AN2 Therapeutics, Inc.
For the period ended Sep 30, 2026. Filed Nov 9, 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 9, 2026
ANTX$4.000.0%Stored close · as of Nov 9, 2026
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Item 6. Exhibits
(a)
Exhibits.
The exhibits listed below are filed as part of this Quarterly Report on Form 10-Q.
| Incorporated by Reference | |||||
|---|---|---|---|---|---|
| ExhibitNumber | Description | Form | File No. | Exhibit | Filing Date |
| 3.1 | Amended and Restated Certificate of Incorporation. | 8-K | 001-41331 | 3.1 | June 24, 2024 |
| 3.2 | Amended and Restated Bylaws. | S-1 | 333-263295 | 3.4 | March 4, 2022 |
| 3.3 | Certificate of Designations of Series A Junior Participating Preferred Stock of AN2 Therapeutics, Inc. filed with the Secretary of State of the State of Delaware on August 15, 2024. | 8-K | 001-41331 | 3.1 | August 19, 2024 |
| 4.1 | Form of Pre-Funded Warrant. | 8-K | 001-41331 | 4.1 | June 20, 2025 |
| 4.2 | Form of 2026 Pre-Funded Warrant. | 8-K | 001-41331 | 4.1 | March 10, 2026 |
| 10.1# | AN2 Therapeutics, Inc. 2026 Employment Inducement Award Plan. | S-8 | 333-298920 | 99.1 | September 14, 2026 |
| 10.2#* | Forms of Stock Option Grant Notice, Stock Option Agreement and Notice of Exercise under the AN2 Therapeutics, Inc. 2026 Employment Inducement Award Plan. | ||||
| 10.3#* | Forms of Restricted Stock Unit Grant Notice and Award Agreement under the AN2 Therapeutics, Inc. 2026 Employment Inducement Award Plan. | ||||
| 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 Officer Pursuant to 18 U.S.C. Section 1350, as Adopted Pursuant to Section 906 of the Sarbanes-Oxley Act of 2002. | ||||
| 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. | ||||
| 101.INS | Inline XBRL Instance Document – the instance document does not appear in the Interactive Data File because XBRL tags are embedded within the Inline XBRL document. | ||||
| 101.SCH | Inline XBRL Taxonomy Extension Schema With Embedded Linkbase Document.** | ||||
| 104 | Cover Page Interactive Data File (embedded within the Inline XBRL document.) | ||||
- Filed herewith.
The text of this filing, as the company filed it with the SEC, without its images or exhibits. This is not investment advice.