NTWN / Appgate Inc - SEC-arkiveringar, Årsredovisning, Fullmaktsutlåtande

APGTQ / Appgate, Inc. / Magnetar Financial LLC - SC 13D/A Activist Investment

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 3)* APPGATE INC. (Name of Issuer) Common Stock, par value $0.001 per share (Title of Class of Securities) 03783X104 (CUSIP Number) David J. Snyderman Magnetar Capital LLC 1603 Orrington Ave. Evanston, Illinois 60201 (847) 905-4400 (Name, Address and Telephon

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 15 CERTIFICATION AND NOTICE OF TERMINATION OF REGISTRATION UNDER SECTION 12(g) OF THE SECURITIES EXCHANGE ACT OF 1934 OR SUSPENSION OF DUTY TO FILE REPORTS UNDER SECTIONS 13

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 15 CERTIFICATION AND NOTICE OF TERMINATION OF REGISTRATION UNDER SECTION 12(g) OF THE SECURITIES EXCHANGE ACT OF 1934 OR SUSPENSION OF DUTY TO FILE REPORTS UNDER SECTIONS 13 AND 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 OR SUSPENSION OF DUTY TO FILE REPORTS UNDER SECTIONS 13 AND 15(d) OF THE SECURITIES EXCHANGE ACT OF

Regulation FD Disclosure, Termination of a Material Definitive Agreement, Material Modification to Rights of Security Holders, Financial Statements and Exhibits, Other Events, Bankruptcy or Receivership

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 2, 2024 Appgate, Inc. (Exact name of registrant as specified in its charter) Delaware 000-52776 20-3547231 (State or other jurisdiction of incorporation) (Commission File Number)

IN THE UNITED STATES BANKRUPTCY COURT FOR THE DISTRICT OF DELAWARE ) In re: ) Chapter 11 ) APPGATE, INC., et al.,1 ) Case No. 24-10956 (CTG) ) Debtors. ) (Jointly Administered) ) ) Re: Docket Nos. 16, 150, & 159 NOTICE OF (I) ENTRY OF AN ORDER APPROV

IN THE UNITED STATES BANKRUPTCY COURT FOR THE DISTRICT OF DELAWARE ) In re: ) Chapter 11 ) APPGATE, INC.

Appgate Successfully Completes Recapitalization and Embarks on Next Phase of Growth Company emerges debt free from recapitalization, launches new malware analysis service and releases enhanced version of its Universal Zero Trust Network Access Soluti

Appgate Successfully Completes Recapitalization and Embarks on Next Phase of Growth Company emerges debt free from recapitalization, launches new malware analysis service and releases enhanced version of its Universal Zero Trust Network Access Solution MIAMI (JULY 3, 2024) - Appgate, the secure access company, today announced the successful completion of its recapitalization process and transition to a private company.

UST Form 11-MOR (12/01/2021) 1 UNITED STATES BANKRUPTCY COURT DISTRICT OF Delaware In Re. Appgate, Inc. Debtor(s) § § § § Case No. 24-10956 Lead Case No. 24-10956 Jointly Administered Monthly Operating Report Chapter 11 Reporting Period Ended: 05/31/

UST Form 11-MOR (12/01/2021) 1 UNITED STATES BANKRUPTCY COURT DISTRICT OF Delaware In Re.

IN THE UNITED STATES BANKRUPTCY COURT FOR THE DISTRICT OF DELAWARE ) In re: ) Chapter 11 ) APPGATE, INC., et al.,1 ) Case No. 24-10956 (CTG) ) Debtors. ) (Jointly Administered) ) ORDER (I) APPROVING THE DISCLOSURE STATEMENT FOR, AND CONFIRMING, THE S

IN THE UNITED STATES BANKRUPTCY COURT FOR THE DISTRICT OF DELAWARE ) In re: ) Chapter 11 ) APPGATE, INC.

Regulation FD Disclosure, Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Material Modification to Rights of Security Holders, Financial Statements and Exhibits, Bankruptcy or Receivership

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 17, 2024 Appgate, Inc. (Exact name of registrant as specified in its charter) Delaware 000-52776 20-3547231 (State or other jurisdiction of incorporation) (Commission File Number

IN THE UNITED STATES BANKRUPTCY COURT FOR THE DISTRICT OF DELAWARE ) In re: ) Chapter 11 ) APPGATE, INC., et al.,1 ) Case No. 24-10956 (CTG) ) Debtors. ) (Jointly Administered) ) SECOND AMENDED JOINT PREPACKAGED PLAN OF REORGANIZATION OF APPGATE, INC

IN THE UNITED STATES BANKRUPTCY COURT FOR THE DISTRICT OF DELAWARE ) In re: ) Chapter 11 ) APPGATE, INC.

APGT / Appgate, Inc. / Magnetar Financial LLC - SC 13D/A Activist Investment

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 2)* APPGATE INC. (Name of Issuer) Common Stock, par value $0.001 per share (Title of Class of Securities) 03783X104 (CUSIP Number) David J. Snyderman Magnetar Capital LLC 1603 Orrington Ave. Evanston, Illinois 60201 (847) 905-4400 (Name, Address and Telephon

Regulation FD Disclosure, Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Entry into a Material Definitive Agreement, Unregistered Sales of Equity Securities, Financial Statements and Exhibits, Triggering Events That Accelerate or Increase a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement, Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant, Other Events, Bankruptcy or Receivership

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 30, 2024 Appgate, Inc. (Exact name of registrant as specified in its charter) Delaware 000-52776 20-3547231 (State or other jurisdiction of incorporation) (Commission File Numbe

Appgate Announces Comprehensive Recapitalization Process, Positioning Company for Long-Term Growth and Innovation Company to receive investment from Magnetar to fortify and expand business operations Miami, FL – May 6, 2024 - Appgate (OTCMKTS: APGT,

Appgate Announces Comprehensive Recapitalization Process, Positioning Company for Long-Term Growth and Innovation Company to receive investment from Magnetar to fortify and expand business operations Miami, FL – May 6, 2024 - Appgate (OTCMKTS: APGT, “the Company”), the secure access company, today announced a comprehensive restructuring plan designed to enhance its financial position and drive sustainable growth and performance.

AMENDMENT TO AMENDED AND RESTATED REVOLVING CREDIT AGREEMENT This AMENDMENT TO AMENDED AND RESTATED REVOLVING CREDIT AGREEMENT (this “Amendment”), dated as of May 2, 2024 (the “Effective Date”), is made by and among Appgate Cybersecurity, Inc., a Del

AMENDMENT TO AMENDED AND RESTATED REVOLVING CREDIT AGREEMENT This AMENDMENT TO AMENDED AND RESTATED REVOLVING CREDIT AGREEMENT (this “Amendment”), dated as of May 2, 2024 (the “Effective Date”), is made by and among Appgate Cybersecurity, Inc.

46934130v8 SUPERPRIORITY SECURED DEBTOR-IN-POSSESSION CREDIT AGREEMENT Dated as of May [__], 2024 by and among APPGATE CYBERSECURITY, INC., as Borrower, EACH PERSON LISTED AS A GUARANTOR ON THE SIGNATURE PAGES HERETO, as Guarantors, THE LENDERS FROM

46934130v8 SUPERPRIORITY SECURED DEBTOR-IN-POSSESSION CREDIT AGREEMENT Dated as of May [], 2024 by and among APPGATE CYBERSECURITY, INC.

THIS RESTRUCTURING SUPPORT AGREEMENT IS NOT AN OFFER OR ACCEPTANCE WITH RESPECT TO ANY SECURITIES OR A SOLICITATION OF ACCEPTANCES OF A CHAPTER 11 PLAN WITHIN THE MEANING OF SECTION 1125 OF THE BANKRUPTCY CODE. ANY SUCH OFFER OR SOLICITATION WILL COM

THIS RESTRUCTURING SUPPORT AGREEMENT IS NOT AN OFFER OR ACCEPTANCE WITH RESPECT TO ANY SECURITIES OR A SOLICITATION OF ACCEPTANCES OF A CHAPTER 11 PLAN WITHIN THE MEANING OF SECTION 1125 OF THE BANKRUPTCY CODE.

AMENDMENT TO AMENDED AND RESTATED NOTE ISSUANCE AGREEMENT AND AMENDED AND RESTATED NOTE PURCHASE AGREEMENT This AMENDMENT TO AMENDED AND RESTATED NOTE ISSUANCE AGREEMENT AND AMENDED AND RESTATED NOTE PURCHASE AGREEMENT (this “Amendment”), dated as of

AMENDMENT TO AMENDED AND RESTATED NOTE ISSUANCE AGREEMENT AND AMENDED AND RESTATED NOTE PURCHASE AGREEMENT This AMENDMENT TO AMENDED AND RESTATED NOTE ISSUANCE AGREEMENT AND AMENDED AND RESTATED NOTE PURCHASE AGREEMENT (this “Amendment”), dated as of May 2, 2024 (the “Effective Date”), is made by and among Appgate Cybersecurity, Inc.

APGT / Appgate, Inc. / Magnetar Financial LLC - SC 13D/A Activist Investment

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 1)* APPGATE INC. (Name of Issuer) Common Stock, par value $0.001 per share (Title of Class of Securities) 03783X104 (CUSIP Number) David J. Snyderman Magnetar Capital LLC 1603 Orrington Ave. Evanston, Illinois 60201 (847) 905-4400 (Name, Address and Telephon

Unregistered Sales of Equity Securities, Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant

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 19, 2024 Appgate, Inc. (Exact name of registrant as specified in its charter) Delaware 000-52776 20-3547231 (State or other jurisdiction of incorporation) (Commission File Numbe

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 12b-25 NOTIFICATION OF LATE FILING (Check one): x Form 10-K o Form 20-F o Form 11-K o Form 10-Q o Form 10-D o Form N-CEN o Form N-CSR

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 12b-25 NOTIFICATION OF LATE FILING (Check one): x Form 10-K o Form 20-F o Form 11-K o Form 10-Q o Form 10-D o Form N-CEN o Form N-CSR For Period Ended: December 31, 2023 o Transition Report on Form 10-K o Transition Report on Form 20-F o Transition Report on Form 11-K o Transition Report on Form 10-Q For the Transition Period Ended: Nothing in this form shall be construed to imply that the Commission has verified any information contained herein.

Unregistered Sales of Equity Securities, Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant

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, 2024 Appgate, Inc. (Exact name of registrant as specified in its charter) Delaware 000-52776 20-3547231 (State or other jurisdiction of incorporation) (Commission File Numbe

Magnetar Financial LLC - SC 13D

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. )* APPGATE INC. (Name of Issuer) Common Stock, par value $0.001 per share (Title of Class of Securities) 03783X104 (CUSIP Number) David J. Snyderman Magnetar Capital LLC 1603 Orrington Ave. Evanston, Illinois 60201 (847) 905-4400 (Name, Address and Telephone

JOINT FILING AGREEMENT

EX-99 2 tm246048d1ex99.htm EXHIBIT 99 Exhibit 99 JOINT FILING AGREEMENT In accordance with Rule 13d-1(k), as promulgated under the Securities Exchange Act of 1934, as amended, the persons named below agree to the joint filing on behalf of each of them a Statement on Schedule 13D (including amendments thereto) with regard to the common stock, par value $0.001 per share of Appgate, Inc., and further

SECOND AMENDMENT TO AMENDED AND RESTATED NOTE ISSUANCE AGREEMENT This SECOND AMENDMENT TO AMENDED AND RESTATED NOTE ISSUANCE AGREEMENT (this “Amendment”), dated as of January 11, 2024, is made by and among Appgate Cybersecurity, Inc., a Delaware corp

SECOND AMENDMENT TO AMENDED AND RESTATED NOTE ISSUANCE AGREEMENT This SECOND AMENDMENT TO AMENDED AND RESTATED NOTE ISSUANCE AGREEMENT (this “Amendment”), dated as of January 11, 2024, is made by and among Appgate Cybersecurity, Inc.

Entry into a Material Definitive Agreement, Unregistered Sales of Equity Securities, Financial Statements and Exhibits, Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant

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 11, 2024 Appgate, Inc. (Exact name of registrant as specified in its charter) Delaware 000-52776 20-3547231 (State or other jurisdiction of incorporation) (Commission File Num

Q3’23 Investor Presentation November 14, 2023 This presentation contains certain forward-looking statements within the meaning of Section 21E of the Securities Exchange Act of 1934, as amended, and Section 27A of the Securities Act of 1933, as amende

Q3’23 Investor Presentation November 14, 2023 This presentation contains certain forward-looking statements within the meaning of Section 21E of the Securities Exchange Act of 1934, as amended, and Section 27A of the Securities Act of 1933, as amended.

