Tivic Health Systems Inc
For the period ended Mar 31, 2024. Filed May 15, 2024.
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A company's report for each of its first three quarters. The financial statements are not audited. It shows how the business has moved since the last annual report, and what management says changed.
Mar 31, 2024 · Filed May 15, 2024
VBIO$0.54+6.2%Stored close · as of Nov 9, 2026
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Item 6. Exhibits
| Exhibit Number | Exhibit description | Incorporatedby Reference(Form Type) | Filing Date | Filed herewith |
| 3.1 | Amended and Restated Certificate of Incorporation, dated November 12, 2021. | 8-K | 11/15/2021 | |
| 3.2 | Amended and Restated Bylaws, dated November 12, 2021. | 8-K | 11/15/2021 | |
| 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-1/A | 9/9/2021 | |
| 4.2 | Form of Representative’s Warrant (IPO). | S-1/A | 9/9/2021 | |
| 4.3 | Warrant to Purchase Common Stock issued to Hannover International, Inc., dated July 1, 2021. | S-1/A | 10/29/2021 | |
| 4.4 | Form of Representative's Warrant (February 2023 Offering). | 8-K | 2/13/2023 | |
| 4.5 | Placement Agent Warrant, dated July 11, 2023. | 8-K | 7/11/2023 | |
| 4.6 | Placement Agent Warrant, dated July 19, 2023. | 8-K | 7/19/2023 | |
| 4.7 | Placement Agent Warrant, dated August 9, 2023. | 8-K | 8/9/2023 | |
| 4.8 | Form of Series A Warrant, dated May 13, 2024. | 8-K | 5/13/2024 | |
| 4.9 | Form of Series B Warrant, dated May 13, 2024. | 8-K | 5/13/2024 | |
| 4.10 | Placement Agent Warrant, dated May 13, 2024. | 8-K | 5/13/2024 | |
| 4.11 | Warrant Agency Agreement, dated May 13, 2024, by and between Tivic Health Systems, Inc. and Equiniti Trust Company, LLC. | 8-K | 5/13/2024 | |
| 10.1 | Form of Securities Purchase Agreement, dated May 9, 024 by and between Tivic Health Systems, Inc. and the investors party thereto. | 8-K | 5/13/2024 | |
| 10.2 | Placement Agency Agreement, dated May 9, 2024, by and between Tivic Health Systems, Inc. and Maxim Group LLC. | 8-K | 5/13/2024 | |
| 31.1 | Certification of Chief Executive Officer pursuant to Rule 13a-14(a) and Rule 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 Rule 13a-14(a) and Rule 15d-14(a), as adopted pursuant to Section 302 of the Sarbanes-Oxley Act of 2002. | X | ||
| 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. | * | ||
| 101.INS | Inline XBRL Instance Document. | ** | ||
| 101.SCH | Inline XBRL Taxonomy Extension Schema With Embedded Linkbase Documents. | ** | ||
| 104 | Cover Page Interactive Data File – the cover page interactive data file does not appear in the Interactive Data File because its XBRL tags are embedded within the Inline XBRL document. | ** | ||
| * | Furnished herewith. |
|---|---|
| ** | The XBRL related information in Exhibit 101 shall not be deemed “filed” for purposes of Section 18 of the Securities Exchange Act of 1934, as amended, or otherwise subject to liability of that section and shall not be incorporated by reference into any filing or other document pursuant to the Securities Act of 1933, as amended, except as shall be expressly set forth by specific reference in such filing or document. |
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