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Charlie's Holdings, Inc. CHUC US Equity

Health Care · CIK 1134765 · FY ends Dec 31
$0.24
+0.02 (+8.99%)
USD · as of 2026-08-28 · marketstack

Charlie's Holdings, Inc. (OTC: CHUC), an SEC filer in Medicinal Chemicals & Botanical Products, closed at $0.24, +9.0%, on 2026-08-28, with a market cap of $67M, a trailing P/E of 12.0, a net margin of 21.5% and 3-year sales growth of -7.5%. Institutional ownership, earnings history and filed financials are on the tabs below.

CHUC · 10-K · period ended 2020-12-31

← all CHUC documents
filed 2021-04-05 · EDGAR original ↗

Our rendering of the filing — original pagination and typography are not reproduced, and tables are reduced to their short label cells (the figures live on FA). Nothing is summarized: every line below is the filing's own text.

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ITEM 7.MANAGEMENT’S DISCUSSION AND ANALYSIS OF

FINANCIAL CONDITION AND RESULTS OF OPERATIONS

You should read the following discussion and analysis in

conjunction with our financial statements, including the notes

thereto contained in this Annual Report. This discussion contains

forward-looking statements that involve risks, uncertainties and

assumptions. Our actual results may differ materially from those

anticipated in these forward-looking statements as a result of a

variety of certain factors, including those set forth under

“Risk Factors Associated with Our Business” and

elsewhere in this Annual Report.

Overview

Our objective is to become a significant leader in

the rapidly growing, global e-cigarette segment of the broader

nicotine related products industry. Through Charlie’s, we

formulate, market and distribute branded e-cigarette liquid for use

in both open and closed e-cigarette and vaping systems.

Charlie’s products are mostly produced domestically through

contract manufacturers for sale through select distributors,

specialty retailers and third-party online resellers throughout the

United States, as well as more than 80 countries worldwide.

Charlie’s primary international markets include the United

Kingdom, Italy, Spain, Belgium, Australia, Sweden and Canada. In

June 2019, we launched distribution, through Don Polly, of certain

premium vapor, tincture and topical wellness products containing

hemp-derived cannabidiol (“CBD”) and we currently intend to develop and

launch additional products containing hemp-derived CBD in the

future.

-28-

Table of Contents

Industry Specific Challenges

Beginning in late

2019, our industry experienced significant news stories and health

alerts related to flavored nicotine vaping, leading to some states

banning the sale of flavored nicotine products and causing the Food

and Drug Administration (“FDA”) to review its policies on

controlling the sale of these products. Initial research indicated

that a vitamin E acetate related compound could be causing the

health-related issues. On November 8, 2019, officials at the

Centers for Disease Control and Prevention (“CDC”) reported a breakthrough in

the investigation into the outbreak of vaping-related lung

injuries. The CDC's

principal deputy director, Dr. Anne Schuchat, in fact stated that

"vitamin E acetate is a known additive used to dilute liquid in

e-cigarettes or vaping products that contain THC”,

suggesting the possible culprit for the series of lung

injuries across the U.S. All of Charlie's e-liquid products are

tested by third party laboratories which have confirmed that none

of our products contain any vitamin E acetate orTetrahydrocannabinol

(“THC”).

However,

these developments have had a negative effect on our sales since

mid-September 2019 (see further discussion below) and therefore, in

response to these developments and while government regulators are

formulating future polices, management has adopted the following

plan of operation.

First, we plan to increase the sales of our CBD

related products, including topicals and ingestibles. We feel there

is a significant upside in the CBD space, and we have begun to

focus on numerous vertical markets for the sale of our isolate,

full and broad-spectrum products. These vertical markets include,

but aren't limited to the medical andwellness markets. We have also dedicated an

internal team as well as additional financial resources to increase

direct-to-consumer e-commerce sales of CBD

products.

Secondly,

we continue to see a significant opportunity for sales growth in

international markets for our e-liquid and other vapor products.

