) Registration No. 333-267796 PROSPECTUS SUPPLEMENT NO. 1 (to Prospectus dated December 9, 2022) SHF HOLDINGS, INC. Primary Offering of Up to 5,750,000 Shares of Class A Common Stock Underlying Public Warrants Secondary Offering of Up to 16,360,000 Shares of Class A Common Stock Underlying Series A Convertible Preferred Up to 1,022,500 Shares of Class A Common Stock |
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| January 26, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): January 25, 2023 SHF Holdings, Inc. (Exact name of registrant as specified in its charter) Delaware (State or other jurisdiction of incorporation) 001-40524 86-2409612 (Commission Fil |
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| January 25, 2023 |
SC 13G/A 1 p23-0198sc13ga.htm SHF HOLDINGS, INC. SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G/A Under the Securities Exchange Act of 1934 (Amendment No. 2)* SHF Holdings, Inc. (formerly known as Northern Lights Acquisition Corp.) (Name of Issuer) Class A Common Stock, par value $0.0001 per share (Title of Class of Securities) 824430102 (CUSIP Number) December 31, 2022 (Da |
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| January 10, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 14A INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission |
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| December 23, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 14A INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ? Filed by a Party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? Confidential, for Use of the Commission |
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| December 23, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) December 23, 2022 SHF Holdings, Inc. (Exact name of registrant as specified in its charter) Delaware 001-40524 90-2409612 (State or other jurisdiction of incorporation) (Commission Fil |
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| December 23, 2022 |
Exhibit 99.1 December 23, 2022 Securities and Exchange Commission 100 F Street, N.E. Washington, D.C. 20549 To Whom It May Concern: We have read the statements made by SHF Holdings, Inc., which we understand will be filed with the Securities and Exchange Commission, pursuant to Item 4.01 of Form 8-K, as part of the Form 8-K of SHF Holdings, Inc. dated December 23, 2022. We agree with the statement |
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| December 9, 2022 |
PROSPECTUS Filed Pursuant to Rule 424(b)(4) Registration No. 333-267796 SHF Holdings, Inc. Up to 5,750,000 Shares of Class A Common Stock Underlying Public Warrants Up to 16,360,000 Shares of Class A Common Stock Underlying Series A Convertible Preferred Up to 1,022,500 Shares of Class A Common Stock Underlying PIPE Warrants This prospectus relates to the issuance by us of up to an aggregate of 5, |
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| December 7, 2022 |
SHF Holdings, Inc. 5269 W. 62nd Avenue, Arvada, Colorado 80003 December 7, 2022 SHF Holdings, Inc. 5269 W. 62nd Avenue, Arvada, Colorado 80003 December 7, 2022 VIA EDGAR U.S. Securities and Exchange Commission Division of Corporation Finance 100 F Street, N.E., Mail Stop 4561 Washington, D.C. 20549 Attention: John Stickel Re: Acceleration Request for SHF Holdings, Inc. Registration Statement on Form S-1, as amended (File No. 333-267796) Ladies and Gentlemen: In accordance wit |
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| November 23, 2022 |
As filed with the Securities and Exchange Commission on November 22, 2022 As filed with the Securities and Exchange Commission on November 22, 2022 Registration No. |
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| November 22, 2022 |
CORRESP 1 filename1.htm NELSON MULLINS RILEY & SCARBOROUGH LLP ATTORNEYS AND COUNSELORS AT LAW Nina Gordon T: 305.373.9426 [email protected] 2 South Biscayne Blvd. Miami, FL 33131 T: 305.373.9426 F: 305.373.9443 nelsonmullins.com November 22, 2022 VIA ELECTRONIC MAIL ONLY Division of Corporation Finance U.S. Securities & Exchange Commission 100 F Street, NE Washington, D.C. 20549 CFFin |
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| November 16, 2022 |
Exhibit 10.3 VOTING AGREEMENT THIS VOTING AGREEMENT (this ?Agreement?), dated as of November 14, 2022 (the ?Effective Date?), is made by and among SHF Holdings, Inc., a Delaware corporation (?Parent?) and the Stockholders listed on Schedule 1 attached hereto (each individually, a ?Stockholder? and collectively, the ?Stockholders?). WITNESSETH: WHEREAS, on October 29, 2022 (i) Parent, (ii) SHF Merg |
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| November 16, 2022 |
