Allarity Therapeutics Inc
For the period ended Mar 31, 2024. Filed May 14, 2024.
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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.
Mar 31, 2024 · Filed May 14, 2024
ALLR$0.94-2.3%Stored close · as of Nov 9, 2026
Extracted filing text, with the paragraph anchors used by the comparison.
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Item 6. Exhibits
See the Exhibit Index to this Quarterly Report immediately below and before the signature page hereto, which Exhibit Index is incorporated by reference as if fully set forth herein.
| Incorporated by Reference | |||||
|---|---|---|---|---|---|
| Exhibit Number · Exhibit Description · Form · File No. · Exhibit · Filing Date · Filed Herewith | |||||
| 3.1 | Certificate of Incorporation | S-4 | 333-258968 | 3.1 | August 20, 2021 |
| 3.2 | Certificate of Amendment to the Certificate of Incorporation of Allarity Therapeutics, Inc. | S-4/A | 333-259484 | 3.3 | September 29, 2021 |
| 3.3 | Second Certificate of Amendment to Certificate of Incorporation of Allarity Therapeutics, Inc. | 8-K | 001-41160 | 3.1 | March 20, 2023 |
| 3.4 | Third Certificate of Amendment to Certificate of Incorporation of Allarity Therapeutics, Inc. | 8-K | 001-41160 | 3.1 | March 24, 2023 |
| 3.5 | Fourth Certificate of Amendment to Certificate of Incorporation of Allarity Therapeutics, Inc. | 8-K | 001-41160 | 3.1 | June 28, 2023 |
| 3.6 | Specimen Common Stock Certificate of Allarity Therapeutics, Inc. | S-4/A | 333-259484 | 4.1 | September 29, 2021 |
| 3.7 | Amended and Restated Bylaws of Allarity Therapeutics, Inc. | S-4/A | 333-259484 | 3.4 | October 18, 2021 |
| 3.8 | Amendment No. 1 to Amended and Restated Bylaws of Allarity Therapeutics, Inc. | 8-K | 001-41160 | 3.1 | July 11, 2022 |
| 4.1 | Seventh Certificate of Amendment (Series A Preferred Stock) | 8-K | 001-41160 | 3.1 | March 15, 2024 |
| 4.2 | Senior Convertible Note, dated as of March 14, 2024 | 8-K | 001-41160 | 4.1 | March 15, 2024 |
| 4.3 | Sixth Certificate of Amendment (Series A Preferred Stock) | 8-K | 001-41160 | 3.1 | February 14, 2024 |
| 4.4 | Senior Convertible Note, dated as of February 13, 2024 | 8-K | 001-41160 | 4.1 | February 14, 2024 |
| 4.5 | Fifth Certificate of Amendment (Series A Preferred Stock) | 8-K | 001-41160 | 3.1 | January 19, 2024 |
| 4.6 | Senior Convertible Note | 8-K | 001-41160 | 4.1 | January 19, 2024 |
| 10.1 | At-The-Market Issuance Sales Agreement, dated March 19, 2024, by and between Allarity Therapeutics, Inc. and Ascendiant Capital Markets, LLC | 8-K | 001-41160 | 10.1 | March 20, 2024 |
| 10.2 | Amendment Senior Convertible Notes | 8-K | 001-41160 | 10.1 | March 1, 2024 |
| 10.3 | Limited Waiver Agreement, dated as of February 13, 2024, by and between the Company and the Purchaser listed on the signature page attached thereto | 8-K | 001-41160 | 10.1 | February 14, 2024 |
| 10.4 | Amendment to Securities Purchase Agreement, dated as of January 25, 2024, by and between the Company and the Purchaser listed on the signature page attached thereto | 8-K | 001-41160 | 10.1 | January 25, 2024 |
| 10.5 | Securities Purchase Agreement, dated as of January 18, 2024, by and between the Company and the Purchaser listed on the signature page attached thereto | 8-K | 001-41160 | 10.1 | January 19, 2024 | |
| 10.6† | Consulting Agreement (James G. Cullem) | — | — | — | — | X |
| 10.7† | Confidential Settlement Agreement and General Release (James G. Cullem) | — | — | — | — | X |
| 99.1† | Allarity Therapeutics, Inc. 2021 Equity Incentive Plan (as amended and restated as of March 7, 2024) | DEF14A | 001-41160 | Appendix A | March 8, 2024 | |
| 31.1 | Certifications of the Chief Executive Officer under Section 302 of the Sarbanes-Oxley Act | — | — | — | — | X |
| 31.2 | Certifications of the Chief Financial Officer under Section 302 of the Sarbanes-Oxley Act | — | — | — | — | X |
| 32.1* | Certifications of the Chief Executive Officer under Section 906 of the Sarbanes-Oxley Act | — | — | — | — | X |
| 32.2* | Certifications of the Chief Financial Officer under Section 906 of the Sarbanes-Oxley Act | — | — | — | — | X |
| 101.INS | Inline XBRL Instance Document (the instance document does not appear in the Interactive Data File because its XBRL tags are embedded within the Inline XBRL document). | — | — | — | — | X |
| 101.SCH | Inline XBRL Taxonomy Extension Schema Document. | — | — | — | — | X |
| 101.CAL | Inline XBRL Taxonomy Extension Calculation Linkbase Document. | — | — | — | — | X |
| 101.DEF | Inline XBRL Taxonomy Extension Definition Linkbase Document. | — | — | — | — | X |
| 101.LAB | Inline XBRL Taxonomy Extension Label Linkbase Document. | — | — | — | — | X |
| 101PRE | Inline XBRL Taxonomy Extension Presentation Linkbase Document. | — | — | — | — | X |
| 104* | Cover Page Interactive Data File (formatted as inline XBRL and contained in Exhibit 101) | — | — | — | — | — |
| + | Certain of the exhibits and schedules to this Exhibit have been omitted in accordance with Regulation S-K Item 601. The Registrant agrees to furnish a copy of all omitted exhibits and schedules to the SEC upon its request. |
|---|---|
| † | Indicates management contract or compensatory plan or arrangement. |
| * | Furnished herewith. |
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