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): November 14, 2023 Appgate, Inc. (Exact name of registrant as specified in its charter) Delaware 000-52776 20-3547231 (State or other jurisdiction of incorporation) (Commission File Nu

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 (Mark One) x 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 o 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 000-52776 Appgat

Entry into a Material Definitive Agreement, Unregistered Sales of Equity Securities, Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant

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, 2023 Appgate, Inc. (Exact name of registrant as specified in its charter) Delaware 000-52776 20-3547231 (State or other jurisdiction of incorporation) (Commission File Num

Entry into a Material Definitive Agreement, Unregistered Sales of Equity Securities, Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant

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 19, 2023 Appgate, Inc. (Exact name of registrant as specified in its charter) Delaware 000-52776 20-3547231 (State or other jurisdiction of incorporation) (Commission File Num

Entry into a Material Definitive Agreement, Unregistered Sales of Equity Securities, Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant

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 11, 2023 Appgate, Inc. (Exact name of registrant as specified in its charter) Delaware 000-52776 20-3547231 (State or other jurisdiction of incorporation) (Commission File Num

Entry into a Material Definitive Agreement, Unregistered Sales of Equity Securities, Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant

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 18, 2023 Appgate, Inc. (Exact name of registrant as specified in its charter) Delaware 000-52776 20-3547231 (State or other jurisdiction of incorporation) (Commission File N

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 (Mark One) x 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 o 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 000-52776 Appgate, In

Q2’23 Investor Presentation August 31, 2023 This presentation contains certain forward-looking statements within the meaning of Section 21E of the Securities Exchange Act of 1934, as amended, and Section 27A of the Securities Act of 1933, as amended.

Q2’23 Investor Presentation August 31, 2023 This presentation contains certain forward-looking statements within the meaning of Section 21E of the Securities Exchange Act of 1934, as amended, and Section 27A of the Securities Act of 1933, as amended.

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): August 31, 2023 Appgate, Inc. (Exact name of registrant as specified in its charter) Delaware 000-52776 20-3547231 (State or other jurisdiction of incorporation) (Commission File Numb

Entry into a Material Definitive Agreement, Unregistered Sales of Equity Securities, Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant

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, 2023 Appgate, Inc. (Exact name of registrant as specified in its charter) Delaware 000-52776 20-3547231 (State or other jurisdiction of incorporation) (Commission File Numb

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 12b-25 NOTIFICATION OF LATE FILING (Check one): o Form 10-K o Form 20-F o Form 11-K x Form 10-Q o Form 10-D o Form N-CEN o Form N-CSR

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 12b-25 NOTIFICATION OF LATE FILING (Check one): o Form 10-K o Form 20-F o Form 11-K x Form 10-Q o Form 10-D o Form N-CEN o Form N-CSR For Period Ended: June 30, 2023 o Transition Report on Form 10-K o Transition Report on Form 20-F o Transition Report on Form 11-K o Transition Report on Form 10-Q For the Transition Period Ended: Nothing in this form shall be construed to imply that the Commission has verified any information contained herein.

FIRST AMENDMENT TO THE APPGATE, INC. 2021 INCENTIVE COMPENSATION PLAN THIS FIRST AMENDMENT (the “Amendment”) is made effective as of July 20, 2023, by APPGATE, INC., a Delaware corporation (the “Company”), to the APPGATE, INC. 2021 INCENTIVE COMPENSA

exhibit107 FIRST AMENDMENT TO THE APPGATE, INC. 2021 INCENTIVE COMPENSATION PLAN THIS FIRST AMENDMENT (the “Amendment”) is made effective as of July 20, 2023, by APPGATE, INC., a Delaware corporation (the “Company”), to the APPGATE, INC. 2021 INCENTIVE COMPENSATION PLAN (the “Plan”). W I T N E S S E T H: WHEREAS, the Company established the Plan for the sole and exclusive benefit of its eligible p

EXECUTION VERSION INTERCREDITOR AND SUBORDINATION AGREEMENT This INTERCREDITOR AND SUBORDINATION AGREEMENT (this “Subordination Agreement”), dated as of July 20, 2023, is made by and between Appgate Funding, LLC, in its capacity as collateral agent u

exhibit105 EXECUTION VERSION INTERCREDITOR AND SUBORDINATION AGREEMENT This INTERCREDITOR AND SUBORDINATION AGREEMENT (this “Subordination Agreement”), dated as of July 20, 2023, is made by and between Appgate Funding, LLC, in its capacity as collateral agent under and pursuant to the Original NIA (as hereinafter defined) (in such capacity, together with its successors and assigns in such capacity, the “Original Senior Agent”), and SIS Holdings, L.

Execution Version AMENDED AND RESTATED INTERCREDITOR AND SUBORDINATION AGREEMENT This AMENDED AND RESTATED INTERCREDITOR AND SUBORDINATION AGREEMENT (this “Subordination Agreement”), dated as of July 20, 2023, is made by and between U.S. Bank Trust C

exhibit106 Execution Version AMENDED AND RESTATED INTERCREDITOR AND SUBORDINATION AGREEMENT This AMENDED AND RESTATED INTERCREDITOR AND SUBORDINATION AGREEMENT (this “Subordination Agreement”), dated as of July 20, 2023, is made by and between U.

NOTE PURCHASE AGREEMENT THIS NOTE PURCHASE AGREEMENT (“Agreement”) is made as of July 20, 2023 (the “Effective Date”), by and among Appgate Cybersecurity, Inc., a Delaware corporation (the “Company”), Appgate Funding, LLC, a Delaware limited liabilit

exhibit102 NOTE PURCHASE AGREEMENT THIS NOTE PURCHASE AGREEMENT (“Agreement”) is made as of July 20, 2023 (the “Effective Date”), by and among Appgate Cybersecurity, Inc.

APPGATE, INC. REGISTRATION RIGHTS AGREEMENT THIS REGISTRATION RIGHTS AGREEMENT (this “Agreement”), is made as of July 20, 2023, by and between Appgate, Inc., a Delaware corporation (the “Company”), and Appgate Funding, LLC, a Delaware limited liabili

exhibit103 APPGATE, INC. REGISTRATION RIGHTS AGREEMENT THIS REGISTRATION RIGHTS AGREEMENT (this “Agreement”), is made as of July 20, 2023, by and between Appgate, Inc., a Delaware corporation (the “Company”), and Appgate Funding, LLC, a Delaware limited liability company (the “Investor”). RECITALS WHEREAS, concurrently with the execution of this Agreement, the Company and the Investor (and the oth

Execution Version APPGATE CYBERSECURITY, INC. THE GUARANTORS SIGNATORY HERETO AND APPGATE FUNDING, LLC as Representative of the Holders and Collateral Agent NOTE ISSUANCE AGREEMENT Dated as of July 20, 2023 Convertible Senior Secured Notes due 2026 i

exhibit101 Execution Version APPGATE CYBERSECURITY, INC. THE GUARANTORS SIGNATORY HERETO AND APPGATE FUNDING, LLC as Representative of the Holders and Collateral Agent NOTE ISSUANCE AGREEMENT Dated as of July 20, 2023 Convertible Senior Secured Notes due 2026 i TABLE OF CONTENTS PAGE ARTICLE 1 DEFINITIONS .............................................................................................

Execution Version AMENDMENT TO AMENDED AND RESTATED REVOLVING CREDIT AGREEMENT AND PLEDGE AND SECURITY AGREEMENT AMENDMENT TO AMENDED AND RESTATED REVOLVING CREDIT AGREEMENT AND PLEDGE AND SECURITY AGREEMENT (this “Amendment Agreement”), dated as of

exhibit104 Execution Version AMENDMENT TO AMENDED AND RESTATED REVOLVING CREDIT AGREEMENT AND PLEDGE AND SECURITY AGREEMENT AMENDMENT TO AMENDED AND RESTATED REVOLVING CREDIT AGREEMENT AND PLEDGE AND SECURITY AGREEMENT (this “Amendment Agreement”), dated as of July 20, 2023, among SIS HOLDINGS, L.

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 20, 2023 Appgate, Inc. (Exac

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 20, 2023 Appgate, Inc. (Exact name of registrant as specified in its charter) Delaware 000-52776 20-3547231 (State or other jurisdiction of incorporation) (Commission File Number

Intercreditor and Subordination Agreement, dated June 9, 2023, by and among U.S. Bank Trust Company, National Association, SIS Holdings, Appgate, Legacy Appgate, the Domestic Subsidiary Guarantors, ES Japan and ES Colombia

INTERCREDITOR AND SUBORDINATION AGREEMENT This INTERCREDITOR AND SUBORDINATION AGREEMENT (this "Subordination Agreement"), dated as of June 9, 2023, is made by and between U.

Amended and Restated Note Purchase Agreement, dated June 9, 2023, by and among Legacy Appgate, Appgate and the lenders named on the Schedule of Lenders attached thereto

AMENDED AND RESTATED NOTE PURCHASE AGREEMENT THIS AMENDED AND RESTATED NOTE PURCHASE AGREEMENT (“Agreement”) is made as of June 9, 2023 (the “Effective Date”), by and among Appgate Cybersecurity, Inc.

Amended and Restated Note Issuance Agreement, dated June 9, 2023, by and among Legacy Appgate, Appgate, the other guarantors party thereto, Magnetar Financial LLC and U.S. Bank Trust Company, National Association

exhibit101 APPGATE CYBERSECURITY, INC. THE GUARANTORS SIGNATORY HERETO MAGNETAR FINANCIAL LLC as Representative of the Holders AND U.S. BANK TRUST COMPANY, NATIONAL ASSOCIATION as Collateral Agent AMENDED AND RESTATED NOTE ISSUANCE AGREEMENT Dated as of June 9, 2023 Convertible Senior Secured Notes due 2026 i TABLE OF CONTENTS PAGE ARTICLE 1 DEFINITIONS ............................................

Amendment to Registration Rights Agreement, dated as of June 9, 2023, by and among Appgate, Legacy Appgate, Magnetar Financial LLC and the holders of Notes

exhibit105 AMENDMENT TO REGISTRATION RIGHTS AGREEMENT This AMENDMENT TO REGISTRATION RIGHTS AGREEMENT (this “Amendment”), dated as of June 9, 2023 (the “Effective Date”), is made by and among Appgate Cybersecurity, Inc.

Entry into a Material Definitive Agreement, Unregistered Sales of Equity Securities, Financial Statements and Exhibits, Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant

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 9, 2023 Appgate, Inc. (Exact name of registrant as specified in its charter) Delaware 000-52776 20-3547231 (State or other jurisdiction of incorporation) (Commission File Number)

Amended and Restated Revolving Credit Agreement, dated June 9, 2023, by and among Legacy Appgate, Appgate, the other guarantors party thereto and SIS Holdings, L.P

AMENDED AND RESTATED REVOLVING CREDIT AGREEMENT dated as of June 9, 2023 among APPGATE CYBERSECURITY, INC.

Q1’23 Investor Presentation May 12, 2023 This presentation contains certain forward-looking statements within the meaning of Section 21E of the Securities Exchange Act of 1934, as amended, and Section 27A of the Securities Act of 1933, as amended. St

investorpresentationforq Q1’23 Investor Presentation May 12, 2023 This presentation contains certain forward-looking statements within the meaning of Section 21E of the Securities Exchange Act of 1934, as amended, and Section 27A of the Securities Act of 1933, as amended.

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 (Mark One) x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2023 OR o 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 000-52776 Appgate, I

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 12, 2023 Appgate, Inc. (Exact

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 12, 2023 Appgate, Inc. (Exact name of registrant as specified in its charter) Delaware 000-52776 20-3547231 (State or other jurisdiction of incorporation) (Commission File Number)

Q4’22 Investor Presentation March 31, 2023 This presentation contains certain forward-looking statements within the meaning of Section 21E of the Securities Exchange Act of 1934, as amended, and Section 27A of the Securities Act of 1933, as amended.

investorpresentation Q4’22 Investor Presentation March 31, 2023 This presentation contains certain forward-looking statements within the meaning of Section 21E of the Securities Exchange Act of 1934, as amended, and Section 27A of the Securities Act of 1933, as amended.

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 31, 2023 Appgate, Inc. (Exact name of registrant as specified in its charter) Delaware 000-52776 20-3547231 (State or other jurisdiction of incorporation) (Commission File Numbe

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K (Mark One) x 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 o 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 000-52776 Appgate, Inc. (

Employment Agreement dated March 28, 2023 between the Company and Leo Taddeo

Exhibit 10.15 Employment Agreement This Employment Agreement (this “Agreement”) is entered into on March 28, 2023 by and between Appgate, Inc., a Delaware corporation (together with any successor thereto, the “Company”), and Leo Taddeo (the “Executive”) (collectively referred to herein as the “Parties”), effective as of January 4, 2023 (the “Effective Date”). RECITALS A.It is the desire of the Com

NTWN / Newtown Lane Marketing, Incorporated / Magnetar Financial LLC - SC 13G/A Passive Investment

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1)* APPGATE, INC. (Name of Issuer) Common Stock, par value $0.001 per share (Title of Class of Securities) 03783X104 (CUSIP Number) December 31, 2022 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule purs

JOINT FILING AGREEMENT

EX-99.1 2 tm234504d50ex99-1.htm EXHIBIT 99.1 Exhibit 99.1 JOINT FILING AGREEMENT The undersigned hereby agree that the statement on Schedule 13G with respect to the Shares of APPGATE, INC. dated as of December 31, 2022 is, and any amendments thereto (including amendments on Schedule 13D) signed by each of the undersigned shall be, filed on behalf of each of us pursuant to and in accordance with th

LIMITED POWER OF ATTORNEY

EX-99.2 3 tm234504d50ex99-2.htm EXHIBIT 99.2 EXHIBIT 99.2 LIMITED POWER OF ATTORNEY Know all by these present, that I, David J. Snyderman, hereby make, constitute and appoint each of Michael Turro, Karl Wachter and Hayley Stein, or any of them acting individually, and with full power of substitution, as my true and lawful attorney-in-fact for the purpose of executing in my name, (a) in my personal

Costs Associated with Exit or Disposal Activities

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 1, 2023 Appgate, Inc. (Exact name of registrant as specified in its charter) Delaware 000-52776 20-3547231 (State or other jurisdiction of incorporation) (Commission File Num

Q3’22 Investor Presentation January 9, 2023 This presentation contains certain forward-looking statements within the meaning of Section 21E of the Securities Exchange Act of 1934, as amended, and Section 27A of the Securities Act of 1933, as amended.

