Tivic Health Systems, Inc.
For the period ended Sep 30, 2025. Filed Nov 14, 2025.
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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.
Sep 30, 2025 · Filed Nov 14, 2025
VBIO$0.54+6.2%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
| Item 6. | Exhibits |
|---|
| Exhibit Number | Exhibit description | Incorporated by Reference (Form Type) | Filing Date | Filed herewith |
| 4.1 | Form of Warrant (Helena Global Investment Opportunities 1 Ltd.). | 8-K | 5/2/2025 | |
| 4.2 | Form of Placement Agent Warrant (Craft Capital Management LLC). | S-1/A | 7/25/2025 | |
| 10.1 | Securities Purchase Agreement, by and between Tivic Health Systems, Inc. and Helena Global Investment Opportunities 1 Ltd., dated April 29, 2025. | 8-K | 5/2/2025 | |
| 10.2 | Registration Rights Agreement, by and between Tivic Health Systems, Inc. and Helena Global Investment Opportunities 1 Ltd., dated April 29, 2025. | 8-K | 5/2/2025 | |
| 10.3† | Statement of Work, by and between Tivic Health Systems, Inc. and Scorpius BioManufacturing, Inc., dated May 9, 2025. | 10-Q | 5/15/2025 | |
| 10.4† | Amended and Restated Exclusive License Agreement, effective as of June 18, 2025, by and between the Tivic Health Systems, Inc. and Statera Biopharma, Inc. | 8-K/A | 6/25/2025 | |
| 10.5# | First Amendment to Tivic Health Systems, Inc. Amended and Restated 2021 Equity Incentive Plan, dated June 30, 2025. | 8-K | 7/7/2025 | |
| 10.6# | Executive Employment Agreement, by and between Tivic Health Systems, Inc. and Lisa Wolf, effective July 7, 2025. | 8-K | 7/7/2025 | |
| 10.7# | Executive Employment Agreement, by and between Tivic Health Systems, Inc. and Jennifer Ernst, dated October 8, 2025. | 8-K | 10/15/2025 | |
| 31.1 | Certification of Chief Executive Officer pursuant to Rule 13a-14(a) and Rule 15d-14(a), as adopted pursuant to Section 302 of the Sarbanes-Oxley Act of 2002. | X | ||
| 31.2 | Certification of Chief Financial Officer pursuant to Rule 13a-14(a) and Rule 15d-14(a), as adopted pursuant to Section 302 of the Sarbanes-Oxley Act of 2002. | X | ||
| 32.1 | Certification 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. | ** | ||
| 101.SCH | Inline XBRL Taxonomy Extension Schema With Embedded Linkbase Documents. | ** | ||
| 104 | Cover Page Interactive Data File – the cover page interactive data file does not appear in the Interactive Data File because its XBRL tags are embedded within the Inline XBRL document. | ** | ||
| * | Furnished herewith. |
|---|---|
| ** | The XBRL related information in Exhibit 101 shall not be deemed “filed” for purposes of Section 18 of the Securities Exchange Act of 1934, as amended, or otherwise subject to liability of that section and shall not be incorporated by reference into any filing or other document pursuant to the Securities Act of 1933, as amended, except as shall be expressly set forth by specific reference in such filing or document. |
| # | Indicates management contract or compensatory plan. |
| † | Pursuant to Item 601(b)(10) of Regulation S-K, certain confidential portions of this exhibit have been omitted by means of marking such portions with asterisks as the identified confidential portions are both not material and are the type of information that the registrant treats as private or confidential. The registrant agrees to supplementally furnish an unredacted copy of this exhibit to the SEC upon its request. |
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