Modular Medical Inc
For the period ended Mar 31, 2024. Filed Jun 21, 2024.
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A company's yearly report to the SEC, with audited financial statements. It is the fullest account a company gives of its business, its finances and the risks it sees.
FY2024 · Filed Jun 21, 2024
MODD$1.85+39.1%Stored close · as of Nov 9, 2026
Extracted filing text, with the paragraph anchors used by the comparison.
See the whole filing, with its images and exhibitsContents
Item 15. EXHIBITS
(a) Financial Statements and Financial Statement Schedules are set forth under Part II, Item 8 of this report.
(b)
Other Schedules may omitted because they are not applicable, not required, or because the required information is included in the Consolidated Financial Statements or notes thereto.
| Exhibit · Reference · Filed or Furnished | |||||
|---|---|---|---|---|---|
| Number | Exhibit Description | Form | Exhibit | Filing Date | Herewith |
| 1.1 | Form of Underwriting Agreement dated May 15, 2023 | 8-K | 1.1 | 05/17/2023 | |
| 1.2 | Underwriting Agreement dated as of February 15, 2024 between the Registrant and Titan Partners Group LLC | 8-K | 1.1 | 02/16/2024 | |
| 1.3 | Sales Agreement, dated as of November 22, 2023, between Modular Medical, Inc. and Leerink Partners LLC | 8-K | 1.1 | 11/22/2023 | |
| 2.1 | Reorganization and Share Exchange Agreement dated as of July 24, 2017, by and among the Registrant, Quasuras, Inc., Paul DiPerna and the other stockholders of Quasuras, Inc. | 8-K | 2.1 | 07/28/2017 | |
| 2.2 | Addendum No. 1 to Reorganization and Share Exchange Agreement dated as of July 24, 2017, by and among the Registrant, Quasuras, Inc., Paul DiPerna and the other Stockholders of Quasuras, Inc. dated May 3, 2021 | 8-K | 2.2 | 05/12/2021 | |
| 3.1 | Third Amended and Restated Articles of Incorporation, as filed with the Secretary of State of Nevada on June 27, 2017 | 8-K | 3.1 | 06/29/2017 | |
| 3.2 | Certificate of Amendment to the Amended and Restated Articles of Incorporation of Modular Medical, Inc., filed with the Secretary of State of the State of Nevada on November 24, 2021 | 8-K | 3.1 | 12/01/2021 | |
| 3.3 | Certificate of Amendment to the Amended and Restated Articles of Incorporation of Modular Medical, Inc., filed with the Secretary of State of the State of Nevada on February 15, 2024 | 8-K | 3.1 | 02/15/2024 | |
| 3.4 | Amended Bylaws | 10-SB | 3.2 | 03/08/2002 | |
| 4.1* | 2017 Equity Incentive Plan, as amended and restated | X | |||
| 4.2 | Form of Warrant to Purchase Common Stock dated February 14, 2022 | 8-K | 4.1 | 02/14/2022 | |
| 4.3 | Form of Pre-Funded Warrant to Purchase Common Stock dated May 2, 2022 | 8-K | 4.1 | 05/05/2022 | |
| 4.4 | Form of Private Placement Warrant dated May 2, 2022 | 8-K | 4.2 | 05/05/2022 | |
| 4.5 | Form of Warrant | S-1/A | 4.5 | 05/05/2023 | |
| 4.6 | Form of Underwriter’s Warrant | S-1/A | 4.6 | 05/05/2023 | |
| 4.7 | Description of Registrant’s Securities | 10-K | 4.7 | 06/26/2023 | |
| 10.1* | Employment Agreement dated August 1, 2018, by and between the Registrant and Paul DiPerna | S-1 | 10.4 | 06/27/2019 | |
| 10.2 | Intellectual Property Assignment Agreement dated July 24, 2017, by and between the Registrant, Quasuras, Inc. and Paul DiPerna | 8-K | 10.3 | 07/28/2017 | |
| 10.3* | Technology Royalty Agreement dated as of July 24, 2017, by and between the Registrant, Quasuras, Inc. and Paul DiPerna | 8-K | 10.4 | 07/28/2017 | |
| 10.4 | Standard Industrial/Commercial Agreement between the Registrant and Michael Summers dated January 5, 2023 | S-1 | 10.28 | 04/24/2023 | |