EX-99.1 2 investorpresentationforq.htm EX-99.1 Q3’22 Investor Presentation January 9, 2023 This presentation contains certain forward-looking statements within the meaning of Section 21E of the Securities Exchange Act of 1934, as amended, and Section 27A of the Securities Act of 1933, as amended. Statements that do not relate strictly to historical or current facts are forward- looking and can be

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): January 9, 2023 Appgate, Inc. (Exact name of registrant as specified in its charter) Delaware 000-52776 20-3547231 (State or other jurisdiction of incorporation) (Commission File Numb

Separation Agreement and Release, dated January 4, 2023, by and between Appgate, Inc. and Barry Field

EX-10.1 2 barryfield-separationandre.htm EX-10.1 Exhibit 10.1 Separation Agreement and Release This Separation Agreement and Release (“Agreement”) is made by and between Barry Field (“Executive”) and Appgate, Inc., a Delaware corporation (the “Company”) (collectively, referred to as the “Parties” or individually referred to as a “Party”). Capitalized terms used but not defined in this Agreement sh

Separation Agreement and Release, dated January 4, 2023, by and between Appgate, Inc. and Jawahar Sivasankaran

Exhibit 10.2 Separation Agreement and Release This Separation Agreement and Release (“Agreement”) is made by and between Jawahar Sivasankaran (“Executive”) and Appgate, Inc., a Delaware corporation (the “Company”) (collectively, referred to as the “Parties” or individually referred to as a “Party”). Capitalized terms used but not defined in this Agreement shall have the meanings set forth in the E

Regulation FD Disclosure, Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, 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 4, 2023 Appgate, Inc. (Exact name of registrant as specified in its charter) Delaware 000-52776 20-3547231 (State or other jurisdiction of incorporation) (Commission File Numb

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 (Mark One) x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2022 OR o 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 000-52776 Appgat

APPGATE APPOINTS LEO TADDEO AS NEW CHIEF EXECUTIVE OFFICER AND PRESIDENT

Exhibit 99.1 APPGATE APPOINTS LEO TADDEO AS NEW CHIEF EXECUTIVE OFFICER AND PRESIDENT MIAMI (January 9, 2023) – Appgate (OTC: APGT), the secure access company, today announced that its board of directors has appointed Leo Taddeo as the company’s new Chief Executive Officer and President, effective January 4, 2023. With 25 years of executive federal and commercial experience, Taddeo had been servin

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K/A (Amendment No. 1)

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K/A (Amendment No. 1) (Mark One) x ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2021 OR o 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 000-5

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q/A (Amendment No. 1)

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q/A (Amendment No. 1) (Mark One) x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2022 OR o 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 0

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q/A (Amendment No. 1)

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q/A (Amendment No. 1) (Mark One) x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2022 OR o 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

Non-Reliance on Previously Issued Financial Statements or a Related Audit Report or Completed Interim Review

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 Appgate, Inc. (Exact name of registrant as specified in its charter) Delaware 000-52776 20-3547231 (State or other jurisdiction of incorporation) (Commission File Num

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 (Mark One) x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2022 OR o 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 000-52776 Appgate, In

Appgate Announces Second Quarter 2022 Financial Results Second quarter revenue of $11.5 million, an increase of 16% year-over-year Annual recurring revenue (ARR) of $31.8 million, an increase of 11% year-over-year Net retention rate of 93%

Exhibit 99.1 Appgate Announces Second Quarter 2022 Financial Results Second quarter revenue of $11.5 million, an increase of 16% year-over-year Annual recurring revenue (ARR) of $31.8 million, an increase of 11% year-over-year Net retention rate of 93% MIAMI, FL ? August 11, 2022 ? Appgate, Inc. (OTC: APGT) (?Appgate? or the ?Company?), the secure access company, today announced financial and oper

Regulation FD Disclosure, 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 11, 2022 Appgate, Inc. (Exact name of registrant as specified in its charter) Delaware 000-52776 20-3547231 (State or other jurisdiction of incorporation) (Commission File Numb

Q2’22 Investor Presentation August 11, 2022 This presentation contains certain forward-looking statements within the meaning of Section 21E of the Securities Exchange Act of 1934, as amended, and Section 27A of the Securities Act of 1933, as amended.

Q2?22 Investor Presentation August 11, 2022 This presentation contains certain forward-looking statements within the meaning of Section 21E of the Securities Exchange Act of 1934, as amended, and Section 27A of the Securities Act of 1933, as amended.

SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 INFORMATION STATEMENT PURSUANT TO SECTION 14(C) OF THE SECURITIES EXCHANGE ACT OF 1934, AS AMENDED SCHEDULE 14C (RULE 14C-101)

DEF 14C 1 ea163897-def14cappgateinc.htm DEFINITIVE INFORMATION STATEMENT SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 INFORMATION STATEMENT PURSUANT TO SECTION 14(C) OF THE SECURITIES EXCHANGE ACT OF 1934, AS AMENDED SCHEDULE 14C (RULE 14C-101) Information Statement Pursuant to Section 14(c) of the Securities Exchange Act of 1934 Check the appropriate box: ☐ Preliminary Information St

Costs Associated with Exit or Disposal Activities

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, 2022 Appgate, Inc. (Exact name of registrant as specified in its charter) Delaware 000-52776 20-3547231 (State or other jurisdiction of incorporation) (Commission File Number

Appgate Announces First Quarter 2022 Financial Results First quarter revenue of $11.4 million, an increase of 13% year-over-year Annual recurring revenue (ARR) of $30.8 million, an increase of 27% year-over-year Net retention rate of 106%

Exhibit 99.1 Appgate Announces First Quarter 2022 Financial Results First quarter revenue of $11.4 million, an increase of 13% year-over-year Annual recurring revenue (ARR) of $30.8 million, an increase of 27% year-over-year Net retention rate of 106% MIAMI, FL ? May 11, 2022 ? Appgate, Inc. (OTC: APGT) (?Appgate? or the ?Company?), the secure access company, today announced financial and operatio

Q1’22 Investor Presentation May 11, 2022 This presentation contains certain forward - looking statements within the meaning of Section 21E of the Securities Exchange Act of 1934, as amended, and Section 27A of the Securities Act of 1933, as amended.

Exhibit 99.2 Q1?22 Investor Presentation May 11, 2022 This presentation contains certain forward - looking statements within the meaning of Section 21E of the Securities Exchange Act of 1934, as amended, and Section 27A of the Securities Act of 1933, as amended. Statements that do not relate strictly to historical or current facts are forward - looking and can be identified by the use of words suc

Regulation FD Disclosure, 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): May 11, 2022 Appgate, Inc. (Exact name of registrant as specified in its charter) Delaware 000-52776 20-3547231 (State or other jurisdiction of incorporation) (Commission File Number)

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 (Mark One) x QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2022 OR o 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 000-52776 Appgate, I

Revolving Credit Agreement, dated April 26, 2022, by and among Appgate Cybersecurity, Inc., the guarantors party thereto and SIS Holdings, L.P.

Exhibit 10.1 EXECUTION VERSION REVOLVING CREDIT AGREEMENT dated as of April 26, 2022 among APPGATE CYBERSECURITY, INC., as Borrower, APPGATE, INC., as Parent, The GUARANTORS Party Hereto and SIS HOLDINGS, L.P., as Lender $50,000,000 CONTENTS Page Article I. DEFINITIONS 1 Section 1.01 Defined Terms 1 Section 1.02 Terms Generally 7 Section 1.03 Accounting Terms; GAAP; Payments 8 Article II. THE LOAN

Entry into a Material Definitive Agreement, Financial Statements and Exhibits, Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant

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 26, 2022 Appgate, Inc. (Exact name of registrant as specified in its charter) Delaware 000-52776 20-3547231 (State or other jurisdiction of incorporation) (Commission File Numbe

Filing Fees

Exhibit 107 Calculation of Filing Fee Tables S-1 (Form Type) Appgate, Inc. (Exact Name of Registrant as Specified in its Charter) Table 1: Newly Registered and Carry Forward Securities Security Type Security Class Title Fee Calculation or Carry Forward Rule Amount Registered Proposed Maximum Offering Price Per Unit Maximum Aggregate Offering Price (1)(2) Fee Rate Amount of Registration Fee Carry F

As filed with the Securities and Exchange Commission on April 1, 2022

As filed with the Securities and Exchange Commission on April 1, 2022 Registration No.

Commitment Letter, dated March 29, 2022, by and between SIS Holdings and Legacy Appgate

Exhibit 10.20 SIS Holdings, L.P. 2333 Ponce De Leon Boulevard Suite 900 Coral Gables, Florida 33134 March 29, 2022 Appgate Cybersecurity, Inc. c/o Appgate, Inc. 2 Alhambra Plaza, Suite PH-1-B Coral Gables, FL 33134 Attention: Barry Field, Chief Executive Officer Commitment Letter Ladies and Gentlemen: SIS Holdings, L.P. (?SIS?), is pleased to confirm the arrangements under which it commits to prov

Subsidiaries of the Company

Exhibit 21.1 Subsidiaries of Appgate, Inc. Name of Subsidiary State/Country of Organization Appgate Cybersecurity, Inc. Delaware Appgate Germany GmbH Germany Catbird Networks, Inc. Delaware Cryptzone International Holdings Inc. Delaware Cryptzone Group AB Sweden Cryptzone North America Inc. Delaware Cryptzone UK Ltd United Kingdom Cryptzone Worldwide, Inc. Delaware Easy Solutions do Brasil Ltda. B

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K (Mark One) x ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2021 OR o 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 000-52776 Appgate, Inc. (

Description of Registrant's Securities Registered Pursuant to Section 12 of the Securities Exchange Act of 1934

Exhibit 4.1 Description of Registrant?s Securities Registered Pursuant to Section 12 of the Securities Exchange Act of 1934. Common Stock As of the end of the period covered by the most recent Annual Report on Form 10-K of Appgate, Inc. (the ?registrant?), the common stock, par value $0.001 per share, of the registrant (?common stock?) was registered under Section 12 of the Securities Exchange Act

Q4’21 Investor Presentation March 30, 2022 This presentation contains certain forward-looking statements within the meaning of Section 21E of the Securities Exchange Act of 1934, as amended, and Section 27A of the Securities Act of 1933, as amended.

Q4?21 Investor Presentation March 30, 2022 This presentation contains certain forward-looking statements within the meaning of Section 21E of the Securities Exchange Act of 1934, as amended, and Section 27A of the Securities Act of 1933, as amended.

Regulation FD Disclosure, 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): March 30, 2022 Appgate, Inc. (Exact Name of Registrant as Specified in Its Charter) Delaware 000-52776 20-3547231 (State or other jurisdiction of incorporation) (Commission File Numbe

Appgate Announces Fourth Quarter and Full Year 2021 Financial Results Fourth quarter revenue of $13.9 million, an increase of 36% year-over-year Annual recurring revenue (ARR) of $31.1 million, an increase of 38% year-over-year Net retention rate of

Exhibit 99.1 Appgate Announces Fourth Quarter and Full Year 2021 Financial Results Fourth quarter revenue of $13.9 million, an increase of 36% year-over-year Annual recurring revenue (ARR) of $31.1 million, an increase of 38% year-over-year Net retention rate of 114% MIAMI, FL ? March 30, 2022 ? Appgate, Inc. (OTC: APGT) (?Appgate? or the ?Company?), the secure access company, today announced fina

NTWN / Newtown Lane Marketing, Incorporated / Magnetar Financial LLC - SC 13G Passive Investment

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* APPGATE, INC. (Name of Issuer) Common Stock, par value $0.001 per share (Title of Class of Securities) 03783X104 (CUSIP Number) December 31, 2021 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursu

Amendment to Note Purchase Agreement and Note Issuance Agreement and Waiver to Note Purchase Agreement and Registration Rights Agreement, dated as of February 9, 2022, by and among Appgate, Legacy Appgate, the holders of Convertible Senior Notes and Magnetar

Exhibit 10.1 EXECUTION VERSION amendment TO NOTE PURCHASE AGREEMENT AND Note issuance agreement AND waiver TO Note Purchase Agreement and registration rights agreement This AMENDMENT TO NOTE PURCHASE AGREEMENT AND NOTE ISSUANCE AGREEMENT AND WAIVER TO NOTE PURCHASE AGREEMENT AND REGISTRATION RIGHTS AGREEMENT (this ?Amendment?), dated as of February 9, 2022 (the ?Effective Date?), is made by and am

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): February 9, 2022 Appgate, Inc. (Exact Name of Registrant as Specified in Its Charter) Delaware 000-52776 20-3547231 (State or other jurisdiction of incorporation) (Commission File Num

Subsidiaries of the Company

Exhibit 21.1 Subsidiaries of Appgate, Inc. Name of Subsidiary State/Country of Organization Appgate Cybersecurity, Inc. Delaware Catbird Networks, Inc. Delaware Cryptzone International Holdings Inc. Delaware Cryptzone Group AB Sweden Cryptzone North America Inc. Delaware Cryptzone UK Ltd United Kingdom Cryptzone Worldwide, Inc. Delaware Easy Solutions do Brasil Ltda. Brazil Easy Solutions Enterpri

As filed with the Securities and Exchange Commission on January 28, 2022

As filed with the Securities and Exchange Commission on January 28, 2022 Registration No.