Presently, approximately 20% of our vapor product sales come from

the international market and we are well positioned to increase

those sales in the countries that we presently sell, and in

additional overseas markets, as we have already built an

international distribution platform.

Most

importantly, we feel that the e-liquid and other vapor products

will continue to be a significant growth opportunity, once all the

rightful regulatory changes have been made. We are continuing with

our plan to obtain marketing authorization for certain of our

products through the completion of a Premarket Tobacco Application

("PMTA"), which we

submitted in September 2020. Obtaining a marketing order from the

United States Food and Drug Administration (“FDA”) would, in our opinion, help to

remediate the disruption caused by any perceived health issues

related to vaping, and further position the Company as a trusted,

industry leader. We feel that a significant amount of our

competitors will not have the resources and/or expertise to

complete the extensive and costly PMTA process and that once

complete, we will be able to benefit from being one of only a

select group of companies operating in the flavored vapor products

space.

Impact of COVID-19

The outbreak of a novel strain of COVID-19

(“Coronavirus”) which was identified in Wuhan, China

around December 2019, has had a negative impact on the global

economy and the markets in which we operate. Beginning in March

2020, the Company transitioned nearly all employees to a remote

working environment for their safety and to protect the integrity

of Company operations. We have updated certain sales, accounting

and administrative processes, and corresponding information

technology platforms, in an effort to help facilitate the virtual

work environment in which we now operate. During 2020, we engaged

in periodic, informal testing of our business operations, and we do

not believe that our financial position, work efficiency and

overall operational integrity have been materially affected.

However, we recognize that a certain degree of employee enthusiasm,

teamwork, creativity, and support is normally generated by being

present at a physical location, and we believe that prolonged

remote working may have a negative impact over time on our

business, and on employee productivity. Our Denver, CO office and

Huntington Beach, CA warehouse locations have fully returned to on

premise status, while our corporate headquarters in Costa Mesa, CA

remains remote for most employees. We will continue to monitor the

COVID-19 situation in all regions we operate and will maintain

strict adherence to local health guidelines and mandates. We may

have to take further actions that we determine are in the best

interests of our employees or as required by federal, state, or

local authorities.

Supply Chain

Our

ability to manufacture products is dependent on the availability of

certain raw materials and components that our contract

manufacturers purchase from Europe and China. In February 2020, we

started to experience disruptions across several key areas of our

global supply chain. Our domestic and international contract

manufacturers source many of our high-quality flavorings from

suppliers located in Italy, a region that was severely affected by

COVID-19-related restrictions throughout most of 2020. Mandated

stay-at-home orders in this region ultimately caused increased

manufacturing lead times and delayed customer order deliveries for

certain of our products, resulting in revenue

declines.

We

have been successful in mitigating some of the supply chain risks

though bulk purchases of certain flavorings and components and

adjusting the production allocation amongst our contract

manufacturers. Shifting production to contract manufacturers in

regions with fewer restrictions and/or an enhanced ability to

procure larger supplies of raw materials has helped alleviate

disruptions in our supply chain.

If a

resurgence of COVID-19 and associated shutdowns were to occur in

Europe or China, this would likely have an adverse effect on our

ability to manufacture and sell our products due to related

shortages of materials and components. Depending on the severity of

any such future shutdowns, we could experience a materially

diminished ability to produce products and be exposed to

significantly longer lead times. This would result in delayed or

reduced revenue from the affected products in production and

potentially higher operating costs.

-29-

Table of Contents

Sales and Marketing

Our

sales and marketing efforts have also been affected by COVID-19.

Most of our sales through Charlie’s and Don Polly are to

resellers of our products, typically distributors or brick and

mortar retail locations. Stay-at-home mandates across the U.S. and

internationally created a significant challenge for these customers

to maintain continuity in their businesses, and therefore we

experienced lower sales volumes as a result. However, customers for

our vapor products have proven to be more resilient during these

challenging times and have been able to maintain more consistent

performance. The Company did experience increased order volume for

CBD wellness products through its ecommerce platform because of

consumers seeking alternative means to purchase our

products.

