Phio Pharmaceuticals Corp.
For the period ended Mar 31, 2026. Filed May 7, 2026.
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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, 2026 · Filed May 7, 2026
PHIO$0.84+4.8%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 INDEX
| Incorporated by Reference Herein | |||
| Exhibit Number | Description | Form | Date |
| 3.1 | Amended and Restated Certificate of Incorporation of Phio Pharmaceuticals Corp. | Current Report on Form 8-K (File No. 001-36304) | November 19, 2018 |
| 3.2 | Certificate of Amendment to the Amended and Restated Certificate of Incorporation of Phio Pharmaceuticals Corp. | Current Report on Form 8-K (File No. 001-36304) | January 14, 2020 |
| 3.3 | Certificate of Amendment to the Amended and Restated Certificate of Incorporation of Phio Pharmaceuticals Corp. | Current Report on Form 8-K (File No. 001-36304) | January 25, 2023 |
| 3.4 | Certificate of Amendment to the Amended and Restated Certificate of Incorporation of Phio Pharmaceuticals Corp. | Current Report on Form 8-K (File No. 001-36304) | July 2, 2024 |
| 3.5 | Certificate of Designation of Series D Preferred Stock, dated November 16, 2022. | Current Report on Form 8-K (File No. 001-36304) | November 16, 2022 |
| 3.6 | Amended and Restated Bylaws of Phio Pharmaceuticals Corp. | Current Report on Form 8-K (File No. 001-36304) | May 2, 2022 |
| 4.1 | Form of Warrant. | Amendment No. 1 to the Registration Statement on Form S-1 (File No. 333-221173) | September 28, 2018 |
| 4.2 | Form of Warrant. | Current Report on Form 8-K (File No. 001-36304) | April 2, 2020 |
| 4.3 | Form of Common Stock Warrant. | Current Report on Form 8-K (File No. 001-36304) | January 25, 2021 |
| 4.4 | Form of Placement Agent Warrant | Current Report on Form 8-K (File No. 001-36304) | December 8, 2023 |
| 4.5 | Form of Series C/D Warrant | Current Report on Form 8-K (File No. 001-36304) | July 12, 2024 |
| 4.6 | Form of Placement Agent Warrant | Current Report on Form 8-K (File No. 001-36304) | July 12, 2024 |
| 4.7 | Form of Placement Agent Warrant | Current Report on Form 8-K (File No. 001-36304) | December 20, 2024 |
| 4.8 | Form of Placement Agent Warrant | Current Report on Form 8-K (File No. 001-36304) | December 26, 2024 |
| 4.9 | Form of Placement Agent Warrant. | Current Report on Form 8-K (File No. 001-36304) | January 14, 2024 |
| 4.10 | Form of Placement Agent Warrant. | Current Report on Form 8-K (File No. 001-36304) | January 15, 2024 |
| 4.11 | Form of Placement Agent Warrant. | Current Report on Form 8-K (File No. 001-36304) | January 17, 2024 |
| 4.12 | Form of Series J/K Warrant | Current Report on Form 8-K (File No. 001-36304) | July 30, 2025 |
| 4.13 | Form of Placement Agent Warrant | Current Report on Form 8-K (File No. 001-36304) | July 30, 2025 |
| 4.14 | Form of Series A Warrant | Current Report on Form 8-K (File No. 001-36304) | November 6, 2025 |
| 4.15 | Form of Placement Agent Warrant | Current Report on Form 8-K (File No. 001-36304) | November 13, 2025 |
| 10.1 | Second Amendment to the Employment Agreement of Robert J. Bitterman, dated February 17, 2026, by and between Robert J. Bitterman and Phio Pharmaceuticals Corp.# | Current Report on Form 8-K (File No. 001-36304) | February 18, 2026 |
| 10.2 | At the Market Offering Agreement, by and between the Company and H.C. Wainwright & Co., LLC, dated April 8, 2026. | Current Report on Form 8-K (File No. 001-36304) | April 8, 2026 |
| 31.1 | Sarbanes-Oxley Act Section 302 Certification of Principal Executive Officer.* |
| 31.2 | Sarbanes-Oxley Act Section 302 Certification of Principal Financial Officer.* |
| 32.1 | Sarbanes-Oxley Act Section 906 Certification of Principal Executive Officer and Principal Financial Officer.** |
| 101.INS | Inline XBRL Instance 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 | The cover page for this report, formatted in Inline XBRL (included in Exhibit 101).* |
| * | Filed herewith. |
|---|---|
| ** | Furnished herewith and not deemed “filed” for purposes of Section 18 of the Exchange Act or otherwise subject to the liability of that Section or incorporated by reference into any filing under the Securities Act or the Exchange Act. |
| # | Indicates a management contract or compensatory plan or arrangement. |
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