Lease dated November 19, 2021 between DGE Alhambra, LP and Appgate Cybersecurity, Inc.

Exhibit 10.18 LEASE DGE ALHAMBRA, LP, Landlord, and APPGATE CYBERSECURITY, INC., Tenant TABLE OF CONTENTS 1. USE AND RESTRICTIONS ON USE 2. TERM 3. RENT 4. RENT ADJUSTMENTS 5. SECURITY DEPOSIT 6. ALTERATIONS 7. REPAIR 8. LIENS 9. ASSIGNMENT AND SUBLETTING 10. INDEMNIFICATION 11. INSURANCE 12. WAIVER OF SUBROGATION 13. SERVICES AND UTILITIES 14. HOLDING OVER 15. SUBORDINATION 16. RULES AND REGULATI

Form of Award Agreement for Restricted Stock Units

Exhibit 10.1 APPGATE, INC. 2021 INCENTIVE COMPENSATION PLAN RESTRICTED STOCK UNIT AGREEMENT 1. Award of Restricted Stock Units. APPGATE, INC., a Delaware corporation (the ?Company?), hereby grants, as of [ ], 202[2] (the ?Date of Grant?), to you (the ?Recipient?), the right to receive, at the times specified in Section 2 and 3 hereof, the number of shares of the Company's common stock specified wh

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, 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 1, 2022 Appgate, Inc. (Exact Name of Registrant as Specified in Its Charter) Delaware 000-52776 20-3547231 (State or other jurisdiction of incorporation) (Commission File Numb

As filed with the Securities and Exchange Commission on December 13, 2021

As filed with the Securities and Exchange Commission on December 13, 2021 Registration No.

Q3’21 Investor Presentation November 10, 2021 Cautionary Statements This presentation contains certain forward - looking statements within the meaning of Section 21 E of the Securities Exchange Act of 1934 , as amended, and Section 27 A of the Securi

EX-99.2 3 ea150301ex99-2appgateinc.htm INVESTOR PRESENTATION DATED NOVEMBER 10, 2021 (FURNISHED SOLELY FOR PURPOSES OF ITEM 7.01 OF THIS FORM 8-K) Exhibit 99.2 Q3’21 Investor Presentation November 10, 2021 Cautionary Statements This presentation contains certain forward - looking statements within the meaning of Section 21 E of the Securities Exchange Act of 1934 , as amended, and Section 27 A of

LEGACY APPGATE’S MANAGEMENT’S DISCUSSION AND ANALYSIS OF FINANCIAL CONDITION AND RESULTS OF OPERATIONS

Exhibit 99.4 LEGACY APPGATE?S MANAGEMENT?S DISCUSSION AND ANALYSIS OF FINANCIAL CONDITION AND RESULTS OF OPERATIONS The following discussion and analysis of Legacy Appgate?s financial condition and results of operations is intended to assist in the understanding and assessment of significant changes and trends related to the results of operations and financial position of Legacy Appgate. This disc

Cyxtera Cybersecurity, Inc. (d/b/a AppGate) Unaudited Condensed Consolidated Balance Sheets As of September 30, 2021 and December 31, 2020 (in thousands, except share information)

Exhibit 99.3 CYXTERA CYBERSECURITY, INC. (d/b/a APPGATE) Unaudited Condensed Consolidated Financial Statements As of September 30, 2021 and December 31, 2020 and for the Three and Nine Months Ended September 30, 2021 and 2020 Cyxtera Cybersecurity, Inc. (d/b/a AppGate) Unaudited Condensed Consolidated Balance Sheets As of September 30, 2021 and December 31, 2020 (in thousands, except share informa

Financial Statements and Exhibits, Completion of Acquisition or Disposition of Assets

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 15, 2021 (October 12, 2021) Appgate, Inc. (Exact Name of Registrant as Specified in Its Charter) Delaware 000-52776 20-3547231 (State or other jurisdiction

Regulation FD Disclosure, 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): November 10, 2021 Appgate, Inc. (Exact Name of Registrant as Specified in Its Charter) Delaware 000-52776 20-3547231 (State or other jurisdiction of incorporation) (Commission File Nu

UNAUDITED PRO FORMA CONDENSED COMBINED FINANCIAL INFORMATION

Exhibit 99.5 UNAUDITED PRO FORMA CONDENSED COMBINED FINANCIAL INFORMATION Defined terms used herein and not otherwise defined shall have the respective meanings assigned to such terms elsewhere in the Current Report on Form 8-K filed by Appgate, Inc. on October 15, 2021 (the ?Original Report?) as amended by the Amendment to the Current Report on Form 8-K/A filed by Appgate, Inc. on November 10, 20

Appgate Announces Third Quarter Fiscal 2021 Financial Results Third quarter revenue of $11.5 million, an increase of 69% year-over-year Annual recurring revenue (ARR) of $30.9 million, an increase of 47% year-over-year Net revenue retention of 130%

EX-99.1 2 ea150301ex99-1appgateinc.htm PRESS RELEASE DATED NOVEMBER 10, 2021 ISSUED BY APPGATE, INC. (FURNISHED SOLELY FOR PURPOSES OF ITEM 2.02 OF THIS FORM 8-K) Exhibit 99.1 Appgate Announces Third Quarter Fiscal 2021 Financial Results Third quarter revenue of $11.5 million, an increase of 69% year-over-year Annual recurring revenue (ARR) of $30.9 million, an increase of 47% year-over-year Net r

NTWN / Newtown Lane Marketing, Incorporated / Bc Partners Holdings Ltd - SC 13D Activist Investment

SC 13D UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. )* Appgate, Inc. (Name of Issuer) Common Stock (Title of Class of Securities) 653243204 (CUSIP Number) Jeremy Dale c/o Appgate, Inc. 2333 Ponce De Leon Blvd, Ste 900 Coral Gables, FL 33134 866-524-4782 (Name, Address and Telephone Number of Person Aut

Joint Filing Agreement.

EX-99.1 2 d248801dex991.htm EX-99.1 EXHIBIT 1 JOINT FILING AGREEMENT In accordance with Rule 13d-1(k)(1) promulgated under the Securities Exchange Act of 1934, as amended, the undersigned hereby agree that they are jointly filing this statement on Schedule 13D. Each of them is responsible for the timely filing of such statement and any amendments thereto, and for the completeness and accuracy of t

Letter Agreement, dated February 9, 2021, by and between Medina Capital Fund II-SIS Holdco, L.P. and BCEC-Cyxtera Technologies Holdings (Guernsey) L.P.

EX-99.2 3 d248801dex992.htm EX-99.2 Exhibit 2 Execution Version Medina Capital Fund II — SIS Holdco, LP c/o Medina Capital Fund II, LLC 2333 Ponce De Leon Blvd., Suite 900 Coral Gables, FL 33134 February 9, 2021 VIA EMAIL BCEC-Cyxtera Technologies Holdings (Guernsey) LP. 650 Madison Avenue, 23rd Floor New York, New York 10022 Attention: Fahim Ahmed Facsimile: +1 212 891 2899 Email: Fahim.Ahmed@bcp

Second Amended and Restated Certificate of Incorporation

EX-3.1 2 ea148769ex3-1appgate.htm SECOND AMENDED AND RESTATED CERTIFICATE OF INCORPORATION Exhibit 3.1 SECOND AMENDED AND RESTATED CERTIFICATE OF INCORPORATION OF NEWTOWN LANE MARKETING, INCORPORATED Newtown Lane Marketing, Incorporated (the “Corporation”), a corporation organized and existing under the General Corporation Law of the State of Delaware (“DGCL”), does hereby certify as follows: (1)

Employment Agreement dated October 12, 2021 between the Company and Rene A. Rodriguez

Exhibit 10.14 Employment Agreement This Employment Agreement (this ?Agreement?) is entered into on October 12, 2021 by and between Appgate, Inc., a Delaware corporation (together with any successor thereto, the ?Company?), and Rene A. Rodriguez (the ?Executive?) (collectively referred to herein as the ?Parties?), effective as of October 12, 2021 (the ?Effective Date?). RECITALS A. It is the desire

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year, Entry into a Material Definitive Agreement, Unregistered Sales of Equity Securities, Financial Statements and Exhibits, Changes in Registrant's Certifying Accountant, Completion of Acquisition or Disposition of Assets, Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant, Material Modification to Rights of Security Holders, Changes in Control of Registrant, Change in Shell Company Status, 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): October 15, 2021 (October 12, 2021) Appgate, Inc. (Exact Name of Registrant as Specified in Its Charter) Delaware 000-52776 20-3547231 (State or other jurisdiction of incorporation) (

CYXTERA CYBERSECURITY, INC. D/B/A APPGATE Table of Contents

Exhibit 99.3 CYXTERA CYBERSECURITY, INC. D/B/A APPGATE Table of Contents Consolidated Financial Statements (Unaudited): Page Condensed Consolidated Balance Sheets as of June 30, 2021 and December 31, 2020 F-2 Condensed Consolidated Statements of Operations for the Three Months and Six Months Ended June 30, 2021 and 2020 F-3 Condensed Consolidated Statements of Comprehensive (Loss) Income for the T

Employment Agreement dated October 12, 2021 between the Company and Jeremy M. Dale

Exhibit 10.16 Employment Agreement This Employment Agreement (this ?Agreement?) is entered into on October 12, 2021 by and between Appgate, Inc., a Delaware corporation (together with any successor thereto, the ?Company?), and Jeremy M. Dale (the ?Executive?) (collectively referred to herein as the ?Parties?), effective as of October 12, 2021 (the ?Effective Date?). RECITALS A. It is the desire of

Note Issuance Agreement, dated as of February 8, 2021, by and among Legacy Appgate, the Guarantors and Magnetar

Exhibit 10.6 CYXTERA CYBERSECURITY, INC. D/B/A APPGATE AND MAGNETAR FINANCIAL LLC as Representative of the Holders NOTE ISSUANCE AGREEMENT Dated as of February 8, 2021 Convertible Senior Notes due 2024 TABLE OF CONTENTS PAGE Article 1 DEFINITIONS 1 Section 1.01 Definitions 1 Section 1.02 References to Interest 24 Article 2 ISSUE, DESCRIPTION, EXECUTION, REGISTRATION AND EXCHANGE OF NOTES 24 Sectio

Amended and Restated Bylaws

Exhibit 3.2 AMENDED AND RESTATED BYLAWS OF APPGATE, INC. * * * * * Article I Offices SECTION 1.01 Registered Office. The address of the registered office of Appgate, Inc. (the ?Corporation?) in the State of Delaware is 3411 Silverside Road, Tatnall Building, Suite 104, Wilmington, New Castle County, Delaware 19810. The name of the Corporation?s registered agent at such address is Corporate Creatio

Employment Agreement dated October 12, 2021 between the Company and Barry Field

Exhibit 10.13 Employment Agreement This Employment Agreement (this ?Agreement?) is entered into on October 12, 2021 by and between Appgate, Inc., a Delaware corporation (together with any successor thereto, the ?Company?), and Barry Field (the ?Executive?) (collectively referred to herein as the ?Parties?), effective as of October 12, 2021 (the ?Effective Date?). RECITALS A. It is the desire of th

2021 Incentive Compensation Plan

Exhibit 10.11 APPGATE, INC. 2021 INCENTIVE COMPENSATION PLAN APPGATE, INC. 2021 INCENTIVE COMPENSATION PLAN 1. Purpose 1 2. Definitions 1 3. Administration. 6 4. Shares Subject to Plan. 7 5. Eligibility 8 6. Specific Terms of Awards. 8 7. Certain Provisions Applicable to Awards. 14 8. Reserved. 17 9. Change in Control. 17 10. General Provisions. 19 APPGATE, INC. 2021 INCENTIVE COMPENSATION PLAN 1.