Historically, most

of our business-to-business sales and marketing efforts have been

generated through industry events in both the vapor products and

hemp-derived products spaces. Beginning in 2019, we also initiated

a program of in-store marketing events to help facilitate

relationship building and sell-through for our retail partners.

With the suspension of all trade shows and most business travel,

our new customer pipeline has been negatively impacted, which has

negatively affected and may continue to negatively affect our sales

in the coming quarters. In response, we have shifted our focus to

digital marketing campaigns aimed at customer engagement and

education. We also continue to allocate additional resources

towards certain key distributors and retail partners that are

better positioned to interact directly with our consumers and

continue growing our brands.

Risks and Uncertainties

The

Company operates in an environment that is subject to rapid changes

and developments in laws and regulations that could have a

significant impact on the Company’s ability to sell its

products. Federal, state, and local governmental bodies across the

United States have indicated that flavored e-cigarette liquid,

vaporization products and certain other consumption accessories may

become subject to new laws and regulations at the federal, state

and local levels. Beginning in September 2019, certain states

temporarily banned the sale of flavored e-cigarettes, and on

January 2, 2020, the FDA issued an enforcement policy effectively

banning the sale of flavored cartridge-based e-cigarettes marketed

primarily by large manufacturers without prior authorization from

the FDA. The application of any new laws or regulations that may be

adopted in the future, at a federal, state, or local level,

directly or indirectly implicating flavored e-cigarette liquid and

products used for the vaporization of nicotine could significantly

limit the Company’s ability to sell such products, result in

additional compliance expenses, and/or require the Company to

change its labeling and/or methods of distribution. Any ban of the

sale of flavored e-cigarettes directly limits the markets in which

the Company may sell its products. In the event the prevalence of

such bans and/or changes in laws and regulations increase across

the United States, or internationally, the Company’s

business, results of operations and financial condition could be

adversely impacted. In addition, the

Company is presently seeking to obtain marketing authorization for

certain of its nicotine-based e-liquid products. Our PMTA

applications were submitted in September 2020 on a timely basis,

which if approved, will allow the Company to continue to sell its

products in the United States. The Company is also seeking

additional financing to support potential future PMTA related

expenses and general working capital. There is no assurance that

regulatory approval to sell our products will be granted or that we

can raise the additional financing required, and if not, this could

have a significant impact on our sales.

On

March 11, 2020, the World Health Organization designated the

ongoing and evolving COVID-19 outbreak as a pandemic. The outbreak

has caused substantial disruption in international and U.S.

economies and markets as it continues to spread. The outbreak is

having a temporary adverse impact on our industry as well as our

business, with regards to certain supply chain disruptions and

sales volume. While the disruption from COVID-19 is currently

expected to be temporary, there is uncertainty around the

duration.

Recent Developments

Share Exchange

On April 26, 2019 (the “Closing

Date”), we entered into a

Securities Exchange Agreement with each of the former members

(“Members”) of Charlie’s, and certain direct

investors in the Company (“Direct

Investors”), pursuant to

which we acquired all outstanding membership interests of

Charlie’s beneficially owned by the Members in exchange for

the issuance by the Company of units, with such units consisting of

an aggregate of (i) 15,655,538,349 shares of common stock on an

as-converted basis (which includes the issuance of an aggregate of

1,396,305 shares of a newly created class of Series B Convertible

Preferred Stock, par value $0.001 per share

(“Series B

Preferred”), convertible

into an aggregate of 13,963,047,716 shares of common stock, issued

to certain individuals in lieu of common stock); (ii) 206,249

shares of a newly created class of Series A Convertible Preferred

Stock, par value $0.001 per share (“Series A

Preferred”), convertible

into an aggregate of 4,654,349,239 shares of common stock; and

(iii) warrants to purchase an aggregate of 3,102,899,493 shares of

common stock (the “Investor

Warrants”) (the

“ShareExchange”). As a result of the Share Exchange,

Charlie’s became a wholly owned subsidiary of the

Company.

