ALT5 Sigma Corp
For the period ended Sep 27, 2025. Filed Jan 12, 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.
Sep 27, 2025 · Filed Jan 12, 2026
AIFC$0.19+12.1%Stored close · as of Nov 9, 2026
Extracted filing text, with the paragraph anchors used by the comparison.
See the whole filing, with its images and exhibitsContents
Item 6. Exhibits
Index to Exhibits
| ExhibitNumber · Exhibit Description · Form · FileNumber · ExhibitNumber · FilingDate | ||||||
|---|---|---|---|---|---|---|
| 3.1 | Amendment to the Bylaws of ALT5 Sigma Corporation. | 8-K | 001-19621 | 3.1 | 8/25/2025 | |
| 3.22 | * | Certificate of Amendment to Articles of Incorporation of ALT5 Sigma Corporation, dated October 17, 2025. | ||||
| 4.1 | Form of Placement Agent Warrant | 8-K | 001-19621 | 4.1 | 8/11/2025 | |
| 4.2 | Form of PIPE Pre-Funded Warrant | 8-K | 001-19621 | 4.2 | 8/12/2025 | |
| 4.3 | Amended Certification of Stock Designation of Series Q Convertible Preferred Stock | 8-K | 001-19621 | 4.3 | 8/11/2025 | |
| 4.4 | Amended Certification of Stock Designation of Series B Preferred Stock | 8-K | 001-19621 | 4.4 | 8/11/2025 | |
| 4.5 | Amended Certification of Stock Designation of Series I Convertible Preferred Stock | 8-K | 001-19621 | 4.5 | 8/11/2025 | |
| 4.6 | Lead Investor Common Stock Warrants | 8-K | 001-19621 | 4.6 | 8/12/2025 | |
| 10.1 | Form of Registered Offering Securities Purchase Agreement, dated as of August 11, 2025, between ALT5 Sigma Corporation and each Purchaser (as defined therein). | 8-K | 001-19621 | 10.1 | 8/11/2025 | |
| 10.2 | Form of Private Placement Securities Purchase Agreement, dated as of August 11, 2025, between ALT5 Sigma Corporation and each Purchaser (as defined therein) | 8-K | 001-19621 | 10.2 | 8/11/2025 | |
| 10.3 | RD Placement Agency Agreement, dated August 11, 2025, between ALT5 Sigma Corporation and A.G.P./Alliance Global Partners | 8-K | 001-19621 | 10.3 | 8/11/2025 | |
| 10.4 | PIPE Placement Agency Agreement, dated August 11, 2025, between ALT5 Sigma Corporation and A.G.P./Alliance Global Partners | 8-K | 001-19621 | 10.4 | 8/11/2025 | |
| 10.5 | Form of Registration Rights Agreement, dated as of August 11, 2025, between ALT5 Sigma Corporation and each Purchaser (as defined therein) | 8-K | 001-19621 | 10.5 | 8/11/2025 | |
| 10.6 | Form of Lock-Up Agreement | 8-K | 001-19621 | 10.6 | 8/11/2025 | |
| 10.8 | ATM Sales Agreement, dated August 11, 2025 by and between ALT5 Sigma Corporation and A.G.P./Alliance Global Partners. | 8-K | 001-19621 | 10.8 | 8/11/2025 | |
| 10.127 | * | Placement Agent Subsequent Agreement, dated December 30, 2025, between ALT5 Sigma Corporation and Keefe, Bruyette & Woods, Inc. | ||||
| 10.128 | * | Placement Agent Subsequent Agreement, dated December 26, 2025, between ALT5 Sigma Corporation and A.G.P./Alliance Global Partners. | ||||
| 31.1 | * | Certification of the Acting Chief Executive Officer pursuant to Section 302 of the Sarbanes-Oxley Act of 2002 | ||||
| 31.2 | * | Certification of the Chief Financial Officer pursuant to Section 302 of the Sarbanes-Oxley Act of 2002 | ||||
| 32.1 | * | Certification of the Acting Chief Executive Officer pursuant to Section 906 of the Sarbanes-Oxley Act of 2002 |
| 32.2 | * | Certification of the Chief Financial Officer pursuant to Section 906 of the Sarbanes-Oxley Act of 2002 |
| 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 | Cover Page Interactive Data File (formatted in Inline XBRL and contained in Exhibit 101) |
*Filed herewith.
The text of this filing, as the company filed it with the SEC, without its images or exhibits. This is not investment advice.