BioCorRx Inc
For the period ended Dec 31, 2023. Filed Apr 1, 2024.
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FY2023 · Filed Apr 1, 2024
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Item 15. Exhibits, Financial Statement Schedules
(a) The following documents are filed as part of this Annual Report on Form 10-K:
- Financial Statements:
Our financial statements and the Reports of Independent Registered Public Accounting Firms are included herein on page F-1.
- Financial Statement Schedules:
The financial statement schedules are omitted as they are either not applicable or the information required is presented in the financial statements and notes thereto on page F-1.
- Exhibits:
| Exhibit · Incorporated by Reference · Filed orFurnished | |||||
|---|---|---|---|---|---|
| Number | Exhibit Description | Form | Exhibit | Filing Date | Herewith |
| 3.1 | Amended and Restated Articles of Incorporation, filed May 7, 2014. | 8-K | 3.2 | 07/06/2016 | |
| 3.2 | Certificate of Amendment to the Articles of Incorporation, filed July 5, 2016. | 8-K | 3.1 | 07/06/2016 | |
| 3.3 | Certificate of Amendment to Articles of Incorporation, dated May 10, 2018. | 8-K | 3.1 | 05/16/2018 | |
| 3.4 | Certificate of Amendment to Articles of Incorporation, filed January 16, 2019. | 8-K | 3.1 | 01/18/2019 | |
| 3.5 | Amended and Restated Bylaws, effective as of May 13, 2016. | 8-K | 3.2 | 05/20/2016 | |
| 4.1 | Certificate of Designation, filed July 1, 2014, as corrected July 7, 2014. | 8-K | 4.1 | 07/06/2016 | |
| 4.2 | Certificate of Designation, filed November 23, 2016. | 8-K | 4.1 | 11/30/2016 | |
| 4.3 | Description of securities registered under Section 12 of the Exchange Act of 1934 | ☒ | |||
| 4.4 | Form of Warrant to purchase Common Stock, dated May 5, 2022 | 8-K | 4.1 | 05/12/2022 | |
| 8-K | 10.3 | 06/21/2016 | |||
| 10.4 | Development, Commercialization and License Agreement, dated July 28, 2016. | 8-K | 10.5 | 08/03/2016 | |
| 10.5 | First Amendment to Senior Secured Convertible Note Purchase Agreement by and between the Company and BICX Holding Company LLC, dated March 3, 2017. | 8-K | 10.6 | 03/09/2017 | |
| 10.6 | Second Amendment to Senior Secured Convertible Note Purchase Agreement and Senior Secured Convertible Note by and between the Company and BICX Holding Company LLC, dated June 29, 2017. | 8-K | 10.1 | 07/06/2017 | |
| 10.7 | Distributor Agreement with CereCare, LLC, dated December 8, 2017. | 8-K | 10.1 | 12/14/2017 | |
| 10.8* | Form of BioCorRx Inc. 2018 Equity Incentive Plan. | 8-K | 10.1 | 05/21/2018 | |
| 10.9* | Executive Management Bonus Plan effective June 13, 2018. | 8-K | 10.1 | 06/15/2018 | |
| 10.11* | Executive Service Agreement by and between the Company and Lourdes Felix, dated June 13, 2018. | 8-K | 10.3 | 06/15/2018 | |
| 10.12* | Form of Director Agreement. | 8-K | 10.1 | 02/22/2019 | |
| 10.13* | Form of Director Agreement. | 8-K | 10.1 | 03/07/2019 | |
| 10.14 | Royalty Agreement by and between BioCorRx Inc. and Alpine Creek Capital Partners LLC | 8-K | 10.1 | 12/17/2015 | |
| 10.15 | Inter-Company License Agreement by and between BioCorRx Inc. and BioCorRx Pharmaceuticals, Inc., effective September 2, 2021 | 10-K | 10.15 | 03/31/2023 | ☒ |
| 10.16* | BioCorRx Inc. 2022 Omnibus Securities and Incentive Plan | 8-K | 10.1 | 04/28/2022 | |
| 10.18* | Form of Murthy Director Agreement | 8-K | 10.1 | 01/23/2023 | |
| 10.19* | Form of Indemnification Agreement | 8-K | 10.2 | 01/23/2023 | |
| 21.1 | List of Subsidiaries. | S-1 | 21.1 | 08/24/2018 | |
| 31.1 | Certification by the Principal Executive Officer of Registrant pursuant to Section 302 of the Sarbanes-Oxley Act of 2002 (Rule 13a-14(a) or Rule 15d-14(a)). | ☒ | |||
| 31.2 | Certification by the Principal Financial Officer of Registrant pursuant to Section 302 of the Sarbanes-Oxley Act of 2002 (Rule 13a-14(a) or Rule 15d-14(a)). | ☒ | |||
| 32.1+ | Certification by the Principal Executive Officer pursuant to 18 U.S.C. 1350 as adopted pursuant to Section 906 of the Sarbanes-Oxley Act of 2002.+ | ☒ | |||
| 32.2+ | Certification by the Principal Financial Officer pursuant to 18 U.S.C. 1350 as adopted pursuant to Section 906 of the Sarbanes-Oxley Act of 2002.+ | ☒ | |||
| 101.INS | XBRL Instance Document | ☒ | |||
| 101.SCH | XBRL Taxonomy Extension Schema Document | ☒ | |||
| 101.CAL | XBRL Taxonomy Extension Calculation Linkbase Document | ☒ | |||
| 101.DEF | XBRL Taxonomy Extension Definition Linkbase Document | ☒ | |||
| 101.LAB | XBRL Taxonomy Extension Label Linkbase Document | ☒ | |||
| 101.PRE | XBRL Taxonomy Extension Presentation Linkbase Document | ☒ | |||
| *+ | Management contract or compensatory plan or arrangement.In accordance with SEC Release 33-8238, Exhibits 32.1 and 32.2 are being furnished and not filed. |
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