Immediately prior to, and in connection with, the

Share Exchange, Charlie’s consummated a private offering of

membership interests that resulted in gross proceeds to

Charlie’s of approximately $27.5 million (the

“Charlie’s

Financing”). Katalyst

Securities LLC (“Katalyst”) acted as the sole placement agent in

connection with the Charlie’s Financing pursuant to an

Engagement Letter entered into by and between Katalyst,

Charlie’s and the Company on February 15, 2019, which was

amended on April 16, 2019 (“Amended Engagement

Letter”). As

consideration for its services in connection with the

Charlie’s Financing and Share Exchange, the Company issued to

Katalyst and its designees five-year warrants to purchase an

aggregate of 930,869,848 shares of common stock at a price of

$0.0044313 per share (the “Placement Agent

Warrants”). The Placement

Agent Warrants have substantially the same terms as those set forth

in the Investor Warrants.

-30-

Table of Contents

As additional consideration for advisory services

provided in connection with the Charlie’s Financing and the

Share Exchange, the Company issued an aggregate of 902.7 million

shares of Common Stock (the “Advisory

Shares”), including to a

member of the Company’s Board of Directors, pursuant to a

subscription agreement. The fair value of a share of common stock

was $0.0032 which is based upon a valuation prepared by the Company

on the date of the Share Exchange.

The Share Exchange resulted in a change of control of the Company,

with the Members and Direct Investors owning approximately 86.1% of

the Company’s outstanding voting securities immediately after

the Share Exchange, and the Company’s current stockholders

beneficially owning approximately 13.9% of the issued and

outstanding voting securities, which includes the Advisory Shares.

Following the Share Exchange, Ryan Stump and Brandon Stump, the

founders of Charlie’s and the Company’s Chief Executive

Officer and Chief Operating Officer, respectively, held in excess

of 50% of the Company’s issued and outstanding voting

securities.

Following

the consummation of the Share Exchange, the business operations of

the Company consist of those of Charlie’s, which is

principally engaged in formulating, marketing and distributing

branded e-cigarette liquid and other products for use in

nicotine-only e-cigarette and vaping systems.

Launch of CBD Products

In

June 2019, we introduced, through Don Polly, full-spectrum hemp

extract and CBD isolate wellness products across a variety of

formats and with different strengths. Our initial launch consisted

of six vapor, eight tincture and two topical product variations.

The newly released products were launched under the

PachamamaTM brand by way of a licensing agreement between Don

Polly and Charlie’s, entered on April 25, 2019. In the near

term, we expect to expand the hemp-derived CBD-based products line

to include additional CBD isolate products and THC-free, broad

spectrum hemp extract products currently in

development.

PachamamaTM

CBD products are currently available in the U.S., Mexico, U.K.,

Switzerland and Australia, and we expect to continue expanding both

our domestic and international distribution efforts.

Filing of Amended and Restated Charter; Automatic Conversion of

Series B Preferred

On June 28, 2019, we amended and restated our

Articles of Incorporation (the “Amended and Restated

Charter”) to (i) change

our corporate name to Charlie’s Holdings, Inc. and (ii)

increase the number of shares authorized as common stock from 7.0

billion to 50.0 billion shares. The Amended and Restated Charter

was approved by our Board of Directors and holders of a majority of

our outstanding voting securities on May 8, 2019, and the Amended

and Restated Charter was filed with the State of Nevada on June 28,

2019.