Exhibit 10.2 VOTING AGREEMENT THIS VOTING AGREEMENT (this ?Agreement?), dated as of November 14, 2022 (the ?Effective Date?), is made by and among SHF Holdings, Inc., a Delaware corporation (?Parent?) and the Stockholders listed on Schedule 1 attached hereto (each individually, a ?Stockholder? and collectively, the ?Stockholders?). WITNESSETH: WHEREAS, on October 29, 2022 (i) Parent, (ii) SHF Merg |
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| November 16, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) November 11, 2022 SHF Holdings, Inc. (Exact name of registrant as specified in its charter) Delaware 001-40524 90-2409612 (State or other jurisdiction of incorporation) (Commission Fil |
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| November 16, 2022 |
Exhibit 10.1 |
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| November 16, 2022 |
Safe Harbor Financial Announces Completion of Abaca Acquisition Exhibit 99.1 Safe Harbor Financial Announces Completion of Abaca Acquisition ? Safe Harbor adds more than 300 unique accounts to its platform ? Increases operations to more than 40 states and U.S. territories ? Expands lending and technology capabilities and adds three additional financial institution relationships ? Deepens talent pool with experienced professionals, and further positions Safe Ha |
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| November 16, 2022 |
Exhibit 2.1 AMENDMENT TO AGREEMENT AND PLAN OF MERGER This AMENDMENT TO AGREEMENT AND PLAN OF MERGER (this ?Amendment?), dated as of November 11, 2022, is made and entered into by and among SHF Holdings, Inc., a Delaware corporation (?Parent?), SHF Merger Sub I Inc., a Delaware corporation and a direct wholly-owned subsidiary of Parent (?Merger Sub I?), SHF Merger Sub II LLC, a Delaware limited li |
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| November 15, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) November 8, 2022 SHF Holdings, Inc. (Exact name of registrant as specified in its charter) Delaware 001-40524 90-2409612 (State or other jurisdiction of incorporation) (Commission File |
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| November 14, 2022 |
SHF Holdings, Inc. Amended and Restated 2022 Equity Incentive Plan. Exhibit 10.4 SHF Holdings, Inc. AMENDED AND RESTATED 2022 EQUITY INCENTIVE PLAN 1. ESTABLISHMENT, EFFECTIVE DATE AND TERM SHF Holdings, Inc. (f/k/a Northern Lights Acquisition Corp.), a Delaware corporation (“Safe Harbor”) has previously established the Northern Lights Acquisition Corp. 2022 Equity Incentive Plan (the “Plan”), effective June 28, 2022. Safe Harbor hereby amends and restates “Plan”) |
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| November 14, 2022 |
Investor Presentation, dated November 14, 2022. Exhibit 99.2 |
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| November 14, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) November 14, 2022 SHF Holdings, Inc. (Exact name of registrant as specified in its charter) Delaware 001-40524 90-2409612 (State or other jurisdiction of incorporation) (Commission Fil |
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| November 14, 2022 |
Safe Harbor Financial Reports Third Quarter 2022 Financial Results — Revenue increased 38. |
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| November 14, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q ☒ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2022 ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 001-40524 SHF Holdings, Inc. |
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| November 10, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K/A (Amendment No. 1) CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) October 29, 2022 SHF Holdings, Inc. (Exact name of registrant as specified in its charter) Delaware 001-40524 90-2409612 (State or other jurisdiction of incorporati |
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| November 8, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) November 2, 2022 SHF Holdings, Inc. (Exact name of registrant as specified in its charter) Delaware 001-40524 90-2409612 (State or other jurisdiction of incorporation) (Commission File |
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| November 3, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) October 31, 2022 SHF Holdings, Inc. (Exact name of registrant as specified in its charter) Delaware 001-40524 90-2409612 (State or other jurisdiction of incorporation) (Commission File |
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| November 1, 2022 |
Exhibit 99.2 Safe Harbor Financial and Partner Colorado Credit Union Agree to Deferral of Scheduled Cash Payments Updated Payment Schedule to Provide Safe Harbor with Increased Flexibility to Execute Near-Term Growth Strategy Arvada, CO, October 27, 2022 ? SHF Holdings, Inc., d/b/a/ Safe Harbor Financial (?Safe Harbor? or the ?Company?) (NASDAQ: SHFS), a leader in facilitating financial services t |
