Allarity Therapeutics Inc
For the period ended Sep 30, 2024. Filed Nov 14, 2024.
View on SEC.govAbout this filing
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, 2024 · Filed Nov 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.
See the whole filing, with its images and exhibitsContents
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 | Fifth Certificate of Amendment to Certificate of Incorporation of Allarity Therapeutics, Inc. | 8-K | 001-41160 | 3.1 | April 4, 2024 | |
| 3.7 | Specimen Common Stock Certificate of Allarity Therapeutics, Inc. | S-4/A | 333-259484 | 4.1 | September 29, 2021 | |
| 3.8 | Amended and Restated Bylaws of Allarity Therapeutics, Inc. | S-4/A | 333-259484 | 3.4 | October 18, 2021 | |
| 3.9 | Amendment No. 1 to Amended and Restated Bylaws of Allarity Therapeutics, Inc. | 8-K | 001-41160 | 3.1 | July 11, 2022 | |
| 3.10 | Sixth Certificate of Amendment to Certificate of Incorporation of Allarity Therapeutics, Inc. | 8-K | 001-41160 | 3.1 | September 9, 2024 | |
| 3.11 | Seventh Certificate of Amendment to Certificate of Incorporation of Allarity Therapeutics, Inc. | 8-K | 001-41160 | 3.2 | September 9, 2024 | |
| 3.12 | Certificate of Correction to the Seventh Certificate of Amendment to the Certificate of Incorporation of Allarity Therapeutics, Inc. | 8-K/A | 001-41160 | 3.3 | September 10, 2024 | |
| 3.13 | Certificate of Designation of Preferences, Rights and Limitations of Series A Convertible Redeemable Preferred Stock | 8-K | 001-41160 | 3.1 | August 21, 2024 | |
| 10.1 | Form of Securities Purchase Agreement between the Company and the investors thereto, dated August 19, 2024 | 8-K | 001-41160 | 10.1 | August 21, 2024 | |
| 10.2 | Form of Registration Rights Agreement by and among the Company and the investors named therein, dated August 19, 2024 | 8-K | 001-41160 | 10.2 | August 21, 2024 | |
| 10.3 | Sixth Amendment to Exclusive License Agreement | 8-K | 001-41160 | 10.3 | August 21, 2024 | |
| 10.4 | Second Amendment to At-The-Market Issuance Sales Agreement, dated September 9, 2024 | 8-K | 001-41160 | 10.1 | September 13, 2024 | |
| 10.5†+ | Employment Agreement, dated as of September 12, 2024, by and between Allarity Therapeutics, Inc., and Alexander Epshinsky | 8-K | 001-41160 | 10.2 | September 13, 2024 | |
| 10.6†# | Employment Agreement, dated as of September 30, 2024, by and between Allarity Therapeutics, Inc., and Jeremy R. Graff. | 8-K | 001-41160 | 10.1 | October 4, 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* | Section 1350 Certifications of Chief Executive Officer and Chief Financial Officer | — | ||||
| 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* | The cover page from the Company’s Quarterly Report on Form 10-Q for the quarter ended September 30, 2024, formatted in Inline XBRL (included in Exhibit 101) | — | ||||
| + | Schedules (or similar attachments) to this exhibit have been omitted in accordance with Item 601(a)(5) of Regulation S-K. The Company agrees to furnish supplementally a copy of all omitted schedules (or similar attachments) to the Securities and Exchange Commission on a confidential basis upon request. |
|---|---|
| # | Certain information was redacted from this exhibit pursuant to Item 601(a)(6) of Regulation S-K. |
| † | Management contracts or compensatory plans or arrangements. |
| * | Furnished herewith. |
The text of this filing, as the company filed it with the SEC, without its images or exhibits. This is not investment advice.