As

a result of the filing of the Amended and Restated Charter and the

increase of our authorized common stock to 50.0 billion shares,

all 1,396,305 outstanding shares of Series B Preferred

automatically converted into a total of 13,963,047,716 shares of

common stock in accordance with the Certificate of

Designations, Preferences and Rights of the Series B Convertible

Preferred Stock.

Default on Payment of Dividend

The

Company was required to pay a one-time dividend equal to eight

percent (8%) of the stated value of its Series A Preferred, equal

to $1,650,000 (“Dividend

Amount”), which Dividend Amount was required to be

paid in cash on or before April 25, 2020. The Company failed to pay

the required dividend and has requested that holders of more than

50% of the Series A Preferred issued and outstanding

(“Required

Holders”) consent to an amendment to the Series A

Preferred to allow the Company to pay such Dividend Amount in

shares of the Company’s Common Stock. To date, the Company

has not obtained such consent from the Required Holders. In the

event the Company is unable to obtain consents from the Required

Holders to pay the Dividend Amount in shares of Common Stock in

lieu of cash, or does not otherwise pay such Dividend Amount in

cash or obtain a waiver, any claims asserted by the holders of the

Series A Preferred could have a material adverse effect on the

Company’s financial condition.

-31-

Table of Contents

On

August 13, 2020, the Company received a formal notice of default

from a holder of its Series A Preferred requesting full payment of

dividends due and payable with respect to the Series A Preferred

held by such holder on or before August 23, 2020

(“Dividend

Default”). As disclosed, the aggregate amount of

dividends due and payable to holders of the Series A Preferred is

$1,650,000.

Small Business Administration Loan Programs

On April 30, 2020,

Charlie's, a wholly owned subsidiary of the Company, received

approval to enter into a U.S. Small Business Administration

("SBA")

Promissory Note (the "Charlie's

PPP Loan") with TBK Bank, SSB

(the "SBA

Lender"), pursuant to the

Paycheck Protection Program ("PPP")

of the Coronavirus Aid, Relief, and Economic Security Act (the

"CARES

Act") as administered by

the SBA (the "PPP

Loan Agreement").

The Charlie's PPP Loan provides for working capital to CCD in the

amount of $650,761. The Charlie's PPP Loan will mature on April 30,

2022 and will accrue interest at a rate of 1.00% per annum.

Payments of principal and interest will be deferred for six months

from the date of the Charlie's PPP Loan, or until November 30,

2020. Interest, however, will continue to accrue during this

time.

On April 14, 2020, Don

Polly also obtained a loan pursuant to the PPP enacted under the

CARES Act (the "Polly

PPP Loan" and together with the

Charlie's PPP Loan, the "PPP

Loans")) from Community

Banks of Colorado, a division of NBH Bank (the "Polly

Lender"). The Polly PPP Loan

obtained by Don Polly provides for working capital to Don Polly in

the amount of $215,600. The Polly PPP Loan will mature on April 14,

2022 and will accrue interest at a rate of 1.00% per annum.

Payments of principal and interest will be deferred for six months

from the date of the Polly PPP Loan, or until November 14, 2020.

Interest, however, will continue to accrue during this

time.

The aforementioned PPP Loans were made under the PPP enacted by

Congress under the CARES Act. The CARES Act (including the guidance

issued by SBA and U.S. Department of the Treasury) provides that

all or a portion of the PPP Loans may be forgiven upon request from

the respective borrower to the SBA Lender or the Polly Lender, as

the case may be, subject to requirements in the PPP Loans and under

the CARES Act.

On

February 19, 2021 Don Polly received notice from the Polly Lender,

that its PPP Loan was fully repaid, and its promissory note was

cancelled as a result of the loan forgiveness process set forth by

the U.S. Small Business Administration. There is no further action

required on the part of Don Polly to satisfy this

liability.

On June 24, 2020, SBA

authorized (under Section 7(b) of the Small Business Act, as

amended) an Economic Injury Disaster Loan

(“EID

Loan”) to Don Polly

in the amount of $150,000. Installment payments, including

principal and interest of $731 monthly will begin twelve months

from date of the EID Loan. The balance of principal and interest

will be payable thirty years from the date of the EID Loan and

interest will accrue at the rate of 3.75% per

annum.