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| November 1, 2022 |
Regulation FD Disclosure, Entry into a Material Definitive Agreement UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) October 26, 2022 SHF Holdings, Inc. (Exact name of registrant as specified in its charter) Delaware 001-40524 90-2409612 (State or other jurisdiction of incorporation) (Commission File |
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| November 1, 2022 |
Exhibit 99.1 |
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| October 31, 2022 |
Exhibit 2.1 AGREEMENT AND PLAN OF MERGER Dated as of October 29, 2022 Among SHF HOLDINGS, INC., SHF MERGER SUB I INC., SHF MERGER SUB II LLC, ROCKVIEW DIGITAL SOLUTIONS, INC. d/b/a ABACA, and THE COMPANY STOCKHOLDERS? REPRESENTATIVE TABLE OF CONTENTS Page ARTICLE I THE MERGERS 6 Section 1.01 The Mergers 6 Section 1.02 Closing 7 Section 1.03 Effective Time 7 Section 1.04 Effects of the Mergers 8 Se |
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| October 31, 2022 |
Regulation FD Disclosure, Entry into a Material Definitive Agreement UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported) October 31, 2022 SHF Holdings, Inc. (Exact name of registrant as specified in its charter) Delaware 001-40524 90-2409612 (State or other jurisdiction of incorporation) (Commission File |
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| October 31, 2022 |
Safe Harbor Financial Announces Definitive Agreement to Acquire Abaca Exhibit 99.1 Safe Harbor Financial Announces Definitive Agreement to Acquire Abaca ? Acquisition adds over 300 accounts and expanded financial institution relationships ? Upon closing, will increase Safe Harbor operations to more than 30 states ? Further bolsters Company?s position as the leading consolidation platform for additional cannabis financial services ARVADA, Colo., Oct. 31, 2022 ? SHF H |
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| October 25, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): October 20, 2022 SHF Holdings, Inc. (Exact name of registrant as specified in its charter) Delaware (State or other jurisdiction of incorporation) 001-40524 86-2409612 (Commission Fil |
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| October 25, 2022 |
Exhibit 99.1 Safe Harbor Financial Appoints James Dennedy as Chief Financial Officer Finance and Investment Professional with More Than 25 Years of Public and Private Company Experience To Usher in the Next Stage of Growth for the Leader in Facilitating Cannabis Banking and Financial Services Arvada, CO, October 21, 2022 — SHF Holdings, Inc., d/b/a/ Safe Harbor Financial (“Safe Harbor” or the “Com |
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| October 18, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): October 12, 2022 SHF Holdings, Inc. (Exact name of registrant as specified in its charter) Delaware (State or other jurisdiction of incorporation) 001-40524 86-2409612 (Commission Fil |
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| October 18, 2022 |
SHFS / SHF Holdings Inc - Class A / BOOTHBAY FUND MANAGEMENT, LLC Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 2)* SHF Holdings, Inc. (Name of Issuer) Class A Common Stock, par value $0.0001 per share (Title of Class of Securities) 824430102 (CUSIP Number) October 13, 2022 (Date of Event which Requires Filing of this Statement) Check the appropriate box to designate |
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| October 11, 2022 |
SHFS / SHF Holdings Inc - Class A / ATW SPAC MANAGEMENT LLC Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 2)* SHF Holdings, Inc. (Name of Issuer) Class A Common Stock, par value $0.0001 (Title of Class of Securities) 824430102 (CUSIP Number) September 29, 2022 (Date of Event which Requires Filing of this Statement) Check the appropriate box to designate the rule |
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| October 7, 2022 |
SHFS / SHF Holdings Inc - Class A / Partner Colorado Credit Union Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 SHF Holdings, Inc. (Name of Issuer) Class A Common Stock, $0.0001 par value per share (Title of Class of Securities) 824430102 (CUSIP Number) Doug Fagan | President / CEO Partner Colorado Credit Union 6221 Sheridan Blvd, Arvada, CO 80003 (303) 422-6221 Name, Address and Te |
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| October 7, 2022 |
Exhibit 107 Calculation of Filing Fee Tables Form S-1 (Form Type) SHF Holdings, Inc. |
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| October 7, 2022 |
As filed with the Securities and Exchange Commission on October 7, 2022 As filed with the Securities and Exchange Commission on October 7, 2022 Registration No. |
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| October 4, 2022 |
