HeartBeam, Inc.
For the period ended Dec 31, 2025. Filed Mar 12, 2026.
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FY2025 · Filed Mar 12, 2026
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Item 15. Exhibits, Financial Statement Schedules
Item 15. Exhibits and Finan cial Statement Schedules
| Exhibit · Incorporated by Reference · Filed or Furnished | ||||
|---|---|---|---|---|
| Number · Exhibit Description · Form · Exhibit · Filing Date · Herewith | ||||
| 3.1 | Articles of Incorporation filed with the State of Delaware on June 11, 2015 | S-1 | 3.1 | 09/07/2021 |
| 3.2 | Bylaws | S-1 | 3.2 | 09/07/2021 |
| 3.3 | Amendment to Articles of Incorporation filed with the State of Delaware on September 27, 2021 | S-1 | 3.3 | 09/07/2021 |
| 3.4 | Second Amended and Restated Articles of Incorporation dated November 15, 2022 | S-1 | 3.4 | 02/10/2023 |
| 4.1 | Form of Representative’s Warrant | S-1/A | 4.13 | 11/09/2021 |
| 4.2 | Form of Warrant Agency Agreement | S-1/A | 4.14 | 11/09/2021 |
| 4.3 | Form of Placement Agent’s Warrant | S-1/A | 4.13 | 04/17/2023 |
| 4.4 | Form of Indenture | S-3/A | 4.1 | 02/02/2023 |
| 10.1 | Employment Agreement with Richard Brounstein † | S-1/A | 10.2 | 10/12/2021 |
| 10.2 | Employment Agreement with Ken Persen † | 8-K | 10.2 | 08/08/2022 |
| 10.3 | Employment Agreement with Timothy Cruickshank † | 8-K | 10.2 | 09/10/2024 |
| 10.4 | Employment Agreement with Robert Eno † | 8-K | 10.1 | 10/22/2024 |
| 10.5 | Employment Agreement with Branislav Vajdic † | 8-K | 10.2 | 10/22/2024 |
| 10.6 | Stock Purchase Agreement, dated February 18, 2022 by and between HeartBeam, Inc. and the Purchaser with the Form of Warrant | 8-K | 10.1 | 02/22/2022 |
| 10.7 | Form of Professional Services Agreement between Triple Ring and HeartBeam, Inc. dated March 7, 2022 | 8-K | 10.1 | 03/10/2022 |
| 10.8 | Partnership Agreement between HeartBeam, Inc. and LIVMOR, Inc. dated January 31, 2022 | 8-K | 10.1 | 02/02/2022 |
| 10.9 | Supplemental Agreement between HeartBeam, Inc. and LIVMOR, Inc. dated August 2, 2022 | 8-K | 10.1 | 08/08/2022 |
| 10.10 | Securities Purchase Agreement dated February 28, 2023 between HeartBeam Inc. and Investors | 8-K | 10.1 | 03/03/2023 |
| 10.11 | Note Purchase Agreement dated February 28, 2023 between HeartBeam Inc. and Investors | 8-K | 10.1 | 03/03/2023 |
| 10.12 | First Amendment to Securities Purchase Agreement dated March 7, 2023 to the Securities Purchase Agreement dated February 28, 2023 between HeartBeam, Inc. and Investors | 8-K | 10.1 | 03/09/2023 |
| 10.13 | First Amendment to Note Purchase Agreement dated March 7, 2023 to the Note Purchase Agreement dated February 28, 2023 between HeartBeam, Inc. and Investors | 8-K | 10.2 | 03/09/2023 |
| 10.14 | Form of Subscription Agreement | S-1/A | 10.16 | 04/10/2023 |
| 10.15 | Form of Escrow Agreement for the Offering | S-1/A | 10.17 | 04/10/2023 |
| 10.16 | Form of Securities Purchase Agreement dated as of May 2, 2023 between HeartBeam, Inc. and Investor | 8-K | 10.1 | 05/05/2023 |
| 10.17 | 2022 Equity Incentive Plan | 8-K | 10.1 | 06/16/2022 |
| 10.18 | First Amendment to the HeartBeam, Inc. 2022 Equity Incentive Plan | 8-K | 10.1 | 07/11/2023 |
| 10.19 | Second Amendment to the HeartBeam, Inc. 2022 Equity Incentive Plan | 8-K | 10.1 | 06/18/2024 |
| 10.20 | Third Amendment to the HeartBeam, Inc. 2022 Equity Incentive Plan | 8-K | 10.1 | 07/16/2025 | |
| 10.21 | ATM Sales Agreement with Public Ventures, LLC | 8-K | 10.1 | 05/02/2024 | |
| 10.22 | Employment Agreement with Timothy Cruickshank, dated August 27, 2024 | 8-K | 10.2 | 9/10/2024 | |
| 10.23 | HeartBeam Branislav Vajdic Employment Agreement, dated October 17, 2024 | 8-K | 10.2 | 10/23/2024 | |
| 10.24 | HeartBeam Rob Eno Employment Agreement, dated October 15, 2024 | 8-K | 10.1 | 10/23/2024 | |
| 14.1 | Code of Business and Ethics | 10-K | 14.1 | 03/16/2023 | |
| 23.1 | Consent of Marcum LLP Independent Registered Public Accounting Firm | X | |||
| 23.2 | Consent of CBIZ CPAs P.C. Independent Registered Public Accounting Firm | X | |||
| 24.1 | Power of Attorney * | X | |||
| 31.1 | Certification of Chief Executive Officer Required by Rule 13a-14(a) of the Securities Exchange Act of 1934, as amended, as Adopted Pursuant to Section 302 of the Sarbanes-Oxley Act of 2002 | X | |||
| 31.2 | Certification of the Chief Financial Officer Required by Rule 13a-14(a) of the Securities Exchange Act of 1934, as amended, as Adopted Pursuant to Section 302 of the Sarbanes-Oxley Act of 2002 | X | |||
| 32.1 | Certification of Chief 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 Chief Financial Officer Pursuant to 18 U.S.C. Section 1350, as Adopted Pursuant to Section 906 of the Sarbanes-Oxley Act of 2002 # | X | |||
| 97.1 | HeartBeam, Inc. Compensation Recovery Policy | X | |||
| 101.INS | XBRL Instance Document+ | X | |||
| 101.SCH | Inline XBRL Taxonomy Extension Schema With Embedded Linkbase Documents | X | |||
| 104 | Cover Page Interactive Data File - The cover page iXBRL tags are embedded within the inline XBRL document. | X | |||
†Management or compensatory plan or arrangement.
#This certification is being furnished and shall not be deemed “filed” with the SEC for purposes of Section 18 of the Exchange Act, or otherwise subject to the liability of that section, and shall not be deemed to be incorporated by reference into any filing under the Securities Act or the Exchange Act, except to the extent that the registrant specifically incorporates it by reference.
+Pursuant to Rule 406T of Regulation S-T, the Interactive Data Files in Exhibit 101 hereto are deemed not filed or part of a registration statement or prospectus for purposes of Sections 11 or 12 of the Securities Act of 1933, as amended, are deemed not filed for purposes of Section 18 of the Securities and Exchange Act of 1934, as amended, and otherwise are not subject to liability under those sections.
The text of this filing, as the company filed it with the SEC, without its images or exhibits. This is not investment advice.