GT Biopharma, Inc.
For the period ended Jun 30, 2026. Filed Aug 14, 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.
Jun 30, 2026 · Filed Aug 14, 2026
GTBP$4.32-2.3%Stored close · as of Nov 9, 2026
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Item 6. Exhibits
| Exhibit | Description | Filed Herewith | Form | Number | SEC File No. | Filing Date |
|---|---|---|---|---|---|---|
| 3.1 | Restated Certificate of Incorporation as filed in Delaware September 10, 1996 and as thereafter amended through March 1, 2002 | 10-KSB | 3.A | 000-08092 | 4/1/2002 | |
| 3.2 | Certificate of Amendment to the Restated Certificate of Incorporation of GT Biopharma, Inc., dated February 9, 2011 | 10-K | 3.2 | 000-08092 | 3/31/2011 | |
| 3.3 | Certificate of Amendment to the Restated Certificate of Incorporation of GT Biopharma, Inc., effective as of July 19, 2017 | 8-K/A | 3.1 | 000-08092 | 3/15/2018 | |
| 3.4 | Certificate of Amendment to the Restated Certificate of Incorporation of GT Biopharma, Inc., effective as of February 10, 2021 | 8-K | 3.1 | 001-40023 | 2/11/2021 | |
| 3.5 | Certificate of Amendment to Restated Certificate of Incorporation of the Registrant effective June 13, 2022 | 10-K | 3.5 | 001-40023 | 3/30/2023 | |
| 3.6 | Certificate of Amendment to Restated Certificate of Incorporation of the Registrant effective February 1, 2024 | 8-K | 3.1 | 001-40023 | 2/1/2024 | |
| 3.7 | Amended and Restated Bylaws of GT Biopharma, Inc. effective November 3, 2022 | 8-K | 3.1 | 001-40023 | 11/9/2022 | |
| 3.8 | Amendment No. 1 to the Amended and Restated Bylaws of GT Biopharma, Inc. | 8-K | 3.1 | 001-40023 | 6/12/2026 | |
| 4.1 | Certificate of Designation of Preferences, Rights and Limitations of Series J-1 Preferred Stock of GT Biopharma, Inc., dated April 3, 2019 | 8-K | 3.1 | 000-08092 | 4/5/2019 | |
| 4.2 | Certificate of Designation of Preferences, Rights and Limitations of Series K Preferred Stock of GT Biopharma, Inc. dated April 3, 2019 | 10-K | 4.2 | 001-40023 | 4/16/2021 | |
| 4.3 | Certificate of Designation of Preferences, Rights and Limitations of Series L 10% Convertible Preferred Stock of GT Biopharma, Inc., dated May 12, 2025 | 8-K | 3.1 | 001-40023 | 5/13/2025 | |
| 4.4 | Certificate of Increase to Certificate of Designation of Preferences, Rights and Limitations of Series L 10% Convertible Preferred Stock of GT Biopharma, Inc., dated May 21, 2025 | 8-K | 3.1 | 001-40023 | 5/27/2025 | |
| 4.5 | Form of Waiver | 8-K | 10.1 | 001-40023 | 9/23/2025 | |
| 4.6 | Form of Pre-Funded Common Stock Purchase Warrant | S-1 | 4.49 | 333-291060 | 10/24/2025 | |
| 4.7 | Form of Pre-Funded Common Stock Purchase Warrant | * | ||||
| 10.1 | Investigator Initiated Clinical Trial Agreement, dated as of April 3, 2026, by and between GT Biopharma, Inc. and the Regents of the University of Minnesota. | 8-K | 10.1 | 001-40023 | 4/7/2026 | |
| 31.1 | Certification of Principal Executive Officer pursuant to Rule 13a-14 and Rule 15d-14(a), promulgated under the Securities and Exchange Act of 1934, as amended. | * | ||||
| 31.2 | Certification of Principal Executive Officer pursuant to Rule 13a-14 and Rule 15d-14(a), promulgated under the Securities and Exchange Act of 1934, as amended. | * | ||||
| 32.1 | Certification of Principal Executive Officer pursuant to 18 U.S.C. Section 1350, as adopted pursuant to section 906 of the Sarbanes-Oxley Act of 2002* | X | ||||
| 32.2 | Certification of Principal Executive Officer pursuant to 18 U.S.C. Section 1350, as adopted pursuant to section 906 of the Sarbanes-Oxley Act of 2002* | X | ||||
| 101.INS | Inline XBRL Instance Document. | X | ||||
| 101.SCH | Inline XBRL Taxonomy Extension Schema Document. | X | ||||
| 101.CAL | Inline XBRL Taxonomy Extension Calculation Linkbase | X | ||||
| 101.DEF | Inline XBRL Taxonomy Extension Definition Linkbase | X | ||||
| 101.LAB | Inline XBRL Taxonomy Extension Label Linkbase Document. | X | ||||
| 101.PRE | Inline XBRL Taxonomy Extension Presentation Linkbase | X | ||||
| 104 | Cover Page Interactive Data File (embedded within the Inline XBRL document) | X | ||||
| * | This certification shall not be deemed “filed” for purposes of Section 18 of the Exchange Act, or otherwise subject to the liability of that Section, nor shall it be deemed to be incorporated by reference into any filing under the Securities Act or the Exchange Act. |
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