Exhibit 99.2 Introduction The following unaudited pro forma condensed combined financial information presents the combination of the financial information of NLIT and SHF, adjusted to give effect to the Business Combination and related transactions. The following unaudited pro forma condensed combined financial information has been prepared in accordance with Article 11 of Regulation S-X as amende |
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| October 4, 2022 |
Exhibit 99.1 EAGLE LEGACY SERVICES, PLLC D/B/A SAFE HARBOR SERVICES, SHF LLC AND BRANCHES 52 AND 53 CARVED OUT OF PARTNER COLORADO CREDIT UNION TABLE OF CONTENTS Combined Financial Statements: ? Combined Balance Sheets at June 30, 2022 (Unaudited) and December 31, 2021 1 Combined Statements of Net Income and Comprehensive Income for the three and six months ended June 30, 2022 and June 30, 2021 (U |
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| October 4, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): September 28, 2022 SHF Holdings, Inc. (Exact name of registrant as specified in its charter) Delaware (State or other jurisdiction of incorporation) 001-40524 86-2409612 (Commission F |
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| October 4, 2022 |
Exhibit 10.2 LOCK-UP AGREEMENT THIS LOCK-UP AGREEMENT (this ?Agreement?) has been executed and is effective as of the Closing Date (as defined in the Purchase Agreement, as defined below) by and between (i) SHF Holdings, Inc. (f/k/a Northern Lights Acquisition Corp.), a Delaware corporation (including any successor entity thereto, the ?Purchaser?), and (ii) Partner Colorado Credit Union, a Colorad |
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| October 4, 2022 |
SHF’S MANAGEMENT’S DISCUSSION AND ANALYSIS OF FINANCIAL CONDITION AND RESULTS OF OPERATIONS Exhibit 99.3 SHF?S MANAGEMENT?S DISCUSSION AND ANALYSIS OF FINANCIAL CONDITION AND RESULTS OF OPERATIONS References in this section to ?we,? ?us,? or ?our? refer to SHF. References to ?management? refer to our officers and board of managers. The following discussion and analysis of our financial performance and results of operations should be read in conjunction with our condensed consolidated fin |
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| October 4, 2022 |
Exhibit 10.4 SHF HOLDINGS, INC. 2022 EQUITY INCENTIVE PLAN 1. Purpose. The purpose of the SHF Holdings, Inc. 2022 Equity Incentive Plan (the ?Plan?) is to provide a means through which the Company and its Affiliates may attract and retain key personnel and to provide a means whereby directors, officers, employees, consultants and advisors (and prospective directors, officers, employees, consultant |
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| October 4, 2022 |
Exhibit 10.1 REGISTRATION RIGHTS AGREEMENT THIS REGISTRATION RIGHTS AGREEMENT (this ?Agreement?) is entered into as of September 28, 2022, by and among SHF Holdings, Inc. (f/k/a Northern Lights Acquisition Corp.), a Delaware corporation (the ?Company?), SHF Holding Co., LLC, a Colorado limited liability company (?SHF Holding?), and Partner Colorado Credit Union, a Colorado corporation (?PCCU?). WH |
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| October 4, 2022 |
EX-21.1 6 ex21-1.htm Exhibit 21.1 Subsidiaries of SHF Holdings, Inc. Name of Subsidiary Jurisdiction of Organization SHF, LLC d/b/a Safe Harbor Financial Colorado |
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| October 4, 2022 |
Exhibit 10.3 NON-COMPETITION AND NON-SOLICITATION AGREEMENT THIS NON-COMPETITION AND NON-SOLICITATION AGREEMENT (this ?Agreement?) has been executed, and is effective as of the Closing Date, by Partner Colorado Credit Union, a Colorado-chartered credit union (?PCCU?) and the sole member of SHF Holding Co., LLC, a Colorado limited liability company (?Holding?) and the sole member of the Company (de |
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| September 30, 2022 |
Entry into a Material Definitive Agreement, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K/A (Amendment No. 1) CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): September 27, 2022 SHF Holdings, Inc. (Exact name of registrant as specified in its charter) Delaware (State or other jurisdiction of incorporation) 001-40524 86-2 |
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| September 29, 2022 |
Exhibit 10.2 AMENDED AND RESTATED SECURITIES PURCHASE AGREEMENT This Amended and Restated Securities Purchase Agreement (this ?Agreement?) is dated as of September 27, 2022, between Northern Lights Acquisition Corp., a Delaware corporation (the ?Company?), and each purchaser identified on the signature pages hereto (each, including its successors and assigns, a ?Purchaser? and collectively, the ?P |
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| September 29, 2022 |
