Tivic Health Systems Inc
For the period ended Dec 31, 2023. Filed Mar 25, 2024.
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A company's yearly report to the SEC, with audited financial statements. It is the fullest account a company gives of its business, its finances and the risks it sees.
FY2023 · Filed Mar 25, 2024
VBIO$0.53-2.4%Stored close · as of Nov 10, 2026
Extracted filing text, with the paragraph anchors used by the comparison.
See the whole filing, with its images and exhibitsContents
Item 15. – Exhibits, Financial Statement Schedules
ment Schedules
(a)
(1)
Financial Statements. The financial statements are included in this Annual Report on Form 10-K beginning on page F-1.
(2)
Financial Statement Schedules. All financial statement schedules have been omitted since the information is either not applicable or required or was included in the financial statements or notes included in this Annual Report on Form 10-K.
(3)
List of Exhibits required by Item 601 of Regulation S-K. See part (b) below.
(b)
Exhibits. The following exhibits are filed or furnished with this report.
EXHIBIT INDEX
| Exhibitnumber | Exhibit description | Incorporated by Reference (Form Type) | FilingDate | Filedherewith |
| 3.1 | Amended and Restated Certificate of Incorporation, dated November 12, 2021. | 8-K | 11/15/21 | |
| 3.2 | Amended and Restated Bylaws, dated November 12, 2021. | 8-K | 11/15/21 | |
| 3.3 | Certificate of Amendment to the Amended and Restated Bylaws of the Company, dated July 5, 2023. | 8-K | 7/6/2023 | |
| 3.4 | Certificate of Amendment to the Amended and Restated Certificate of Incorporation of Tivic Health Systems, Inc., filed August 21, 2023 (effective August 23, 2023). | 8-K | 8/22/2023 | |
| 4.1 | Specimen Stock Certificate. | S-1A | 9/9/2021 | |
| 4.2 | Form of Representative’s Warrant (IPO). | S-1A | 9/9/2021 | |
| 4.3 | Warrant to Purchase Common Stock issued to Hannover International, Inc., dated July 1, 2021. | S-1A | 10/29/2021 | |
| 4.4 | Description of Securities. | 10-K | 3/31/2022 | |
| 4.5 | Form of Representative's Warrant (February 2023 offering). | 8-K | 2/13/2023 | |
| 4.6 | Placement Agent Warrant, dated July 11, 2023. | 8-K | 7/11/2023 | |
| 4.7 | Placement Agent Warrant, dated July 19, 2023. | 8-K | 7/19/2023 | |
| 4.8 | Placement Agent Warrant, dated August 9, 2023. | 8-K | 8/9/2023 | |
| 10.1(a)# | 2017 Equity Incentive Plan, as amended, dated April 13, 2017. | S-1 | 8/3/2021 | |
| 10.1(b)# | Form Agreements under 2017 Equity Incentive Plan. | S-1 | 8/3/2021 | |
| 10.2(a)# | 2021 Equity Incentive Plan, dated August 7, 2021. | S-1A | 9/9/2021 | |
| 10.2(b)# | Form Agreements under 2021 Equity Incentive Plan. | S-1A | 9/9/2021 |
| 10.3# | Form of Restricted Stock Purchase Agreement. | S-1A | 9/9/2021 | |
| 10.4# | Form of Indemnification Agreement for directors and officers. | S-1A | 9/9/2021 | |
| 10.5† | Letter Agreement, between Tivic Health Systems, Inc. and Future Electronics Corp., dated April 6, 2020. | S-1A | 9/9/2021 | |
| 10.6† | Form of United States Special Product Agreement for Bonded Inventory, between Tivic Health Systems, Inc. and Future Electronics Corp. | S-1A | 9/9/2021 | |
| 10.7# | Executive Offer Letter, between Tivic Health Systems, Inc. and Jennifer Ernst, dated July 31, 2021. | S-1A | 9/9/2021 | |
| 10.8 | Sublease Agreement, between the Company and Czarnowski Display Services, Inc., dated November 17, 2021. | 10-K | 3/31/2022 | |
| 10.9# | Executive Offer Letter, between Tivic Health Systems, Inc. and Veronica Cai, dated April 1, 2022. | 8-K | 4/5/2022 | |
| 10.10# | Executive Offer Letter, between Tivic Health Systems, Inc. and Ryan Sabia, dated April 1, 2022. | 8-K | 4/5/2022 | |
| 10.11† | Manufacturing Agreement, between Tivic Health Systems, Inc. and Microart Services, Inc., dated October 21, 2022. | 8-K | 10/25/2022 | |
| 10.12† | Fulfillment Services Agreement, between Tivic Health Systems, Inc. and ALOM Technologies Corporation, dated November 25, 2022. | 8-K | 12/1/2022 | |
| 10.13 | Form of Securities Purchase Agreement, dated July 10, 2023, by and between Tivic Health Systems, Inc. and the investors party thereto. | 8-K | 7/11/2023 | |
| 10.14 | Form of Securities Purchase Agreement, dated July 14, 2023, by and between Tivic Health Systems, Inc. and the investors party thereto. | 8-K | 7/19/2023 | |
| 10.15 | Form of Securities Purchase Agreement, dated August 6, 2023, by and between Tivic Health Systems, Inc. and the investors party thereto. | 8-K | 8/9/2023 | |
| 10.16 | Amendment #1 to Fulfillment Services Agreement, between Tivic Health Systems, Inc. and ALOM Technologies Corporation, dated March 5, 2024. | X | ||
| 19.1 | Tivic Health Systems, Inc. Insider Trading Policy. | X | ||
| 23.1 | Consent of Rosenberg Rich Baker Berman, P.A. | X | ||
| 31.1 | Certification of Chief Executive Officer pursuant to Securities Exchange Act Rule 13a-14(a)/15d-14(a), as adopted pursuant to Section 302 of the Sarbanes-Oxley Act of 2002 | X | ||
| 31.2 | Certification of Chief Financial Officer pursuant to Securities Exchange Act Rule 13a-14(a)/15d-14(a), as adopted pursuant to Section 302 of the Sarbanes-Oxley Act of 2002 | * | ||
| 32.1 | Certification of Chief Executive Officer and Chief Financial Officer pursuant to 18 U.S.C. Section 1350, as adopted pursuant to Section 906 of the Sarbanes-Oxley Act of 2002 | * |
| 97.1# | Tivic Health Systems, Inc. Compensation Recovery Policy. | X |
| 101 INS | Inline XBRL Instance Document – the instance document does not appear in the Interactive Data File because its XBRL tags are embedded within the Inline XBRL document. | ** |
| 101 SCH | Inline XBRL Taxonomy Extension Schema with Embedded Linkbase Documents | ** |
| 104 | Cover Page Interactive Data File (formatted as Inline XBRL and contained in Exhibit 101 attachments) | ** |
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