Supplemental Agreement, dated as of October 12, 2021, by and between Newtown Lane, Legacy Appgate and Magnetar Financial, LLC as representative of the Holders

Exhibit 10.7 Supplemental Agreement SUPPLEMENTAL AGREEMENT (this ?Supplemental Agreement?), dated as of October 12, 2021, among Newtown Lane Marketing, Incorporated (to be renamed ?Appgate, Inc.? following the consummation of the Specified Transaction on or about the date hereof) (?Parent?), a Delaware corporation and direct or indirect parent of Cyxtera Cybersecurity, Inc. d/b/a Appgate (or its s

UNAUDITED PRO FORMA CONDENSED COMBINED FINANCIAL INFORMATION

Exhibit 99.5 UNAUDITED PRO FORMA CONDENSED COMBINED FINANCIAL INFORMATION Defined terms used herein and not otherwise defined shall have the respective meanings assigned to such terms elsewhere in the Current Report on Form 8-K filed by Appgate, Inc. on October 15, 2021 (the ?Report?). Introduction The following unaudited pro forma condensed combined financial information gives effect to the Merge

CYXTERA CYBERSECURITY, INC. D/B/A APPGATE Table of Contents

Exhibit 99.2 CYXTERA CYBERSECURITY, INC. D/B/A APPGATE Table of Contents Consolidated Financial Statements: Page Report of Independent Registered Public Accounting Firm F-2 Consolidated Balance Sheets as of December 31, 2020 and 2019 F-4 Consolidated Statements of Operations for the Years Ended December 31, 2020 and 2019 F-5 Consolidated Statements of Comprehensive Loss for the Years ended Decembe

Securities Purchase Agreement, dated as of December 17, 2020, by and between Legacy Appgate and E-Discovery AcquireCo, LLC

Exhibit 10.10 SECURITIES PURCHASE AGREEMENT BY AND BETWEEN Cyxtera Cybersecurity, Inc. (d/b/a AppGate) AND E-DISCOVERY ACQUIRECO, LLC DATED AS OF DECEMBER 17, 2020 TABLE OF CONTENTS Article 1 DEFINITIONS 1 Section 1.1 Definitions 1 Article 2 PURCHASE AND SALE 16 Section 2.1 Purchase and Sale of the Company Securities 16 Section 2.2 Purchase Price 16 Section 2.3 Closing 16 Section 2.4 Determination

Lock-Up Agreement, dated as of October 12, 2021, by and among Newtown Lane, SIS Holdings and Ironbound

Exhibit 10.4 LOCK-UP AGREEMENT This LOCK-UP AGREEMENT (this ?Agreement?) is made as of October 12, 2021 by and among Newtown Lane Marketing, Incorporated, a Delaware corporation (the ?Company?), and each other Person identified on Schedule A attached hereto (the ?Schedule of Holders?) as of the date hereof. RECITALS WHEREAS, the Company is party to that certain Agreement and Plan of Reorganization

Employment Agreement dated October 12, 2021 between the Company and Jawahar Sivasankaran

EX-10.15 16 ea148769ex10-15appgate.htm EMPLOYMENT AGREEMENT DATED OCTOBER 12, 2021 BETWEEN THE COMPANY AND JAWAHAR SIVASANKARAN Exhibit 10.15 Employment Agreement This Employment Agreement (this “Agreement”) is entered into on October 12, 2021 by and between Appgate, Inc., a Delaware corporation (together with any successor thereto, the “Company”), and Jawahar Sivasankaran (the “Executive”) (colle

Employment Agreement dated October 7, 2019 between Legacy Appgate and Michael Aiello

Exhibit 10.17 Employment Agreement This Employment Agreement (this ?Agreement?) is entered into on October 7, 2019, effective as of October 21, 2019 (the ?Effective Date?), by and between Cyxtera Cybersecurity, Inc., a Delaware corporation (together with any successor thereto, the ?Company?), and Michael Aiello (the ?Executive?) (collectively referred to herein as the ?Parties?). RECITALS A. The C

Subsidiaries of the Company

Exhibit 21.1 Subsidiaries of Appgate, Inc. Name of Subsidiary State/Country of Organization Appgate Cybersecurity, Inc. Delaware Catbird Networks, Inc. Delaware Cryptzone International Holdings Inc. Delaware Cryptzone Group AB Sweden Cryptzone North America Inc. Delaware Cryptzone UK Ltd United Kingdom Cryptzone Worldwide, Inc. Delaware Easy Solutions do Brasil Ltda. Brazil Easy Solutions Enterpri

APPGATE, A LEADING CYBERSECURITY COMPANY FOUNDED ON ZERO TRUST PRINCIPLES, CLOSES MERGER WITH NEWTOWN LANE MARKETING Combined Company to Trade on OTC Bulletin Board with Intention to Uplist to NYSE or Nasdaq in Q1 2022

Exhibit 99.1 APPGATE, A LEADING CYBERSECURITY COMPANY FOUNDED ON ZERO TRUST PRINCIPLES, CLOSES MERGER WITH NEWTOWN LANE MARKETING Combined Company to Trade on OTC Bulletin Board with Intention to Uplist to NYSE or Nasdaq in Q1 2022 Symbol: NTWN MIAMI, FL and NEW YORK, NY ? October 13, 2021 ? Appgate, Inc. (?Appgate? or the ?Company?), the secure access company, today announced it successfully comp

LEGACY APPGATE’S MANAGEMENT’S DISCUSSION AND ANALYSIS OF FINANCIAL CONDITION AND RESULTS OF OPERATIONS

Exhibit 99.4 LEGACY APPGATE?S MANAGEMENT?S DISCUSSION AND ANALYSIS OF FINANCIAL CONDITION AND RESULTS OF OPERATIONS The following discussion and analysis of Legacy Appgate?s financial condition and results of operations is intended to assist in the understanding and assessment of significant changes and trends related to the results of operations and financial position of Legacy Appgate. This disc

Registration Rights Agreement, dated as of October 12, 2021 by and among Newtown Lane, SIS Holdings, Ironbound and, solely with respect to Section 3.1 thereof, Medina Capital Fund II – SIS Holdco, LP

Exhibit 10.1 NEWTOWN LANE MARKETING, INCORPORATED REGISTRATION RIGHTS AGREEMENT THIS REGISTRATION RIGHTS AGREEMENT (this ?Agreement?), is made as of October 12, 2021, by and among Newtown Lane Marketing, Incorporated, a Delaware corporation (the ?Company?), each of the investors listed on Schedule A hereto, each of which is referred to in this Agreement as an ?Investor? and, solely with respect to

Separation Agreement and Release dated June 5, 2020 between Legacy Appgate and Michael Aiello

Exhibit 10.18 Separation Agreement and Release This Separation Agreement and Release (?Agreement?) is made by and between Michael Aiello (?Executive?) and Cyxtera Cybersecurity, Inc., a Delaware corporation (the ?Company?) (collectively, referred to as the ?Parties? or individually referred to as a ?Party?). Capitalized terms used but not defined in this Agreement shall have the meanings set forth

Letter from Liggett & Webb P.A. as to the change in certifying accountant, dated as of October 15, 2021

Exhibit 16.1 October 15, 2021 Securities and Exchange Commission 100 F Street N.E. Washington, D.C. 20549 RE: Appgate, Inc. File Ref No: 000-52776 We have read the statements of Appgate, Inc., pertaining to our firm included under Item 4.01 of Form 8-K dated October 15, 2021 and agree with such statements as they pertain to our firm. We have read Item 4.01, captioned ?Changes in Registrant?s Certi

Form of Director and Officer Indemnification Agreement

Exhibit 10.9 APPGATE, INC. INDEMNIFICATION AGREEMENT This Indemnification and Advancement Agreement (?Agreement?) is made as of [ , ] by and between Appgate, Inc., a Delaware corporation (the ?Company?), and [], a member of the Board of Directors or an officer of the Company (?Indemnitee?). This Agreement supersedes and replaces any and all previous Agreements between the Company and Indemnitee co

Note Purchase Agreement, dated as of February 8, 2021, by and among Legacy Appgate and the lenders named on the Schedule of Lenders attached thereto

Exhibit 10.5 NOTE PURCHASE AGREEMENT THIS NOTE PURCHASE AGREEMENT (?Agreement?) is made as of February 8, 2021, by and among Cyxtera Cybersecurity, Inc. d/b/a Appgate, a Delaware corporation (the ?Company?), and the lenders (each individually, a ?Lender? and collectively, the ?Lenders?) named on the Schedule of Lenders attached hereto (the ?Schedule of Lenders?). Capitalized terms not otherwise de

Amended and Restated Employment Agreement dated October 12, 2021 among Legacy Appgate, the Company and Manuel D. Medina

Exhibit 10.12 Amended and Restated Employment Agreement This Amended and Restated Employment Agreement (this ?Agreement?) is entered into on October 12, 2021 by and among Appgate Cybersecurity, Inc. (f/k/a Cyxtera Cybersecurity, Inc.), a Delaware corporation (the ?Former Company? or ?Prior Company?), Appgate, Inc., a Delaware corporation and parent of Former Company (together with any successor th

Registration Rights Agreement, dated as of February 8, 2021, by and among Legacy Appgate and the investors named therein

Exhibit 10.8 Cyxtera Cybersecurity, Inc. d/b/a Appgate REGISTRATION RIGHTS AGREEMENT THIS REGISTRATION RIGHTS AGREEMENT (this ?Agreement?), is made as of February 8, 2021, by and among Cyxtera Cybersecurity, Inc. d/b/a Appgate, a Delaware corporation (including, without limitation, any Acquiring Person (as defined below) that may hold 100% of the equity interests of the Company or any successor th

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 for the quarterly period ended: September 30, 2021 ☐ TRANSITION REPORT UN

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ? QUARTERLY REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 for the quarterly period ended: September 30, 2021 ? TRANSITION REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 for the transition period from to Commission file number: 000-52776 NEWTOWN LANE MARKET

SCHEDULE 14C and SCHEDULE 14F-1 (Rule 14c-101 and Rule 14f-1) INFORMATION REQUIRED IN INFORMATION STATEMENT SCHEDULE 14C INFORMATION Information Statement Pursuant to Section 14(c) of the Securities Exchange Act of 1934 Information Statement Pursuant

SCHEDULE 14C and SCHEDULE 14F-1 (Rule 14c-101 and Rule 14f-1) INFORMATION REQUIRED IN INFORMATION STATEMENT SCHEDULE 14C INFORMATION Information Statement Pursuant to Section 14(c) of the Securities Exchange Act of 1934 Information Statement Pursuant to Section 14(f) of the Securities Exchange Act of 1934 And Rule 14f-1 Thereunder (Amendment No.

SCHEDULE 14C and SCHEDULE 14F-1 (Rule 14c-101 and Rule 14f-1) INFORMATION REQUIRED IN INFORMATION STATEMENT SCHEDULE 14C INFORMATION Information Statement Pursuant to Section 14(c) of the Securities Exchange Act of 1934 Information Statement Pursuant

SCHEDULE 14C and SCHEDULE 14F-1 (Rule 14c-101 and Rule 14f-1) INFORMATION REQUIRED IN INFORMATION STATEMENT SCHEDULE 14C INFORMATION Information Statement Pursuant to Section 14(c) of the Securities Exchange Act of 1934 Information Statement Pursuant to Section 14(f) of the Securities Exchange Act of 1934 And Rule 14f-1 Thereunder (Amendment No.

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 for the quarterly period ended: June 30, 2021 ☐ TRANSITION REPORT UNDER S

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ? QUARTERLY REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 for the quarterly period ended: June 30, 2021 ? TRANSITION REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 for the transition period from to Commission file number: 000-52776 NEWTOWN LANE MARKETING,

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K ANNUAL REPORT PURSUANT TO SECTIONS 13 OR 15 (d) OF THE SECURITIES AND EXCHANGE ACT OF 1934 For the fiscal year ended March 31, 2021 Commission file number: 000-52776 NE

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K ANNUAL REPORT PURSUANT TO SECTIONS 13 OR 15 (d) OF THE SECURITIES AND EXCHANGE ACT OF 1934 For the fiscal year ended March 31, 2021 Commission file number: 000-52776 NEWTOWN LANE MARKETING, INCORPORATED (Exact Name of Registrant as Specified in its Charter) Delaware 20-3547231 (State or Other Jurisdiction of Incorpor

Description of Securities*

EX-4.7 2 f10k2021ex4-7newtown.htm DESCRIPTION OF SECURITIE Exhibit 4.7 DESCRIPTION OF REGISTRANT’S SECURITIES The following summary of Newtown Lane Marketing, Incorporated’s securities is based on and qualified by its Certificate of Incorporation (the “Charter”). References to the “Company” and to “we,” “us,” and “our” refer to Newtown Lane Marketing, Incorporated. General As of March 31, 2021, th

Quarterly Report - QUARTERLY REPORT

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ? QUARTERLY REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 for the quarterly period ended: December 31, 2020 ? TRANSITION REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 for the transition period from to Commission file number: 000-52776 NEWTOWN LANE MARKETI

Investor Presentation

EX-99.2 6 ea134933ex99-2newtown.htm INVESTOR PRESENTATION Exhibit 99.2

Support Agreement, dated as of February 8, 2021, by and among Newtown Lane Marketing, Incorporated, Cyxtera Cybersecurity, Inc., and SIS Holdings, LP.

EX-10.1 3 ea134933ex10-1newtown.htm SUPPORT AGREEMENT, DATED AS OF FEBRUARY 8, 2021, BY AND AMONG NEWTOWN LANE MARKETING, INCORPORATED, CYXTERA CYBERSECURITY, INC., AND SIS HOLDINGS, LP Exhibit 10.1 FORM OF SUPPORT AGREEMENT This SUPPORT AGREEMENT (this “Agreement”), dated as of February 8, 2021, is entered into by and among Newtown Lane Marketing, Incorporated, a Delaware corporation (“Parent”),

Press release, dated February 9, 2021

EX-99.1 5 ea134933ex99-1newtown.htm PRESS RELEASE, DATED FEBRUARY 9, 2021 Exhibit 99.1 APPGATE, A LEADING CYBERSECURITY COMPANY, TO MERGE WITH PUBLIC COMPANY NEWTOWN LANE MARKETING · Appgate is a proven, next-generation, scalable cybersecurity platform built on a Zero Trust foundation, designed specifically for today’s complex enterprise IT infrastructure, whether hybrid, cloud, or on-premises · T

2

EX-99.3 7 ea134933ex99-3newtown.htm TRANSCRIPT OF INVESTOR CALL Exhibit 99.3 Appgate Newtown Lane Script Edward Parker Appgate, Investor Relations Good morning, everyone. I’m Edward Parker, Appgate Investor Relations, welcome to the call. We would first like to remind everyone that this call contains forward-looking statements including, but not limited to, Newtown Lane Marketing and Appgate’s exp

APPGATE, A LEADING CYBERSECURITY COMPANY, TO MERGE WITH PUBLIC COMPANY NEWTOWN LANE MARKETING

EX-99.1 5 ea134933ex99-1newtown.htm PRESS RELEASE, DATED FEBRUARY 9, 2021 Exhibit 99.1 APPGATE, A LEADING CYBERSECURITY COMPANY, TO MERGE WITH PUBLIC COMPANY NEWTOWN LANE MARKETING · Appgate is a proven, next-generation, scalable cybersecurity platform built on a Zero Trust foundation, designed specifically for today’s complex enterprise IT infrastructure, whether hybrid, cloud, or on-premises · T

Agreement and Plan of Reorganization, dated as of February 8, 2021, by and among Newtown Lane Marketing, Incorporated, Newtown Merger Sub Corp., and Cyxtera Cybersecurity, Inc.