PMTA Submission

During

the quarter ended September 30, 2020, the United States Food and

Drug Administration's ("FDA") Center for Tobacco Products

informed us that our PMTA has received a valid submission tracking

number, passed the FDA’s filing review phase, and recently

entered the substantive review phase. To date, Charlie’s has

invested over $4.4 million for our initial PMTA submission. We

engaged a team of more than 200 professionals, including doctors,

scientists, biostatisticians, data analysts, and numerous contract

research organizations to create our comprehensive PMTA submission.

This news highlights our progress toward achieving full regulatory

compliance and our goal of providing customers with a trusted

product portfolio. We are confident that during the substantive

review phase of the PMTA process, the FDA will recognize that our

submission is both distinguished and suitable for

approval.

Red Beard Holdings, LLC Note Payable

On

April 1, 2020, the Company, Charlie's and its VIE, Don Polly,

issued a secured promissory note (the "Red Beard Note") to one of the

Company's largest stockholders, Red Beard Holdings, LLC

("Red Beard") in the

principal amount of $750,000 (the "Principal Amount"), which Note is

secured by all assets of the Company pursuant to the terms of a

Security Agreement entered into by and between the Company and Red

Beard (the "Red Beard Note

Financing").

The Red

Beard Note required the payment of the Principal Amount and

guaranteed minimum interest in the amount of $75,000 on or before

the earlier date of (i) a Liquidity Event, as defined under the

terms of the Red Beard Note; or (ii) October 1, 2020. In addition, if there

was an occurrence of an event of default, then, in addition to the

guaranteed minimum interest, the Principal Amount and unpaid

interest and unpaid other amounts under the Red Beard Note shall,

at the election of the Red Beard in its sole and absolute

discretion, bear interest at the lesser of a rate equal to 20% per

annum or the maximum default rate. Such interest would accrue daily

commencing on occurrence of such event of default until payment in

full of the Principal Amount, together with all accrued and unpaid

interest and other amounts which may become due hereunder, has been

made.

-32-

Table of Contents

On

August 27, 2020, the Company’s Board of Directors, entered

into Amendment No. 1 to Secured Promissory Note and Security

Agreement (“Amended Red

Beard Note”), by and between the Company and Red

Beard. Pursuant to the Amended Red Beard Note, the terms of the Red

Beard Note held by Red Beard were amended as follows (i) the

Principal Amount under the Red Beard Note was increased from

$750,000 to $1,400,000 and (ii) the guaranteed minimum interest due

upon maturity of the Red Beard Note was increased from $75,000 to

$100,000. All other terms of the respective Red Beard Note remain

in full force and effect.

On

September 30, 2020, the Company’s Board of Directors entered

into Amendment No. 2 to Secured Promissory Note and Security

Agreement (“Second Amended

Red Beard Note”), by and between the Company and Red

Beard. The Red Beard Note, as amended by Amendment 1, was further

amended by the Second Amended Red Beard Note to amend the

definition of the “Maturity Date” in the Red Beard Note

to mean November 1, 2020.

On

October 29, 2020, the Company entered into Amendment No. 3

("Third Amended Red Beard

Note"), by and between the Company and Red Beard. The terms

of the Second Amended Red Beard Note held by Red Beard have been

amended to revise the maturity date from November 1, 2020 to

December 1, 2020. Furthermore, Red Beard has agreed to waive

certain rights upon the occurrence of an Event of Default, as

defined in the Amended Red Beard Note, which was triggered by the

Company’s receipt of that certain notice of default, dated

August 13, 2020, from certain holders of the Company’s Series

A Preferred.

