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DEFI CAPITAL MARKETS, INC.

NYSE:UUU
Annual Meeting

of Shareholders

MEETING DATE

11/18/2026
DEF 14A FILED
10/20/2026
PUBLISHED
10/20/2026 8:30 pm
TIME TO PUBLISH
10/22/2026
METHODOLOGY
approve
EXCHANGE NYSE:UUU · CUSIP 913821302 · CLASS Common Stock · CIK 0000102109

RECONCILED · MIXED

Reconciled against the company’s Form 8-K Item 5.07 filed 2026-06-15.

3
FOR
2
AGAINST
1
WITHHOLD
6
BALLOT ITEMS

ITEM-BY-ITEM RECOMMENDATIONS

1
Election of two (2) nominees to serve on Board of Directors as Class I directors
board
Contested
With Hold
Board FOR · Duopoly unknown — ⚠ Divergence flagged

Filing discloses SEC settlement and cease-and-desist order involving nominee Milton C. Ault, III.

Divergence: 1 Review status: Approved. Publication ledger and 8-K reconciliation pending.
2
Ratification of the selection of CBIZ CPAs P.C. as the Company’s independent registered public accounting firm for the fiscal year ending December 31, 2026
auditor
Contested
For
Board FOR · Duopoly unknown — No divergence flagged

Audit committee received CBIZ CPAs P.C. independence disclosures and letter concerning independence.

Divergence: 0 Review status: Approved. Publication ledger and 8-K reconciliation pending.
3
Approval of an amendment of our Articles of Incorporation to authorize 25,000,000 shares of preferred stock and to permit the issuance of those 25,000,000 shares of preferred stock with rights and preferences to be determined by the Company’s Board of Directors from time to time
other
Contested
Against
Board FOR · Duopoly unknown — ⚠ Divergence flagged

Filing states the amendment could delay or prevent a change of control.

Divergence: 1 Review status: Approved. Publication ledger and 8-K reconciliation pending.
4
Approval of an amendment of our Articles of Incorporation to authorize 25,000,000 shares of class B common stock
other
Contested
Against
Board FOR · Duopoly unknown — ⚠ Divergence flagged

Filing states Class B shares would have twenty-five votes each and dilute existing Class A voting power.

Divergence: 1 Review status: Approved. Publication ledger and 8-K reconciliation pending.
5
Approval, for purposes of complying with Rule 713(a) of the NYSE American, of the issuance by the Company of additional shares of common stock underlying the Company’s convertible notes issued or issuable pursuant to the Amended and Restated Securities Purchase Agreement dated October 9, 2026
other
Contested
For
Board FOR · Duopoly unknown — No divergence flagged

Filing states without approval the Company would need alternative repayment methods likely under less favorable terms.

Divergence: 0 Review status: Approved. Publication ledger and 8-K reconciliation pending.
6
Approval of one or more adjournments of the Meeting to later dates or times, if necessary, to permit further solicitation and vote of proxies if, based upon the tabulated vote at the time of the Meeting, there are not sufficient votes to approve other proposals before the Meeting
other
Contested
For
Board FOR · Duopoly unknown — No divergence flagged

Filing states adjournment would permit further solicitation if insufficient votes exist for other proposals.

Divergence: 0 Review status: Approved. Publication ledger and 8-K reconciliation pending.

Ledger

a35981935ee1de877aa816d8d9c800ae5bcc6d01c754dffd7784b54f2290f1d1

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