ARS Pharmaceuticals, Inc.
For the period ended Sep 30, 2026. Filed Nov 5, 2026.
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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, 2026 · Filed Nov 5, 2026
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Item 6. Exhibits
| ExhibitNumber | Description |
| 3.1 | Amended and Restated Certificate of Incorporation, as amended (incorporated by reference to Exhibit 3.1 to the registrant’s Annual Report on Form 10-K, filed with the SEC on March 23, 2023). |
| 3.2 | Amended and Restated Bylaws (incorporated by reference to Exhibit 3.2 to the registrant’s Current Report on Form 8-K, filed with the SEC on December 8, 2020). |
| 10.1* | First Amendment to Credit Agreement, dated July 1, 2026, by and between ARS Pharmaceuticals Operations, Inc., ARS Pharmaceuticals, Inc. and certain of its subsidiaries from time to time party thereto, the lenders from time to time party thereto, and RA Capital Agency Services, LLC. |
| 10.2+ | Release Agreement, effective as of July 15, 2026, by and between the Company and Richard Lowenthal. |
| 10.3+ | Release Agreement, effective as of July 15, 2026, by and between the Company and Sarina Tanimoto. |
| 10.4+‡ | Executive Employment Agreement, dated August 12, 2026, by and between the Company and Margaret Smith. |
| 10.5* | Side Letter to Co-Promotion Agreement, dated August 31, 2026, by and between the Company and ALK-Abelló, Inc. |
| 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. |
| 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. |
| 32.1# | Certification of Principal Executive and Financial Officers 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–the instance document does not appear in the Interactive Data File as its XBRL tags are embedded within the Inline XBRL document |
| 101.SCH | Inline XBRL Taxonomy Extension Schema With Embedded Linkbase Documents |
| 104 | Cover page formatted as Inline XBRL and contained in Exhibit 101 |
- Certain information in this exhibit is omitted pursuant to Item 601(b)(10)(iv) of Regulation S-K because it is both not material and is the type that the registrant treats as private or confidential.
- Indicates management contract or compensatory plan.
‡ Schedules have been omitted pursuant to Item 601(a)(5) of Regulation S-K.
The information in Exhibit 32.1 shall not be deemed “filed” for purposes of Section 18 of the Exchange Act, or otherwise subject to the liabilities of that section, nor shall it be deemed incorporated by reference in any filing under the Securities Act or the Exchange Act (including this Quarterly Report on Form 10-Q), unless the Registrant specifically incorporates the foregoing information into those documents by reference.
SIGNATURES
Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned thereunto duly authorized.
| ARS PHARMACEUTICALS, INC. | ||
| Date: November 5, 2026 | By: | /s/ Donn Casale |
|---|---|---|
| Donn Casale | ||
| President and Chief Executive Officer | ||
| (Principal Executive Officer) | ||
| Date: November 5, 2026 | By: | /s/ Kathleen D. Scott |
| Kathleen D. Scott | ||
| Chief Financial Officer | ||
| (Principal Financial and Accounting Officer) | ||
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