RenovoRx, 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
| Incorporated by Reference | |||||
|---|---|---|---|---|---|
| Exhibit Number | Exhibit Description | Form | File No. | Exhibit | Filing Date |
| 3.1 | Sixth Amended and Restated Certificate of Incorporation of RenovoRx, Inc. | 8-K | 001-40738 | 3.1 | August 31, 2021 |
| 3.2 | Amended and Restated Bylaws of RenovoRx, Inc. | 8-K | 001-40738 | 3.1 | September 11, 2023 |
| 4.1 | Specimen Stock Certificate evidencing the Shares of Common Stock | S-1 | 333-258071 | 4.4 | August 5, 2021 |
| 4.2 | Form of Pre-Funded Common Stock Purchase Warrant | 8-K | 001-40738 | 4.1 | April 3, 2023 |
| 4.3 | Form of Common Stock Purchase Warrant | 8-K | 001-40738 | 4.2 | April 3, 2023 |
| 4.4 | Warrant to Purchase Common Stock of RenovoRx, Inc. | 8-K | 001-40738 | 10.3 | January 29, 2024 |
| 4.5 | RenovoRx Placement Agent Warrant | 8-K | 001-40738 | 10.5 | January 29, 2024 |
| 4.6 | Form of Pre-Funded Common Stock Purchase Warrant of RenovoRx, Inc. | 8-K | 001-40738 | 10.2 | April 15, 2024 |
| 4.7 | Form of Series A Warrant to Purchase Common Stock of RenovoRx, Inc. | 8-K | 001-40738 | 10.3 | April 15, 2024 |
| 4.8 | Form of Placement Agent Warrant to Purchase Common Stock of RenovoRx, Inc. | 8-K | 001-40738 | 10.5 | April 15, 2024 |
| 4.9 | Form of Underwriter Warrant issued in February 2025 Public Offering | 8-K | 001-40738 | 4.1 | February 10, 2025 |
| 4.10 | Form of Pre-Funded Warrant Issued to Investors in the March 2026 Private Placement | 8-K | 001-40738 | 4.1 | March 23, 2026 |
| 4.11 | Form of Milestone Warrant Issued to Investors in the March 2026 Private Placement | 8-K | 001-40738 | 4.2 | March 23, 2026 |
| 10.1+ | Amended and Restated 2021 Omnibus Equity Incentive Plan | 8-K | 001-40738 | 10.1 | June 30, 2026 |
| 10.2+ | Amended and Restated Outside Director Compensation Policy | Filed herewith | |||
| 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. | Filed herewith | |||
| 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. | Filed herewith | |||
| 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. | Furnished herewith | |||
| 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. | Furnished herewith | |||
| 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 | Filed herewith | |||
| 101.SCH | Inline XBRL Taxonomy Extension Schema with Embedded Linkbase Documents | Filed herewith |
| 104 | Cover Page formatted as Inline XBRL and contained in Exhibit 101 | Filed herewith |
- Indicates management contract or compensatory plan or arrangement.
† The certifications attached as Exhibits 32.1 and 32.2 that accompany this Quarterly Report on Form 10-Q are deemed furnished and not filed with the Securities and Exchange Commission and are not to be incorporated by reference into any filing of the Registrant under the Securities Act of 1933, as amended, or the Securities Exchange Act of 1934, as amended, whether made before or after the date of this Quarterly Report on Form 10-Q, irrespective of any general incorporation language contained in such filing.
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