HCW Biologics Inc.
For the period ended Sep 30, 2025. Filed Nov 14, 2025.
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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.
Sep 30, 2025 · Filed Nov 14, 2025
HCWB$0.95-6.5%Stored close · as of Nov 9, 2026
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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 | Equity Purchase Agreement, dated February 20, 2025, between the Company and Square Gate Master Fund - Series 4. | 8-K | 011-40591 | 10.1 | 02/21/2025 | |
| 10.2 | Registration Rights Agreement, dated February 20, 2025, between the Company and Square Gate Master Fund - Series 4 | 8-K | 011-40591 | 10.2 | 02/21/2025 | |
| 10.3 | Definitive Proxy Statement dated February 21, 2025, on Form 14A, including Appendices | 10-K | 011-40591 | 10.35 | 03/28/2025 | |
| 10.4 | Form of Promissory Note, dated May 8, 2025, between the Company and Holder | 10-Q | 011-40591 | 10.4 | 05/15/2025 | |
| 10.5 | Form of Guaranty and Pledge Agreement, dated May 8, 2025, between the Dr. Hing C. Wong and Lender | 10-Q | 011-40591 | 10.5 | 05/15/2025 | |
| 10.6 | Form of Unsecured Convertible Promissory Note, dated May 5, 2025, between the Company and Holder | 10-Q | 011-40591 | 10.6 | 05/15/2025 | |
| 10.7 | Form of Placement Agency Agreement, dated May 13, 2025, between Company and Maxim Group LLC | 8-K | 011-40591 | 10.1 | 05/15/2025 | |
| 10.8 | Form of Securities Purchase Agreement, dated May 13, 2025, between the Company and Purchaser | 8-K | 011-40591 | 10.2 | 05/15/2025 | |
| 10.9 | Form of Pre-Funded Warrant Purchase Warrant | 8-K | 011-40591 | 4.2 | 05/15/2025 | |
| 10.10 | Form of Common Stock Purchase Warrant | 8-K | 011-40591 | 4.1 | 05/15/2025 | |
| 10.11 | Form of Common Stock Warrant, original issue date November 20, 2024, between Company and Holder, as amended | 8-K | 011-40591 | 4.3 | 05/15/2025 | |
| 10.12 | Second Amendment to Amended and Restated Senior Secured Note Purchase Agreement and Related Agreements, dated May 1, 2025, between Company and Holder | 10-Q | 011-40591 | 10.12 | 08/18/2025 | |
| 10.13 | Form of Common Stock Warrant, dated May 7, 2025, between Company and Holder | 10-Q | 011-40591 | 10.13 | 08/18/2025 | |
| 10.14 | Letter Agreement to the License, Research and Co-Development Agreement, dated March 17, 2025, between Company and WY Biotech Co. Ltd. | 10-Q | 011-40591 | 10.14 | 08/18/2025 | |
| 10.15 | Confirmation of Letter of Acceptance of Deliverable from Company by WY Biotech Co. Ltd., dated May 30, 2025 | 10-Q | 011-40591 | 10.15 | 08/18/2025 | |
| 10.16 | Second Letter Agreement to the License, Research and Co-Development Agreement, dated July 13, 2025, between Company and WY Biotech Co. Ltd. | 10-Q | 011-40591 | 10.16 | 08/18/2025 | |
| 10.17 | Exclusive License Agreement 12-month Suspension, dated May 29, 2025, between the Company and Wugen, Inc. | 10-Q | 011-40591 | 10.17 | 08/18/2025 | |
| 10.18 | First Amendment to the Equity Purchase Agreement, dated August 14, 2025, between the Company and Square Gate Master Fund – Series 4. | 8-K | 011-40591 | 10.1 | 08/15/2025 | |
| 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 September 30, 2025, formatted in Inline XBRL (eXtensible Business Reporting Language): (i) the Condensed Balance Sheets as of December 31, 2024 and September 30, 2025 (unaudited); (ii) the Condensed Statements of Operations for the three and nine months ended September 30, 2024 (unaudited) and September 30, 2025 (unaudited); (iv) the Condensed Statements of Changes in Stockholders’ Equity for the three and nine months ended September 30, 2024 (unaudited) and September 30, 2025 (unaudited); (v) the Condensed Statements of Cash Flows for the nine months ended September 30, 2024 (unaudited) and September 30, 2025 (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. |
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