HCW Biologics Inc

For the period ended Mar 31, 2024. Filed May 15, 2024.

About this filing

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

HCWB$0.95-6.5%Stored close · as of Nov 9, 2026

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Contents

Item 6. Exhibits

The exhibits filed or furnished as part of this Quarterly Report on Form 10-Q are set forth on the Exhibit Index, which Exhibit Index is incorporated herein by reference.

ExhibitNumber · Incorporated by Reference · FiledHerewith
Description · Form · File No. · Exhibit No. · Filing Date
10.1# · Senior Secured Note Purchase Agreement, dated March 28, 2024, by and between the Company and the Purchaser party thereto · X
10.2#	Senior Secured Promissory Note, dated March 28, 2024, by and between the Company and the Holder party thereof	10-K	001-40591	10.18	04/01/2024
10.3#	Pledge Agreement, dated March 28, 2024, by and between the Company, Escrow Agent and Noteholder party thereto	10-K	001-40591	10.19	04/01/2024
10.4#	Escrow Agreement, dated March 28, 2024, by and between the Company, Escrow Agent and Noteholder party thereto	10-K	001-40591	10.20	04/01/2024
10.5#	Form of Subscription Agreement, dated February 20, 2024, by and between the Company and the Subscribers party thereto					X
31.1	Certification of Principal Executive Officer Pursuant to Rules 13a-14(a) and 15d-14(a) under the Securities Exchange Act of 1934, as Adopted Pursuant to Section 302 of the Sarbanes-Oxley Act of 2002.					X
31.2	Certification of Principal Financial Officer Pursuant to Rules 13a-14(a) and 15d-14(a) under the Securities Exchange Act of 1934, as Adopted Pursuant to Section 302 of the Sarbanes-Oxley Act of 2002.					X
32.1*	Certification of Principal Executive Officer Pursuant to 18 U.S.C. Section 1350, as Adopted Pursuant to Section 906 of the Sarbanes-Oxley Act of 2002.					X
32.2*	Certification of Principal Financial Officer Pursuant to 18 U.S.C. Section 1350, as Adopted Pursuant to Section 906 of the Sarbanes-Oxley Act of 2002.					X
101	The following materials from the Company’s Quarterly Report on Form 10-Q for the quarter ended March 31, 2024, formatted in Inline XBRL (eXtensible Business Reporting Language): (i) the Condensed Balance Sheets as of December 31, 2023 and March 31, 2024 (unaudited); (ii) the Condensed Statements of Operations for the three months ended March 31, 2023 (unaudited) and March 31, 2024 (unaudited); (iv) the Condensed Statements of Changes in Stockholders’ Equity for the three months ended March 31, 2023 (unaudited) and March 31, 2024 (unaudited); (v) the Condensed Statements of Cash Flows for the three months ended March 31, 2023 (unaudited) and March 31, 2024 (unaudited); and (vi) the notes to the Condensed Financial Statements (unaudited).					X
104	Cover Page Interactive Data File (formatted as Inline XBRL and contained in Exhibit 101)					X

*	This certification is deemed not filed for purpose of Section 18 of the Exchange Act or otherwise subject to the liability of that section, nor shall it be deemed incorporated by reference into any filing under the Securities Act or the Exchange Act.
#	Certain information in this document has been excluded pursuant to Item 601(a)(5) or (a)(6) of Regulation S-K. The Registrant agrees to furnish supplementally such information to the SEC upon request.

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The text of this filing, as the company filed it with the SEC, without its images or exhibits. This is not investment advice.