EX-2.1 2 ea134933ex2-1newtown.htm AGREEMENT AND PLAN OF REORGANIZATION, DATED AS OF FEBRUARY 8, 2021, BY AND AMONG NEWTOWN LANE MARKETING, INCORPORATED, NEWTOWN MERGER SUB CORP., AND CYXTERA CYBERSECURITY, INC. Exhibit 2.1 AGREEMENT AND PLAN OF REORGANIZATION BY AND AMONG NEWTOWN LANE MARKETING, INCORPORATED, NEWTOWN MERGER SUB CORP. and CYXTERA CYBERSECURITY, INC. DATED AS OF FEBRUARY 8, 2021 TAB

Investor Presentation

EX-99.2 6 ea134933ex99-2newtown.htm INVESTOR PRESENTATION Exhibit 99.2

Transcript of Investor Call

EX-99.3 7 ea134933ex99-3newtown.htm TRANSCRIPT OF INVESTOR CALL Exhibit 99.3 Appgate Newtown Lane Script Edward Parker Appgate, Investor Relations Good morning, everyone. I’m Edward Parker, Appgate Investor Relations, welcome to the call. We would first like to remind everyone that this call contains forward-looking statements including, but not limited to, Newtown Lane Marketing and Appgate’s exp

Support Agreement, dated as of February 8, 2021, by and among Newtown Lane Marketing, Incorporated, Cyxtera Cybersecurity, Inc., and Ironbound Partners Fund, LLC.

EX-10.2 4 ea134933ex10-2newtown.htm SUPPORT AGREEMENT, DATED AS OF FEBRUARY 8, 2021, BY AND AMONG NEWTOWN LANE MARKETING, INCORPORATED, CYXTERA CYBERSECURITY, INC., AND IRONBOUND PARTNERS FUND, LLC Exhibit 10.2 FORM OF SUPPORT AGREEMENT This SUPPORT AGREEMENT (this “Agreement”), dated as of February 8, 2021, is entered into by and among Newtown Lane Marketing, Incorporated, a Delaware corporation

Agreement and Plan of Reorganization, dated as of February 8, 2021, by and among Newtown Lane, Merger Sub and Legacy Appgate

EX-2.1 2 ea134933ex2-1newtown.htm AGREEMENT AND PLAN OF REORGANIZATION, DATED AS OF FEBRUARY 8, 2021, BY AND AMONG NEWTOWN LANE MARKETING, INCORPORATED, NEWTOWN MERGER SUB CORP., AND CYXTERA CYBERSECURITY, INC. Exhibit 2.1 AGREEMENT AND PLAN OF REORGANIZATION BY AND AMONG NEWTOWN LANE MARKETING, INCORPORATED, NEWTOWN MERGER SUB CORP. and CYXTERA CYBERSECURITY, INC. DATED AS OF FEBRUARY 8, 2021 TAB

Support Agreement, dated as of February 8, 2021, by and among Newtown Lane, Legacy Appgate and SIS Holdings LP

EX-10.1 3 ea134933ex10-1newtown.htm SUPPORT AGREEMENT, DATED AS OF FEBRUARY 8, 2021, BY AND AMONG NEWTOWN LANE MARKETING, INCORPORATED, CYXTERA CYBERSECURITY, INC., AND SIS HOLDINGS, LP Exhibit 10.1 FORM OF SUPPORT AGREEMENT This SUPPORT AGREEMENT (this “Agreement”), dated as of February 8, 2021, is entered into by and among Newtown Lane Marketing, Incorporated, a Delaware corporation (“Parent”),

Support Agreement, dated as of February 8, 2021, by and among Newtown Lane, Legacy Appgate and Ironbound Partners Fund, LLC

EX-10.2 4 ea134933ex10-2newtown.htm SUPPORT AGREEMENT, DATED AS OF FEBRUARY 8, 2021, BY AND AMONG NEWTOWN LANE MARKETING, INCORPORATED, CYXTERA CYBERSECURITY, INC., AND IRONBOUND PARTNERS FUND, LLC Exhibit 10.2 FORM OF SUPPORT AGREEMENT This SUPPORT AGREEMENT (this “Agreement”), dated as of February 8, 2021, is entered into by and among Newtown Lane Marketing, Incorporated, a Delaware corporation

- CURRENT REPORT

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 8, 2021 NEWTOWN LANE MARKETING, INCORPORATED (Exact Name of Registrant as Specified in Charter) Delaware 000-52776 20-3547231 (State or Other Jurisdiction (Commission File Nu

Entry into a Material Definitive Agreement, Regulation FD Disclosure, Financial Statements and Exhibits

8-K 1 ea134933-8knewtownlane.htm CURRENT REPORT 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 8, 2021 NEWTOWN LANE MARKETING, INCORPORATED (Exact Name of Registrant as Specified in Charter) Delaware 000-52776 20-3547231

Quarterly Report - QUARTERLY REPORT

10-Q 1 f10q0920newtownlane.htm QUARTERLY REPORT UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 for the quarterly period ended: September 30, 2020 ☐ TRANSITION REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 for the transition period from to Commi

Convertible Note, dated August 18, 2020

Exhibit 4.1 THIS NOTE HAS NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE “SECURITIES ACT”), NOR UNDER ANY STATE SECURITIES LAW AND MAY NOT BE SOLD, PLEDGED, OFFERED FOR SALE, ASSIGNED OR TRANSFERRED UNLESS (a) A REGISTRATION STATEMENT WITH RESPECT THERETO IS EFFECTIVE UNDER THE SECURITIES ACT, AND ANY APPLICABLE STATE SECURITIES LAW REQUIREMENTS HAVE BEEN MET OR (B) EXEMPTIO

Financial Statements and Exhibits, Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant - FORM 8-K

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 18, 2020 NEWTOWN LANE MARKETING, INCORPORATED (Exact Name of Registrant as Specified in Charter) Delaware 000-52776 20-3547231 (State or Other Jurisdiction (Commission File Num

Quarterly Report - QUARTERLY REPORT

10-Q 1 f10q0620newtownlane.htm QUARTERLY REPORT UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 for the quarterly period ended: June 30, 2020 ☐ TRANSITION REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 for the transition period from to Commission

Description of Securities *

Exhibit 4.7 DESCRIPTION OF REGISTRANT’S SECURITIES The following summary of Newtown Lane Marketing, Incorporated’s securities is based on and qualified by its Certificate of Incorporation (the “Charter”). References to the “Company” and to “we,” “us,” and “our” refer to Newtown Lane Marketing, Incorporated. General As of March 31, 2020, the Company is authorized to issue 100,000,000 shares of comm

Annual Report - ANNUAL REPORT

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K ANNUAL REPORT PURSUANT TO SECTIONS 13 OR 15 (d) OF THE SECURITIES AND EXCHANGE ACT OF 1934 For the fiscal year ended March 31, 2020 Commission file number: 000-52776 NEWTOWN LANE MARKETING, INCORPORATED (Exact Name of Registrant as Specified in its Charter) Delaware 20-3547231 (State or Other Jurisdiction of Incorpor

NTWN / Newtown Lane Marketing, Incorporated 10-Q - Quarterly Report - QUARTERLY REPORT

10-Q 1 f10q1219newtownlanemarket.htm QUARTERLY REPORT UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 for the quarterly period ended: December 31, 2019 ☐ TRANSITION REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 for the transition period from to

Financial Statements and Exhibits, Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant

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 27, 2019 NEWTOWN LANE MARKETING, INCORPORATED (Exact Name of Registrant as Specified in Charter) Delaware 000-52776 20-3547231 (State or Other Jurisdiction (Commission File N

Convertible Note, dated November 27, 2019.

Exhibit 4.1 THIS NOTE HAS NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE “SECURITIES ACT”), NOR UNDER ANY STATE SECURITIES LAW AND MAY NOT BE SOLD, PLEDGED, OFFERED FOR SALE, ASSIGNED OR TRANSFERRED UNLESS (a) A REGISTRATION STATEMENT WITH RESPECT THERETO IS EFFECTIVE UNDER THE SECURITIES ACT, AND ANY APPLICABLE STATE SECURITIES LAW REQUIREMENTS HAVE BEEN MET OR (B) EXEMPTIO

NTWN / Newtown Lane Marketing, Incorporated 10-Q - Quarterly Report - QUARTERLY REPORT

10-Q 1 f10q0919newtownlane.htm QUARTERLY REPORT UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 for the quarterly period ended: September 30, 2019 ☐ TRANSITION REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 for the transition period from to Commi

NTWN / Newtown Lane Marketing, Incorporated 10-Q - Quarterly Report - QUARTERLY REPORT

10-Q 1 f10q0619newtownlane.htm QUARTERLY REPORT UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 for the quarterly period ended: June 30, 2019 ☐ TRANSITION REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 for the transition period from to Commission

NTWN / Newtown Lane Marketing, Incorporated 10-K - Annual Report - ANNUAL REPORT

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K ANNUAL REPORT PURSUANT TO SECTIONS 13 OR 15 (d) OF THE SECURITIES AND EXCHANGE ACT OF 1934 For the fiscal year ended March 31, 2019 Commission file number: 000-52776 NEWTOWN LANE MARKETING, INCORPORATED (Exact Name of Registrant as Specified in its Charter) Delaware 20-3547231 (State or Other Jurisdiction of Incorpor

NTWN / Newtown Lane Marketing, Incorporated NT 10-K - - NOTIFICATION OF LATE FILING

UNITED STATES OMB APPROVAL SECURITIES AND EXCHANGE COMMISSION OMB Number: ................ 3235-0058 Washington, D.C. 20549 Expires:.................... February 28, 2022 Estimated average burden Hours per form 2.50 FORM 12b-25 SEC FILE NUMBER 000-52776 NOTIFICATION OF LATE FILING CUSIP NUMBER 653243204 (Check One): ☒ Form 10-K ☐ Form 20-F ☐ Form 11-K ☐ Form 10-Q ☐ Form 10-D ☐ Form N-SAR ☐ Form N-

NTWN / Newtown Lane Marketing, Incorporated FORM 10-Q (Quarterly Report)

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 for the quarterly period ended: December 31, 2018 ☐ TRANSITION REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 for the transition period from to Commission file number: 000-52776 NEWTOWN LANE MARKETI

NTWN / Newtown Lane Marketing, Incorporated NT 10-Q

NT 10-Q 1 s116081nt10q.htm NT 10-Q OMB APPROVAL UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 OMB Number: 3235-0058 Expires: February 28, 2019 Estimated average burden Hours per form 2.50 FORM 12b-25 SEC FILE NUMBER 000-52776 NOTIFICATION OF LATE FILING CUSIP NUMBER 653243204 (Check One): ☐ Form 10-K ☐ Form 20-F ☐ Form 11-K ☒ Form 10-Q ☐ Form 10-D ☐ Form N-SAR ☐ Form N-CS

Financial Statements and Exhibits, Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant

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 4, 2018 NEWTOWN LANE MARKETING, INCORPORATED (Exact Name of Registrant as Specified in Charter) Delaware 000-52776 20-3547231 (State or Other Jurisdiction (Commission (IRS Em

Convertible Note, dated December 4, 2018.

Exhibit 4.1 THIS NOTE HAS NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE “SECURITIES ACT”), NOR UNDER ANY STATE SECURITIES LAW AND MAY NOT BE SOLD, PLEDGED, OFFERED FOR SALE, ASSIGNED OR TRANSFERRED UNLESS (a) A REGISTRATION STATEMENT WITH RESPECT THERETO IS EFFECTIVE UNDER THE SECURITIES ACT, AND ANY APPLICABLE STATE SECURITIES LAW REQUIREMENTS HAVE BEEN MET OR (B) EXEMPTIO

NTWN / Newtown Lane Marketing, Incorporated 10-Q (Quarterly Report)

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 for the quarterly period ended: September 30, 2018 ☐ TRANSITION REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 for the transition period from to Commission file number: 000-52776 NEWTOWN LANE MARKET

Financial Statements and Exhibits, Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant

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, 2018 NEWTOWN LANE MARKETING, INCORPORATED (Exact Name of Registrant as Specified in Charter) Delaware 000-52776 20-3547231 (State or Other Jurisdiction of Incorporation) (C

Convertible Note, dated August 27, 2018.