On

December 1, 2020, the Company entered into Amendment No. 4 to

Secured Promissory Note and Security Agreement (“Fourth Amended Red Beard Note”),

by and between the Company and Red Beard. The Fourth Amended Red

Beard Note was retroactively effective as of December 1, 2020,

therefore avoiding an event of default. The terms of the Third

Amended Red Beard Note have been amended to revise the maturity

date from December 1, 2020 to January 1, 2021, and the guaranteed

minimum interest has been increased from $100,000 to

$125,000.

On

January 19, 2021, the Company entered into Amendment No. 5 to

Secured Promissory Note and Security Agreement (“Fifth Amended Red Beard

Note”), by and between the Company and Red Beard. The

Fifth Amended Note is retroactively effective as of January 1,

2020. The terms of the Amended Note held by Red Beard have been

amended to revise the maturity date from January 1, 2021 to

February 15, 2021, and the guaranteed minimum interest has been

increased from $125,000 to $150,000. Pursuant to the Fifth Amended

Red Beard Note, Red Beard agreed to waive its rights to declare a

default under the Red Beard Note due to the Dividend

Default.

On

March 24, 2021, the Company and Red Beard entered into a

Satisfaction and Release (the "Red

Beard Release"), pursuant to which the Company made a

payment to Red Beard in the amount of $1.55 million in exchange for

an acknowledgment of satisfaction and full release of the Company

by Red Beard from liability and obligations arising under the Red

Beard Note.

Basis of Presentation

The consolidated financial statements contained

within this Annual Report and the disclosure in this

Management’s Discussion and Analysis of Financial Condition

and Results of Operations with respect to the years ended December

31, 2020 and 2019 have been prepared pursuant to the rules and

regulations of the Securities and Exchange Commission (the

“SEC”). In the opinion of the Company, all

adjustments, including normal recurring adjustments necessary to

present fairly the financial position, results of operations, and

cash flows of the Company for the interim period have been

included.

The

Share Exchange is accounted for as a reverse recapitalization under

U.S. GAAP because the primary assets of the Company were nominal

following the close of the Share Exchange. Charlie’s was

determined to be the accounting acquirer based upon the terms of

the Share Exchange and other factors including: (i) Charlie’s

stockholders and other persons holding securities convertible,

exercisable or exchangeable directly or indirectly for

Charlie’s membership units now own approximately 32%, on a

fully diluted basis, of the Company’s outstanding securities

immediately following the effective time of the Share Exchange,

(ii) individuals associated with Charlie’s now hold a

majority of the seats on the Company’s Board of Directors and

(iii) Charlie’s management holds all key positions in the

management of the combined Company.

The

disclosures in this Annual Report with respect to the years ended

December 31, 2020 and 2019, including the consolidated financial

statements contained herein, are based on Charlie’s

historical financial statements and the Company’s financial

activity beginning April 26, 2019, as adjusted, to give effect to

Charlie’s reverse recapitalization of the Company and the

Charlie’s Financing. In addition, from the period April 26,

2019 until December 2020, there were minimal costs and revenue

associated with the Bazi product line which are included in the

consolidated financial statements. We do not intend to continue to

produce and sell the Bazi product line, and these costs and

expenses are nominal and will continue to be so in the future. The

operating results of Don Polly for the year ended December 31, 2020

are also included.

-33-

Table of Contents

Historical

financial information presented prior to April 26, 2019 is that of

Charlie’s only, while financial information presented after

April 26, 2019 includes Charlie’s, Don Polly, Bazi Drinks and

the Company, which includes the transactions associated with the

Share Exchange and Charlie’s Financing completed prior to the

Share Exchange, along with ongoing corporate costs.

Results of Operations for the Year Ended December 31, 2020 Compared

to the Year Ended December 31, 2019

For the years ended

December 31, Change

($ in thousands)

Revenues:

Source: SEC EDGAR (public domain) · 10-K for the period ended 2020-12-31, filed 2021-04-05 · accession 0001654954-21-003838

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