Exhibit 3.2 SHF Holdings, Inc. CERTIFICATE OF DESIGNATION OF PREFERENCES, RIGHTS AND LIMITATIONS OF SERIES A CONVERTIBLE PREFERRED STOCK PURSUANT TO SECTION 151(g) OF THE DELAWARE GENERAL CORPORATION LAW The undersigned, John Darwin and Chris Fameree, do hereby certify that: 1. They are the Co-Chief Executive Officer and Secretary, respectively, of SHF Holdings, Inc., a Delaware corporation (the ? |
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| September 29, 2022 |
Exhibit 3.1 SECOND AMENDED AND RESTATED CERTIFICATE OF INCORPORATION OF NORTHERN LIGHTS ACQUISITION CORP. September 28, 2022 Northern Lights Acquisition Corp., a corporation organized and existing under the laws of the State of Delaware (the ?Corporation?), DOES HEREBY CERTIFY AS FOLLOWS: 1. The name of the Corporation is ?Northern Lights Acquisition Corp.? The original certificate of incorporatio |
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| September 29, 2022 |
Exhibit 10.3 AMENDED AND RESTATED REGISTRATION RIGHTS AGREEMENT This AMENDED AND RESTATED REGISTRATION RIGHTS AGREEMENT (this ?Agreement?), dated as of September 27, 2022, is by and among Northern Lights Acquisition Corp., a Delaware corporation (the ?Company?), and the undersigned Purchasers (each, a ?Purchaser,? and collectively, the ?Purchasers?). RECITALS A. The Company, certain of the Purchas |
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| September 29, 2022 |
Exhibit 10.4 VOTING AGREEMENT This VOTING AGREEMENT, dated as of September 28, 2022 (this ?Agreement?), is entered into by and between SHF Holdings, Inc. (f/k/a Northern Lights Acquisition Corp.), a Delaware corporation (the ?Company?), and (the ?Stockholder?). All capitalized terms not defined herein shall have the meanings given to them in the Purchase Agreement, as defined below. WHEREAS, on Fe |
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| September 29, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): September 27, 2022 SHF Holdings, Inc. (Exact name of registrant as specified in its charter) Delaware (State or other jurisdiction of incorporation) 001-40524 86-2409612 (Commission F |
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| September 29, 2022 |
Form of Common Stock Purchase Warrant Exhibit 4.1 NEITHER THIS SECURITY NOR THE SECURITIES FOR WHICH THIS SECURITY IS EXERCISABLE HAVE BEEN REGISTERED WITH THE SECURITIES AND EXCHANGE COMMISSION OR THE SECURITIES COMMISSION OF ANY STATE IN RELIANCE UPON AN EXEMPTION FROM REGISTRATION UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE ?SECURITIES ACT?), AND, ACCORDINGLY, MAY NOT BE OFFERED OR SOLD EXCEPT PURSUANT TO AN EFFECTIVE REGISTR |
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| September 29, 2022 |
Exhibit 10.1 THIRD AMENDMENT TO UNIT PURCHASE AGREEMENT This Third Amendment to Unit Purchase Agreement (the ?Third Amendment?) is effective as of September 28, 2022 (the ?Effective Date?), with respect to that Unit Purchase Agreement dated as of February 11, 2022 (the ?Purchase Agreement?) among (i) Northern Lights Acquisition Corp., a Delaware corporation (together with its successors, the ?Purc |
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| September 29, 2022 |
Exhibit 99.1 Northern Lights Acquisition Corp. Completes Business Combination Acquires SHF, LLC d/b/a Safe Harbor Financial from Partner Colorado Credit Union Changes Name to SHF Holdings, Inc. SHF Holdings? Class A Common Stock to Trade on the Nasdaq Capital Market under the Symbol SHFS Starting September 29, 2022 New York ? September 29, 2022 ? SHF Holdings, Inc. (the ?Company?) (Nasdaq: SHFS), |
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| September 23, 2022 |
Exhibit 99.1 Northern Lights Acquisition Corp. Announces Second Amendment of Unit Purchase Agreement Amendment Further Reduces Initial Cash Payment to the Seller and Business Combination is Expected to Close by September 28, 2022 Upon Regulatory Approval New York ? September 23, 2022 ? Northern Lights Acquisition Corp. (the ?Company?) (Nasdaq: NLIT), a special purpose acquisition company, announce |
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| September 23, 2022 |
Entry into a Material Definitive Agreement, Other Events, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): September 22, 2022 Northern Lights Acquisition Corp. (Exact name of registrant as specified in its charter) Delaware (State or other jurisdiction of incorporation) 001-40524 86-240961 |
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| September 23, 2022 |
Exhibit 10.1 SECOND AMENDMENT TO UNIT PURCHASE AGREEMENT This Second Amendment to Unit Purchase Agreement (the ?Second Amendment?) is entered into as of September 22, 2022, with respect to that Unit Purchase Agreement dated as of February 11, 2022 (the ?Purchase Agreement?) among (i) Northern Lights Acquisition Corp., a Delaware corporation (together with its successors, the ?Purchaser?), (ii) 5AK |
