TALPHERA 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
TLPH$1.09+3.8%Stored close · as of Nov 9, 2026
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Item 6. Exhibits
| Incorporation By Reference | |||||
|---|---|---|---|---|---|
| Exhibit Number | Exhibit Description | Form | SEC File No. | Exhibit | Filing Date |
| 3.1 | Amended and Restated Certificate of Incorporation of the Registrant. | 8-K | 001-35068 | 3.1 | 02/18/2011 |
| 3.2 | Certificate of Amendment of Amended and Restated Certificate of Incorporation of the Registrant. | 8-K | 001-35068 | 3.1 | 01/09/2024 |
| 3.3 | Certificate of Amendment of Amended and Restated Certificate of Incorporation of the Registrant. | 8-K | 001-35068 | 3.1 | 06/25/2019 |
| 3.4 | Certificate of Amendment of Amended and Restated Certificate of Incorporation of the Registrant. | 8-K | 001-35068 | 3.1 | 10/25/2022 |
| 3.5 | Amended and Restated Bylaws of the Registrant. | 8-K | 001-35068 | 3.2 | 01/09/2024 |
| 10.1§# | Payment Interest Purchase Agreement between the Registrant and XOMA (US) LLC, dated as of January 12, 2024. | ||||
| 10.2 | Form of Securities Purchase Agreement, dated January 17, 2024, by and among the Registrant and entities affiliated with Nantahala Capital Management, LLC. | 8-K | 001-35068 | 10.1 | 01/22/2024 |
| 10.3 | Form of Securities Purchase Agreement, dated January 17, 2024 by and between the Registrant and Investor Company ITF Rosalind Master Fund L.P. | 8-K | 001-35068 | 10.2 | 01/22/2024 |
| 10.4 | Form of Registration Rights Agreement, dated January 17, 2024. | 8-K | 001-35068 | 10.3 | 01/22/2024 |
| 10.5 | Form of Pre-Funded Warrant (January 2024). | 8-K | 001-35068 | 10.4 | 01/22/2024 |
| 31.1 | Certification of Principal Executive Officer pursuant to Rules 13a-14(a) and 15d-14(a) promulgated under the Securities Exchange Act of 1934, as amended. | ||||
| 31.2 | Certification of Principal Financial and Accounting Officer pursuant to Rules 13a-14(a) and 15d-14(a) promulgated under the Securities Exchange Act of 1934, as amended. | ||||
| 32.1 | Certifications of Chief Executive Officer and Chief 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 its XBRL tags are embedded within the Inline XBRL document. |
| 101.SCH | Inline XBRL Taxonomy Schema Document. |
| 101.CAL | Inline XBRL Taxonomy Calculation Linkbase Document. |
| 101.DEF | Inline XBRL Taxonomy Definition Linkbase Document. |
| 101.LAB | Inline XBRL Taxonomy Label Linkbase Document. |
| 101.PRE | Inline XBRL Taxonomy Presentation Linkbase Document. |
| 104 | Cover Page Interactive Data File (formatted as inline XBRL with applicable taxonomy extension information contained in Exhibits 101.INS, 101.SCH, 101.CAL, 101.DEF, 101.LAB, and 101.PRE). |
| § | Schedules omitted pursuant to Item 601(a)(5) of Regulation S-K. The Registrant agrees to furnish supplementally a copy of any omitted schedule upon request by the SEC. |
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| # | Material in the exhibit marked with an “[*]” has been omitted because it is confidential, not material, and would be competitively harmful if publicly disclosed. |
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| * | The certifications attached as Exhibit 32.1 accompany this Quarterly Report on Form 10-Q pursuant to 18 U.S.C. Section 1350, as adopted pursuant to Section 906 of the Sarbanes-Oxley Act of 2002 and shall not be deemed “filed” by the Registrant for purposes of Section 18 of the Securities Exchange Act of 1934, as amended. |
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SIGNATURES
Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned thereunto duly authorized.
| Date: May 14, 2024 | Talphera, Inc. |
|---|---|
| (Registrant) | |
| /s/ Raffi Asadorian | |
| Raffi Asadorian | |
| Chief Financial Officer | |
| (Duly Authorized and Principal Financial and Accounting Officer) |
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