| 10.5* | Form of Indemnification Agreement between the Registrant and each of its directors and officers used from January 23, 2020 | 10-Q | 10.15 | 02/13/2020 | |
| 10.6* | Form of Notice of Stock Option Grant and Stock Option Agreement under the Amended 2017 Equity Incentive Plan | 10-Q | 10.16 | 02/13/2020 | |
| 10.7* | First Amendment to the Employment Agreement between the Registrant and Paul DiPerna effective as of May 12, 2020 | 8-K | 10.18 | 05/27/2020 | |
| 10.8* | Second Amendment to Employment Agreement between the Registrant and Paul DiPerna effective as of July 1, 2020 | 10-Q | 10.20 | 08/12/2020 | |
| 10.9 | Form of Convertible Promissory Note issued in the 2021 Private Placement | 8-K | 10.21 | 05/12/2021 | |
| 10.10 | Form of Common Stock Purchase Agreement dated March 2020 by and between the Registrant and the Investors named therein | S-1 | 10.17 | 04/09/2020 | |
| 10.11 | Form of Securities Purchase Agreement for the 2021 Private Placement | 8-K | 10.23 | 05/12/2021 | |
| 10.12 | Form of Registration Rights Agreement for the 2021 Private Placement | 8-K | 10.24 | 05/12/2021 | |
| 10.13 | Form of Common Stock Purchase Warrant issued in the 2021 Private Placement | 8-K | 10.22 | 05/12/2021 | |
| 10.14 | Promissory Note dated October 28, 2021 between the Registrant and Manchester Explorer, L.P. | 8-K | 10.27 | 10/29/2021 | |
| 10.15 | Warrant Agency Agreement between the Registrant and Colonial Stock Transfer Company, Inc., dated February 14, 2022 | 8-K | 10.1 | 02/14/2022 | |
| 10.16 | Form of Warrant Omnibus Amendment Agreement | S-1/A | 10.31 | 02/07/2022 | |
| 10.17 | Form of Securities Purchase Agreement dated May 2, 2022 | 8-K | 10.1 | 05/05/2022 | |
| 10.18* | Severance and Release Agreement between the Registrant and Ellen O’Connor Vos dated February 23, 2022 | S-1 | 10.33 | 07/06/2022 | |
| 10.19* | Offer Letter Agreement between the Registrant and Kevin Schmid dated July 13, 2022 | 8-K | 10.1 | 07/26/2022 | |
| 10.20* | Form of Notice of Grant of Restricted Stock Unit Award and Agreement under the Amended and Restated Modular Medical, Inc. 2017 Equity Incentive Plan | 10-Q | 4.11 | 08/14/2023 | |
| 10.21 | Form of Warrant Agency Agreement | S-1/A | 10.29 | 05/05/2023 | |
| 10.22 | Form of Common Stock Purchase Agreement dated October 28, 2021 between the Registrant and the Investors named therein | 8-K | 10.29 | 10/29/2021 | |
| 10.23 | Modular Medical, Inc. Two-Part FDA Submission and Clearance Milestone Bonus Program | 8-K | 10.1 | 10/05/2023 | |
| 10.24* | Third Amendment to Employment Agreement between the Company and Paul DiPerna | 8-K | 10.1 | 04/10/2024 | |
| 21.1 | List of Subsidiaries | X | |||
| 23.1 | Consent of Independent Registered Public Accounting Firm | X | |||
| 24.1 | Power of Attorney (see signature page of this Report) | X | |||
| 31.1 | Certification of Principal Executive Officer pursuant to Section 302 of the Sarbanes-Oxley Act of 2002 | X | |||
| 31.2 | Certification of Principal Financial Officer pursuant to Section 302 of the Sarbanes-Oxley Act of 2002 | X | |||
| 32.1 | Certification of Principal Executive Officer and Principal 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 | Compensation Recovery Policy | X | |||
| 101.INS | Inline XBRL Instance Document. | X | |||
| 101.SCH | Inline XBRL Taxonomy Extension Schema Linkbase 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 | |||
| 101.PRE | Inline XBRL Taxonomy Extension Presentation Linkbase Document. | X | |||
| 104 | Cover Page Interactive Data File (formatted as Inline XBRL and contained in Exhibit 101). | X | |||
| * | Indicates a management contract or compensatory plan or arrangement. |
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