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| September 23, 2022 |
DEFA14A 1 defa14a.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): September 22, 2022 Northern Lights Acquisition Corp. (Exact name of registrant as specified in its charter) Delaware (State or other jurisdiction of incorporatio |
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| September 21, 2022 |
Amended and Restated Loan Servicing Agreement Exhibit 99.1 EXECUTION VERSION AMENDED AND RESTATED LOAN SERVICING AGREEMENT THIS AMENDED AND RESTATED LOAN SERVICING AGREEMENT (the ?Agreement?) is between SHF, LLC, a Colorado limited liability company (hereinafter referred to as (?CUSO?), and Partner Colorado Credit Union, a Colorado-chartered credit union (hereinafter referred to as ?Credit Union?), dated September 21, 2022 and is effective as |
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| September 21, 2022 |
AMENDED AND RESTATED LOAN SERVICING AGREEMENT EX-99.1 2 ex99-1.htm Exhibit 99.1 EXECUTION VERSION AMENDED AND RESTATED LOAN SERVICING AGREEMENT THIS AMENDED AND RESTATED LOAN SERVICING AGREEMENT (the “Agreement”) is between SHF, LLC, a Colorado limited liability company (hereinafter referred to as (“CUSO”), and Partner Colorado Credit Union, a Colorado-chartered credit union (hereinafter referred to as “Credit Union”), dated September 21, 202 |
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| September 21, 2022 |
Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): September 21, 2022 Northern Lights Acquisition Corp. (Exact name of registrant as specified in its charter) Delaware (State or other jurisdiction of incorporation) 001-40524 86-240961 |
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| September 21, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): September 21, 2022 Northern Lights Acquisition Corp. (Exact name of registrant as specified in its charter) Delaware (State or other jurisdiction of incorporation) 001-40524 86-240961 |
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| September 19, 2022 |
Exhibit 99.6 SHF?S MANAGEMENT?S DISCUSSION AND ANALYSIS OF FINANCIAL CONDITION AND RESULTS OF OPERATIONS References in this section to ?we,? ?us,? or ?our? refer to SHF. References to ?management? refer to our officers and board of managers. The following discussion and analysis of our financial performance and results of operations should be read in conjunction with our condensed consolidated fin |
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| September 19, 2022 |
EX-99.1 3 ex99-1.htm Exhibit 99.1 Northern Lights Acquisition Corp. Announces Amendment of Unit Purchase Agreement and Supplement to Definitive Proxy Statement Amendment Includes Reduced Initial Cash Payment to the Seller and Business Combination is Expected to Close by September 28, 2022 Upon Regulatory Approval New York – September 19, 2022 – Northern Lights Acquisition Corp. (the “Company”) (Na |
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| September 19, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): September 19, 2022 Northern Lights Acquisition Corp. (Exact name of registrant as specified in its charter) Delaware (State or other jurisdiction of incorporation) 001-40524 86-240961 |
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| September 19, 2022 |
Exhibit 99.2 RISK FACTORS You should carefully consider the following risk factors, together with all of the other information included in this proxy statement before deciding whether to vote or instruct your vote to be cast to approve the proposals described in this proxy statement. These risks, alone or in combination with other events or circumstances, could have a material adverse effect on (i |
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| September 19, 2022 |
BUSINESS OF SAFE HARBOR FINANCIAL Exhibit 99.5 BUSINESS OF SAFE HARBOR FINANCIAL Unless otherwise indicated or the context otherwise requires, references in this section to ?Safe Harbor,? ?we,? ?us,? ?our? and other similar terms refer to SHF prior to the Business Combination and to the Company and SHF, on a consolidated basis, after giving effect to the Business Combination. The description of Safe Harbor?s operations included he |
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| September 19, 2022 |
SHF’S MANAGEMENT’S DISCUSSION AND ANALYSIS OF FINANCIAL CONDITION AND RESULTS OF OPERATIONS EX-99.7 9 ex99-7.htm Exhibit 99.7 SHF’S MANAGEMENT’S DISCUSSION AND ANALYSIS OF FINANCIAL CONDITION AND RESULTS OF OPERATIONS References in this section to “we,” “us,” or “our” refer to SHF. References to “management” refer to our officers and board of managers. The following discussion and analysis of our financial performance and results of operations should be read in conjunction with our conde |
