Vaxart Inc
For the period ended Mar 31, 2024. Filed May 13, 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 13, 2024
VXRT$0.550.0%Stored close · as of Jul 8, 2026
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Item 6. Exhibits
| Incorporated by Reference | |||||
|---|---|---|---|---|---|
| Exhibit Number | Description of Document | Schedule/Form | File Number | Exhibit | Filing Date |
| 3.1 | Restated Certificate of Incorporation of Aviragen Therapeutics, Inc. | Form 10-K | 001-35285 | 3.1 | September 13, 2016 |
| 3.2 | Certificate of Amendment to Restated Certificate of Incorporation of Aviragen Therapeutics, Inc. | Form 8-K | 001-35285 | 3.1 | February 20, 2018 |
| 3.3 | Certificate of Amendment to Restated Certificate of Incorporation of Vaxart, Inc. | Form 8-K | 001-35285 | 3.2 | February 20, 2018 |
| 3.4 | Certificate of Amendment to Restated Certificate of Incorporation of Vaxart, Inc. | Form 8-K | 001-35285 | 3.1 | April 24, 2019 |
| 3.5 | Certificate of Amendment to Restated Certificate of Incorporation of Vaxart, Inc. | Form 8-K | 001-35285 | 3.1 | June 9, 2020 |
| 3.6 | Certificate of Amendment to Restated Certificate of Incorporation of Vaxart, Inc. | Form 10-Q | 001-35285 | 3.3 | August 8, 2022 |
| 3.7 | Amended and Restated Bylaws of Vaxart, Inc., effective as of October 18, 2023 | Form 8-K | 001-35285 | 3.1 | October 23, 2023 |
| 10.1 # | Letter Agreement, dated January 16, 2024, between Vaxart, Inc. and Michael J. Finney | Form 8-K | 001-35285 | 10.1 | January 16, 2024 |
| 10.2 | Securities Purchase Agreement, dated January 16, 2024, by and between Vaxart, Inc. and RA Capital Healthcare Fund, L.P. | Form 8-K | 001-35285 | 10.1 | January 16, 2024 |
| 10.3 # | Separation Agreement, dated January 31, 2024, by and between Vaxart, Inc. and Andrei Floroiu | Form 8-K/A | 001-35285 | 10.1 | February 2, 2024 |
| 10.4 # | Vaxart, Inc. 2024 Inducement Award Plan | Form 8-K | 001-35285 | 10.1 | February 29, 2024 |
| 10.5 # | Form of Restricted Stock Unit Award Grant Notice and Award Agreement | Form 8-K | 001-35285 | 10.2 | February 29, 2024 |
| 10.6 # | Form of Stock Option Grant Notice and Stock Option Agreement | Form 8-K | 001-35285 | 10.3 | February 29, 2024 |
| 10.7 # | Letter Agreement, dated February 21, 2024, between Vaxart, Inc. and Steven Lo | Form 8-K | 001-35285 | 10.1 | March 6, 2024 |
| 10.8 | ASPR-BARDA Award/Contract, dated January 12, 2024, between Vaxart, Inc. and the U.S. Government through the Department of Health and Human Services | Form 10-K | 001-35285 | 10.59 | March 14, 2024 |
| 31.1 * | Certification of Principal Executive Officer pursuant to Exchange Act Rule, 13a-14(a) and 15d-14(a), as adopted pursuant to Section 302 of the Sarbanes-Oxley Act of 2002 |
| 31.2 * | Certification of Principal Financial Officer pursuant to Exchange Act Rule, 13a-14(a) and 15d-14(a), as adopted pursuant to Section 302 of the Sarbanes-Oxley Act of 2002 |
| 32.1 § | Certification of Principal Executive Officer and Principal Financial Officer pursuant to Rule 13a-14(b) of the Securities Exchange Act of 1934, as amended, and 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 Document |
| 101.CAL * | Inline XBRL Taxonomy Extension Calculation Linkbase Document |
| 101.DEF * | Inline XBRL Taxonomy Extension Definition Linkbase Document |
| 101.LAB * | Inline XBRL Taxonomy Extension Label Linkbase Document |
| 101.PRE * | Inline XBRL Taxonomy Extension Presentation Linkbase Document |
| 104 | Cover Page Interactive Data File (formatted as Inline XBRL and contained in Exhibit 101) |
| * | Filed herewith. |
|---|---|
| # | Management contract or compensation plan or arrangement. |
| § | In accordance with Item 601(b)(32)(ii) of Regulation S-K and SEC Release Nos. 33-8238 and 34-47986, Final Rule: Management’s Reports on Internal Control Over Financial Reporting and Certification of Disclosure in Exchange Act Periodic Reports, the certification furnished in Exhibit 32.1 hereto is deemed to accompany this Quarterly Report on Form 10-Q and will not be deemed “filed” for purposes of Section 18 of the Exchange Act. Such certification will not be deemed to be incorporated by reference into any filing under the Securities Act or the Exchange Act, except to the extent that the registrant specifically incorporates it by reference. |
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