Exhibit 4.1 THIS NOTE HAS NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE “SECURITIES ACT”), NOR UNDER ANY STATE SECURITIES LAW AND MAY NOT BE SOLD, PLEDGED, OFFERED FOR SALE, ASSIGNED OR TRANSFERRED UNLESS (a) A REGISTRATION STATEMENT WITH RESPECT THERETO IS EFFECTIVE UNDER THE SECURITIES ACT, AND ANY APPLICABLE STATE SECURITIES LAW REQUIREMENTS HAVE BEEN MET OR (B) EXEMPTIO

NTWN / Newtown Lane Marketing, Incorporated FORM 10-Q (Quarterly Report)

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 for the quarterly period ended: June 30, 2018 ☐ TRANSITION REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 for the transition period from to Commission file number: 000-52776 NEWTOWN LANE MARKETING,

NTWN / Newtown Lane Marketing, Incorporated 10-K (Annual Report)

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K ANNUAL REPORT PURSUANT TO SECTIONS 13 OR 15 (d) OF THE SECURITIES AND EXCHANGE ACT OF 1934 For the fiscal year ended March 31, 2018 Commission file number: 000-52776 NEWTOWN LANE MARKETING, INCORPORATED (Exact Name of Registrant as Specified in its Charter) Delaware 20-3547231 (State or Other Jurisdiction of Incorpor

NTWN / Newtown Lane Marketing, Incorporated 10-Q (Quarterly Report)

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 for the quarterly period ended: December 31, 2017 ☐ TRANSITION REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 for the transition period from to Commission file number: 000-52776 NEWTOWN LANE MARKETI

NTWN / Newtown Lane Marketing, Incorporated 10-Q (Quarterly Report)

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 for the quarterly period ended: September 30, 2017 ☐ TRANSITION REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 for the transition period from to Commission file number: 000-52776 NEWTOWN LANE MARKET

NTWN / Newtown Lane Marketing, Incorporated NT 10-Q

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 OMB APPROVAL FORM 12b-25 OMB Number:................3235-0058 Expires:.................October 31, 2018 Estimated average burden Hours per form........................ 2.50 NOTIFICATION OF LATE FILING SEC FILE NUMBER 000-52776 CUSIP NUMBER 653243204 (Check One): [] Form 10-K []Form 20-F [] Form 11-K [X] Form 10-Q [] Form 10-D

NTWN / Newtown Lane Marketing, Incorporated 10-Q (Quarterly Report)

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ☒ QUARTERLY REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 for the quarterly period ended: June 30, 2017 ☐ TRANSITION REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 for the transition period from to Commission file number: 000-52776 NEWTOWN LANE MARKETING,

NTWN / Newtown Lane Marketing, Incorporated 10-K (Annual Report)

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K ANNUAL REPORT PURSUANT TO SECTIONS 13 OR 15 (d) OF THE SECURITIES AND EXCHANGE ACT OF 1934 For the fiscal year ended March 31, 2017 Commission file number: 000-52776 NEWTOWN LANE MARKETING, INCORPORATED (Exact Name of Registrant as Specified in its Charter) Delaware 20-3547231 (State or Other Jurisdiction of Incorpor

Newtown Lane Marketing NT 10-K

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 12b-25 NOTIFICATION OF LATE FILING OMB APPROVAL OMB Number: Expires: Estimated average burden Hours per form 3235-0058 October 31, 2018 2.50 SEC FILE NUMBER 000-52776 CUSIP NUMBER 653243204 (Check One): ? Form 10-K ? Form 20-F ? Form 11-K ? Form 10-Q ? Form 10-D ? Form N-SAR ? Form N-CSR For Period Ended: March 31, 2017 ?

Convertible Note, dated February 14, 2017, in the principal amount of $60,000, bearing interest at the rate of 5.0% per annum issued by the Company to Ironbound Partners Fund, LLC.

EX-4.1 2 s105363ex4-1.htm EXHIBIT 4.1 Exhibit 4.1 THIS NOTE HAS NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE “SECURITIES ACT”), NOR UNDER ANY STATE SECURITIES LAW AND MAY NOT BE SOLD, PLEDGED, OFFERED FOR SALE, ASSIGNED OR TRANSFERRED UNLESS (a) A REGISTRATION STATEMENT WITH RESPECT THERETO IS EFFECTIVE UNDER THE SECURITIES ACT, AND ANY APPLICABLE STATE SECURITIES LAW REQU

Financial Statements and Exhibits, Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant

8-K 1 s1053638k.htm 8-K 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 14, 2017 NEWTOWN LANE MARKETING, INCORPORATED (Exact Name of Registrant as Specified in Charter) Delaware 000-52776 20-3547231 (State or Other Jurisdi

Newtown Lane Marketing 10-Q (Quarterly Report)

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ? QUARTERLY REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 for the quarterly period ended: December 31, 2016 ? TRANSITION REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 for the transition period from to Commission file number: 000-52776 NEWTOWN LANE MARKETI

Newtown Lane Marketing FORM 10-Q (Quarterly Report)

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) x QUARTERLY REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 for the quarterly period ended: September 30, 2016 ? TRANSITION REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 for the transition period from to Commission file number: 000-52776 NEWTOWN LANE MARKET

Newtown Lane Marketing FORM 10-Q (Quarterly Report)

10-Q 1 v44730910q.htm FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) x QUARTERLY REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 for the quarterly period ended: June 30, 2016 ¨ TRANSITION REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 for the transition period from to Commission file number: 00

Newtown Lane Marketing FORM 10-Q (Quarterly Report)

10-Q 1 v44730910q.htm FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) x QUARTERLY REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 for the quarterly period ended: June 30, 2016 ¨ TRANSITION REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 for the transition period from to Commission file number: 00

Newtown Lane Marketing NT 10-Q

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 12b-25 NOTIFICATION OF LATE FILING OMB APPROVAL OMB Number: . . . . . . . . . . . . . 3235-0058 Expires: . . . . . . . . . . . . . . October 31, 2018 Estimated average burden hours per response. . . . . . . . . . . . . . . .2.50 SEC FILE NUMBER 000-52776 CUSIP NUMBER 653243204 (Check One): o Form 10-K ? Form 20-F ? Form 1

Newtown Lane Marketing NT 10-Q

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 12b-25 NOTIFICATION OF LATE FILING OMB APPROVAL OMB Number: . . . . . . . . . . . . . 3235-0058 Expires: . . . . . . . . . . . . . . October 31, 2018 Estimated average burden hours per response. . . . . . . . . . . . . . . .2.50 SEC FILE NUMBER 000-52776 CUSIP NUMBER 653243204 (Check One): o Form 10-K ? Form 20-F ? Form 1

Convertible Note, dated February 14, 2017, in the principal amount of $60,000, bearing interest at the rate of 5.0% per annum issued by the Company to Ironbound Partners Fund, LLC. (6)

Exhibit 4.1 THIS NOTE HAS NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE ?SECURITIES ACT?), NOR UNDER ANY STATE SECURITIES LAW AND MAY NOT BE SOLD, PLEDGED, OFFERED FOR SALE, ASSIGNED OR TRANSFERRED UNLESS (a) A REGISTRATION STATEMENT WITH RESPECT THERETO IS EFFECTIVE UNDER THE SECURITIES ACT, AND ANY APPLICABLE STATE SECURITIES LAW REQUIREMENTS HAVE BEEN MET OR (B) EXEMPTIO

Financial Statements and Exhibits, Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant

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 15, 2016 NEWTOWN LANE MARKETING, INCORPORATED (Exact Name of Registrant as Specified in Charter) Delaware 000-52776 20-3547231 (State or Other Jurisdiction (Commission (IRS Emplo

Newtown Lane Marketing 10-K (Annual Report)

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K ANNUAL REPORT PURSUANT TO SECTIONS 13 OR 15 (d) OF THE SECURITIES AND EXCHANGE ACT OF 1934 For the fiscal year ended March 31, 2016 Commission file number: 000-52776 NEWTOWN LANE MARKETING, INCORPORATED (Exact Name of Registrant as Specified in its Charter) Delaware 20-3547231 (State or Other Jurisdiction of Incorpor

Newtown Lane Marketing NT 10-K

UNITED STATES OMB APPROVAL SECURITIES AND EXCHANGE COMMISSION OMB Number: 3235-0058 Washington, D.

Convertible Note, dated April 1, 2016, in the principal amount of $10,000, bearing interest at the rate of 5.0% per annum issued by the Company to Ironbound Partners Fund, LLC. (4)

Exhibit 4.1 THIS NOTE HAS NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE ?SECURITIES ACT?), NOR UNDER ANY STATE SECURITIES LAW AND MAY NOT BE SOLD, PLEDGED, OFFERED FOR SALE, ASSIGNED OR TRANSFERRED UNLESS (a) A REGISTRATION STATEMENT WITH RESPECT THERETO IS EFFECTIVE UNDER THE SECURITIES ACT, AND ANY APPLICABLE STATE SECURITIES LAW REQUIREMENTS HAVE BEEN MET OR (B) EXEMPTIO

Financial Statements and Exhibits, Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant

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, 2016 NEWTOWN LANE MARKETING, INCORPORATED (Exact Name of Registrant as Specified in Charter) Delaware 000-52776 20-3547231 (State or Other Jurisdiction (Commission (IRS Emplo

Newtown Lane Marketing FORM 10-Q (Quarterly Report)

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) x QUARTERLY REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 for the quarterly period ended December 31, 2015 ? TRANSITION REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 for the transition period from to Commission file number: 000-52776 NEWTOWN LANE MARKETIN

Newtown Lane Marketing FORM 12B-25

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 OMB APPROVAL FORM 12b-25 NOTIFICATION OF LATE FILING OMB Number: Expires: Estimated average burden Hours per form 3235-0058 October 31, 2018 2.50 SEC FILE NUMBER 000-52776 CUSIP NUMBER 653243204 (Check One): ? Form 10-K ? Form 20-F ? Form 11-K x Form 10-Q ? Form 10-D ? Form N-SAR ? Form N-CSR For Period Ended: December 31, 201

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 (Mark One) x QUARTERLY REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 for the quarterly period ended: September 30, 2015 ¨ TRANSITION REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 for the transition period from to Commission file number: 000-52776 NEWTOWN LANE MARKET

November 18, 2015

Exhibit 4.1 November 18, 2015 The Directors Newtown Lane Marketing, Incorporated Gentlemen, Reference is made to that certain amended and restated convertible promissory note, dated July 25, 2014, and convertible note, dated July 25, 2014 (collectively, the ?Notes?), each made by Newtown Lane Marketing, Incorporated (?Company?) in favor of Ironbound Partners Fund, LLC. The parties hereby agree tha

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): November 18, 2015 NEWTOWN LANE MARKETING, INCORPORATED (Exact Name of Registrant as Specified in Charter) Delaware 000-52776 20-3547231 (State or Other Jurisdiction (Commission (IRS E

Newtown Lane Marketing NT 10-Q

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 OMB APPROVAL FORM 12b-25 NOTIFICATION OF LATE FILING OMB Number: Expires: Estimated average burden Hours per form 3235-0058 October 31, 2018 2.50 SEC FILE NUMBER 000-52776 CUSIP NUMBER 653243204 (Check One): ? Form 10-K ? Form 20-F ? Form 11-K x Form 10-Q ? Form 10-D ? Form N-SAR ? Form N-CSR For Period Ended: September 30, 20

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers

8-K 1 v4238568k.htm FORM 8-K 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, 2015 NEWTOWN LANE MARKETING, INCORPORATED (Exact Name of Registrant as Specified in Charter) Delaware 000-52776 20-3547231 (State or Other Jur

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 (Mark One) x QUARTERLY REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 for the quarterly period ended: June 30, 2015 ¨ TRANSITION REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 for the transition period from to Commission file number: 000-52776 NEWTOWN LANE MARKETING,

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K ANNUAL REPORT PURSUANT TO SECTIONS 13 OR 15 (d) OF THE SECURITIES AND EXCHANGE ACT OF 1934 For the fiscal year ended March 31, 2015 Commission file number: 000-52776 NE

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K ANNUAL REPORT PURSUANT TO SECTIONS 13 OR 15 (d) OF THE SECURITIES AND EXCHANGE ACT OF 1934 For the fiscal year ended March 31, 2015 Commission file number: 000-52776 NEWTOWN LANE MARKETING, INCORPORATED (Exact Name of Registrant as Specified in its Charter) Delaware 20-3547231 (State or Other Jurisdiction of Incorpor

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 (Mark One) x QUARTERLY REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 for the quarterly period ended: December 31, 2014 ¨ TRANSITION REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 for the transition period from to Commission file number: 000-52776 NEWTOWN LANE MARKETI

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 (Mark One) x QUARTERLY REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 for the quarterly period ended: September 30, 2014 ¨ TRANSITION REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 for the transition period from to Commission file number: 000-52776 NEWTOWN LANE MARKET

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 (Mark One) x QUARTERLY REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 for the quarterly period ended: June 30, 2014 ¨ TRANSITION REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 for the transition period from to Commission file number: 000-52776 NEWTOWN LANE MARKETING,

Financial Statements and Exhibits, Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant

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 25, 2014 NEWTOWN LANE MARKETING, INCORPORATED. (Exact name of Registrant as specified in its charter) Delaware 000-52776 20-3547231 (State or other jurisdiction of incorporation)

Amended and Restated Convertible Note, issued May 14, 2013 and amended and restated July 25, 2014, in the principal amount of $100,000, bearing interest at the rate of 5.0% per annum issued by the Company to Ironbound Partners Fund, LLC

