Outlook Therapeutics Inc
For the period ended Dec 31, 2023. Filed Feb 14, 2024.
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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.
Dec 31, 2023 · Filed Feb 14, 2024
OTLK$0.46+5.2%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
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| Exhibit Number | Description |
| 3.1 | Amended and Restated Certificate of Incorporation (incorporated by reference to Exhibit 3.1 to the Company’s current report on Form 8-K filed with the SEC on May 19, 2016). |
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| 3.2 | Certificate of Amendment to the Amended and Restated Certificate of Incorporation (incorporated by reference to Exhibit 3.1 to the Company’s current report on Form 8-K filed with the SEC on December 6, 2018). |
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| 3.3 | Certificate of Amendment to the Amended and Restated Certificate of Incorporation (incorporated by reference to Exhibit 3.1 to the Company’s current report on Form 8-K filed with the SEC on March 18, 2019). |
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| 3.4 | Certificate of Amendment to the Amended and Restated Certificate of Incorporation (incorporated by reference to Exhibit 3.1 to the Company’s current report on Form 8-K filed with the SEC on March 26, 2021). |
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| 3.5 | Certificate of Amendment of the Amended and Restated Certificate of Incorporation (incorporated by reference to Exhibit 3.1 to the Registrant's current report on Form 8-K filed with the SEC on March 30, 2023, as subsequently amended). |
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| 3.6 | Second Amended and Restated Bylaws (incorporated by reference to Exhibit 3.2 to the Company’s current report on Form 8-K filed with the SEC on March 26, 2021). |
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| 10.1 | Form of Securities Purchase Agreement, dated January 22, 2024, between the Company and the investors party thereto (incorporated by reference to Exhibit 10.1 to the Company’s current report on Form 8-K filed with the SEC on January 24, 2024). |
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| 10.2 | Securities Purchase Agreement, dated January 22, 2024, between the Company and Syntone (incorporated by reference to Exhibit 10.4 to the Company’s current report on Form 8-K filed with the SEC on January 24, 2024). |
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| 10.3 | Form of Support Agreement, dated January 22, 2024, between the Company and the stockholders party thereto (incorporated by reference to Exhibit 10.3 to the Company’s current report on Form 8-K filed with the SEC on January 24, 2024). |
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| 10.4 | Form of Registration Rights Agreement, dated January 22, 2024, between the Company and the investors party thereto (incorporated by reference to Exhibit 10.3 to the Company’s current report on Form 8-K filed with the SEC on January 24, 2024). |
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| 10.5 | Registration Rights Agreement, dated January 22, 2024, between the Company and Syntone (incorporated by reference to Exhibit 10.5 to the Company’s current report on Form 8-K filed with the SEC on January 24, 2024). |
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| 10.6 | Form of Common Stock Purchase Warrant (incorporated by reference to Exhibit 4.1 to the Company’s current report on Form 8-K filed with the SEC on January 24, 2024). |
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| 10.7 | Form of Syntone Common Stock Purchase Warrant (incorporated by reference to Exhibit 4.2 to the Company’s current report on Form 8-K filed with the SEC on January 24, 2024). |
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| 10.8 | Third Amendment, dated January 22, 2024, to the Convertible Promissory Note, dated December 22, 2022, by and between the Company and Streeterville Capital, LLC (incorporated by reference to Exhibit 10.6 to the Company’s current report on Form 8-K filed with the SEC on January 24, 2024). |
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| 31.1 | Certification of Principal Executive Officer pursuant to Rules 13a-14(a) and 15d-14(a) promulgated under the Securities Exchange Act of 1934, as amended. |
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| 31.2 | Certification of Principal Financial Officer pursuant to Rules 13a-14(a) and 15d-14(a) promulgated under the Securities Exchange Act of 1934, as amended. |
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| 32.1* | Certification of Principal Executive Officer and Principal Financial Officer pursuant to 18 U.S.C. Section 1350, as adopted pursuant to Section 906 of the Sarbanes-Oxley Act of 2002. |
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| 101.INS** | Inline XBRL Instance Document. |
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| 101.SCH*** | Inline XBRL Taxonomy Extension Schema Document. |
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| 101.CAL*** | Inline XBRL Taxonomy Extension Calculation Linkbase Document. |
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| 101.DEF*** | Inline XBRL Definition Linkbase Document. |
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| 101.LAB*** | Inline XBRL Taxonomy Extension Labels Linkbase Document. |
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| 101.PRE*** | Inline XBRL Taxonomy Extension Presentation Linkbase Document. |
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| 104** | Cover Page Interactive Data File. |
| * | Furnished herewith and not deemed to be “filed” for purposes of Section 18 of the Securities Exchange Act of 1934, as amended, and shall not be deemed to be incorporated by reference into any filing under the Securities Act of 1933, as amended, or the Securities Exchange Act of 1934, as amended. |
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| ** | The XBRL Instance Document and Cover Page Interactive Data File do not appear in the Interactive Data File because their XBRL tags are embedded within the Inline XBRL document. |
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| *** | Submitted electronically with the report. |
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The text of this filing, as the company filed it with the SEC, without its images or exhibits. This is not investment advice.