Exhibit 4.1 THIS NOTE HAS NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE “SECURITIES ACT”), NOR UNDER ANY STATE SECURITIES LAW AND MAY NOT BE SOLD, PLEDGED, OFFERED FOR SALE, ASSIGNED OR TRANSFERRED UNLESS (a) A REGISTRATION STATEMENT WITH RESPECT THERETO IS EFFECTIVE UNDER THE SECURITIES ACT, AND ANY APPLICABLE STATE SECURITIES LAW REQUIREMENTS HAVE BEEN MET OR (B) EXEMPTIO

Amended and Restated Convertible Note, issued May 14, 2013 and amended and restated July 25, 2014, in the principal amount of $100,000, bearing interest at the rate of 5.0% per annum issued by the Company to Ironbound Partners Fund, LLC (3)

Exhibit 4.2 THIS NOTE HAS NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE “SECURITIES ACT”), NOR UNDER ANY STATE SECURITIES LAW AND MAY NOT BE SOLD, PLEDGED, OFFERED FOR SALE, ASSIGNED OR TRANSFERRED UNLESS (a) A REGISTRATION STATEMENT WITH RESPECT THERETO IS EFFECTIVE UNDER THE SECURITIES ACT, AND ANY APPLICABLE STATE SECURITIES LAW REQUIREMENTS HAVE BEEN MET OR (B) EXEMPTIO

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K ANNUAL REPORT PURSUANT TO SECTIONS 13 OR 15 (d) OF THE SECURITIES AND EXCHANGE ACT OF 1934 For the fiscal year ended March 31, 2014 Commission file number: 000-52776 NE

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K ANNUAL REPORT PURSUANT TO SECTIONS 13 OR 15 (d) OF THE SECURITIES AND EXCHANGE ACT OF 1934 For the fiscal year ended March 31, 2014 Commission file number: 000-52776 NEWTOWN LANE MARKETING, INCORPORATED (Exact Name of Registrant as Specified in its Charter) Delaware 20-3547231 (State or Other Jurisdiction of Incorpor

10-Q

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) x QUARTERLY REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 for the quarterly period ended: December 31, 2013 ¨ TRANSITION REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 for the transition period from to Commission file number: 000-52776 NEWTOWN LANE MARKETI

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 (Mark One) x QUARTERLY REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 for the quarterly period ended: September 30, 2013 ¨ TRANSITION REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 for the transition period from to Commission file number: 000-52776 NEWTOWN LANE MARKET

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 (Mark One) x QUARTERLY REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 for the quarterly period ended: June 30, 2013 ¨ TRANSITION REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 for the transition period from to Commission file number: 000-52776 NEWTOWN LANE MARKETING,

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K ANNUAL REPORT PURSUANT TO SECTIONS 13 OR 15 (d) OF THE SECURITIES AND EXCHANGE ACT OF 1934 For the fiscal year ended March 31, 2013 Commission file number: 000-52776 NE

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K ANNUAL REPORT PURSUANT TO SECTIONS 13 OR 15 (d) OF THE SECURITIES AND EXCHANGE ACT OF 1934 For the fiscal year ended March 31, 2013 Commission file number: 000-52776 NEWTOWN LANE MARKETING, INCORPORATED (Exact Name of Registrant as Specified in its Charter) Delaware 20-3547231 (State or Other Jurisdiction of Incorpor

Stock Option Agreement, dated May 22, 2013 - Kirk M. Warshaw

NEWTOWN LANE MARKETING, INCORPORATED Stock Option Agreement (this ?Agreement?) Dated: May 22, 2013 (?Grant Date?) NEWTOWN LANE MARKETING, INCORPORATED, a Delaware corporation (the ?Company?), hereby grants to Kirk M.

JOINT FILING AGREEMENT

EXHIBIT 99.1 JOINT FILING AGREEMENT This will confirm the agreement by and among the undersigned that the Schedule 13D filed with the Securities and Exchange Commission on or about the date hereof with respect to the beneficial ownership by the undersigned of the common stock, par value $0.001 per share, of Newtown Lane Marketing, Incorporated. is being filed, and all amendments thereto will be fi

CONVERTIBLE NOTE

THIS NOTE HAS NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE “SECURITIES ACT”), NOR UNDER ANY STATE SECURITIES LAW AND MAY NOT BE SOLD, PLEDGED, OFFERED FOR SALE, ASSIGNED OR TRANSFERRED UNLESS (a) A REGISTRATION STATEMENT WITH RESPECT THERETO IS EFFECTIVE UNDER THE SECURITIES ACT, AND ANY APPLICABLE STATE SECURITIES LAW REQUIREMENTS HAVE BEEN MET OR (B) EXEMPTIONS FROM THE REGISTRATION REQUIREMENTS UNDER THE SECURITIES ACT AND THE REGISTRATION OR QUALIFICATION REQUIREMENTS OF APPLICABLE STATE SECURITIES LAWS ARE AVAILABLE.

NTWN / Newtown Lane Marketing, Incorporated / LEDECKY JONATHAN J - SC 13D Activist Investment

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 NEWTOWN LANE MARKETING, INCORPORATED (Name of Issuer) Common Stock, par value $0.001 per share (Title of Class of Securities) 653243204 (CUSIP Number) Jonathan J. Ledecky 970 West Broadway, PMB 402 Jackson, Wyoming 83001 307-633-2831 (Name, Address and Telephone Number of

Financial Statements and Exhibits, Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant - FORM 8-K

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 14, 2013 NEWTOWN LANE MARKETING, INCORPORATED. (Exact name of Registrant as specified in its charter) Delaware 000-52776 20-3547231 (State or other jurisdiction of incorporation)

CONVERTIBLE NOTE

EX-4.1 2 v345038ex4-1.htm EXHIBIT 4.1 THIS NOTE HAS NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE “SECURITIES ACT”), NOR UNDER ANY STATE SECURITIES LAW AND MAY NOT BE SOLD, PLEDGED, OFFERED FOR SALE, ASSIGNED OR TRANSFERRED UNLESS (a) A REGISTRATION STATEMENT WITH RESPECT THERETO IS EFFECTIVE UNDER THE SECURITIES ACT, AND ANY APPLICABLE STATE SECURITIES LAW REQUIREMENTS HAV

Changes in Control of Registrant - 8-K

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 6, 2013 NEWTOWN LANE MARKETING, INCORPORATED. (Exact name of Registrant as specified in its charter) Delaware 000-52776 20-3547231 (State or other jurisdiction of incorporation) (

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 (Mark One) x QUARTERLY REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 for the quarterly period ended: December 31, 2012 ¨ TRANSITION REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 for the transition period from to Commission file number: 000-52776 NEWTOWN LANE MARKETI

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 (Mark One) S QUARTERLY REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 for the quarterly period ended: September 30, 2012 ? TRANSITION REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 for the transition period from to Commission file number: 000-52776 NEWTOWN LANE MARKET

October 22, 2012

EXHIBIT 16.1 October 22, 2012 Securities and Exchange Commission 100 F Street, N.E. Washington, D.C. 20549 Ladies and Gentlemen: We have read Item 4.01 of Form 8-K dated October 22, 2012 of Newtown Lane Marketing, Incorporated and are in agreement with the statements contained first sentence with regards to the dismissal of Sherb & Co., LLP of the first paragraph, the second and third paragraphs t

Financial Statements and Exhibits, Changes in Registrant's Certifying Accountant - 8-K CURRENT REPORT

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 22, 2012 NEWTOWN LANE MARKETING, INCORPORATED. (Exact name of Registrant as specified in its charter) Delaware 000-52776 20-3547231 (State or other jurisdiction of incorporati

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 (Mark One) x QUARTERLY REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 for the quarterly period ended: June 30, 2012 ¨ TRANSITION REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 for the transition period from to Commission file number: 000-52776 NEWTOWN LANE MARKETING,

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K ANNUAL REPORT PURSUANT TO SECTIONS 13 OR 15 (d) OF THE SECURITIES AND EXCHANGE ACT OF 1934 For the fiscal year ended March 31, 2012 Commission file number: 000-52776 NE

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K ANNUAL REPORT PURSUANT TO SECTIONS 13 OR 15 (d) OF THE SECURITIES AND EXCHANGE ACT OF 1934 For the fiscal year ended March 31, 2012 Commission file number: 000-52776 NEWTOWN LANE MARKETING, INCORPORATED (Exact Name of Registrant as Specified in its Charter) Delaware 20-3547231 (State or Other Jurisdiction of Incorpor

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 (Mark One) x QUARTERLY REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 for the quarterly period ended: December 31, 2011 ? TRANSITION REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 for the transition period from to Commission file number: 000-52776 NEWTOWN LANE MARKETI

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 (Mark One) x QUARTERLY REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 for the quarterly period ended: September 30, 2011 ¨ TRANSITION REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 for the transition period from to Commission file number: 000-52776 NEWTOWN LANE MARKET

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 (Mark One) x QUARTERLY REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 for the quarterly period ended: June 30, 2011 ? TRANSITION REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 for the transition period from to Commission file number: 000-52776 NEWTOWN LANE MARKETING,

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K ANNUAL REPORT PURSUANT TO SECTIONS 13 OR 15 (d) OF THE SECURITIES AND EXCHANGE ACT OF 1934 For the fiscal year ended March 31, 2011 Commission file number: 000-52776 NE

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K ANNUAL REPORT PURSUANT TO SECTIONS 13 OR 15 (d) OF THE SECURITIES AND EXCHANGE ACT OF 1934 For the fiscal year ended March 31, 2011 Commission file number: 000-52776 NEWTOWN LANE MARKETING, INCORPORATED (Exact Name of Registrant as Specified in its Charter) Delaware 20-3547231 (State or Other Jurisdiction of Incorpor

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 (Mark One) x QUARTERLY REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 for the quarterly period ended: December 31, 2010 ? TRANSITION REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 for the transition period from to Commission file number: 000-52776 NEWTOWN LANE MARKETI

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 (Mark One) x QUARTERLY REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 for the quarterly period ended: September 30, 2010 o TRANSITION REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 for the transition period from to Commission file number: 000-52776 NEWTOWN LANE MARKET

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 (Mark One) x QUARTERLY REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 for the quarterly period ended: June 30, 2010 ? TRANSITION REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 for the transition period from to Commission file number: 000-52776 NEWTOWN LANE MARKETING,

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K ANNUAL REPORT PURSUANT TO SECTIONS 13 OR 15 (d) OF THE SECURITIES AND EXCHANGE ACT OF 1934 For the fiscal year ended March 31, 2010 Commission file number: 000-52776 NE

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K ANNUAL REPORT PURSUANT TO SECTIONS 13 OR 15 (d) OF THE SECURITIES AND EXCHANGE ACT OF 1934 For the fiscal year ended March 31, 2010 Commission file number: 000-52776 NEWTOWN LANE MARKETING, INCORPORATED (Exact Name of Registrant as Specified in its Charter) Delaware 20-3547231 (State or Other Jurisdiction of Incorpor

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 (Mark One) x QUARTERLY REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 for the quarterly period ended: December 31, 2009 o TRANSITION REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 for the transition period from to Commission file number: 000-52776 NEWTOWN LANE MARKETI

UNITED STATES

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) [X] QUARTERLY REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 for the quarterly period ended: September 30, 2009 [ ] TRANSITION REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 for the transition period from to Commission file number: 000-52776 NEWTOWN LANE MA

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q

c58487nq.htm - Converted by SEC Publisher, created by BCL Technologies Inc., for SEC Filing UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) [X] QUARTERLY REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 for the quarterly period ended: June 30, 2009 [ ] TRANSITION REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K ANNUAL REPORT PURSUANT TO SECTIONS 13 OR 15 (d) OF THE SECURITIES AND EXCHANGE ACT OF 1934 For the fiscal year ended March 31, 2009 Commission file number: 000-52776

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K ANNUAL REPORT PURSUANT TO SECTIONS 13 OR 15 (d) OF THE SECURITIES AND EXCHANGE ACT OF 1934 For the fiscal year ended March 31, 2009 Commission file number: 000-52776 NEWTOWN LANE MARKETING, INCORPORATED (Exact Name of Registrant as Specified in its Charter) Delaware 20-3547231 (State or Other Jurisdiction of Incorpor

OCCUPANCY AGREEMENT

EX-10.1 2 c58058ex10-1.htm OCCUPANCY AGREEMENT This AGREEMENT (the “Agreement”), effective as of January 1, 2009 (the “Effective Date”), between Newtown Lane Marketing, Incorporated (the “Corporation”), a corporation organized under the laws of the State of Delaware and Kirk M. Warshaw, LLC (the “LLC”), a limited liability company organized under the laws of the State of New Jersey. WHEREAS, the C

Exhibit 16.1

c571818k.htm - Converted by SEC Publisher, created by BCL Technologies Inc., for SEC Filing Exhibit 16.1 April 3, 2009 Securities and Exchange Commission 100 F Street, N.E. Washington, DC 20549 We have read the statements made by Newtown Lane Marketing, Incorporated under Item 4.01 of its Form 8-K dated April 3, 2009. We agree with the statements concerning our Firm in such Form 8-K; we are not in

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): Ap

c571818k.htm - Converted by SEC Publisher, created by BCL Technologies Inc., for SEC Filing 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 3, 2009 NEWTOWN LANE MARKETING, INCORPORATED (Exact name of Registrant as specified i

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q

10-Q 1 c5640210q.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) [X] QUARTERLY REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 for the quarterly period ended: December 31, 2008 [ ] TRANSITION REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 for the transition period from to Commission file number: 000-5