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Midas Edge

Braveheart Bio, Inc.

For the period ended Jun 30, 2026. Filed Sep 8, 2026.

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About this filing

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 Sep 8, 2026

BRVE$19.62+0.8%Stored close · as of Nov 10, 2026

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Contents

Item 6. Exhibits

ExhibitNumberDescription
3.1Second Amended and Restated Certificate of Incorporation of Braveheart Bio, Inc. (incorporated by reference to Exhibit 3.1 to the Company’s Current Report on Form 8-K filed on August 7, 2026).
3.2Second Amended and Restated Bylaws of Braveheart Bio, Inc. (incorporated by reference to Exhibit 3.2 to the Company’s Current Report on Form 8-K filed on August 7, 2026).
4.1Specimen Common Stock Certificate (incorporated by reference to Exhibit 4.1 to the Company’s Registration Statement on Form S-1 (File No. 333-297456) filed on July 30, 2026).
10.1#Braveheart Bio, Inc. 2026 Stock Option and Incentive Plan and forms of award agreements thereunder (incorporated by reference to Exhibit 10.2 to the Company’s Registration Statement on Form S-1 (File No. 333-297456) filed on July 30, 2026).
10.2#Braveheart Bio, Inc. 2026 Employee Stock Purchase Plan (incorporated by reference to Exhibit 10.3 to the Company’s Registration Statement on Form S-1 (File No. 333-297456) filed on July 30, 2026).
10.3#Form of Indemnification Agreement, by and between the Registrant and its directors and executive officers (incorporated by reference to Exhibit 10.4 to the Company’s Registration Statement on Form S-1 (File No. 333-297456) filed on July 30, 2026).
10.4#Senior Executive Cash Incentive Bonus Plan (incorporated by reference to Exhibit 10.5 to the Company’s Registration Statement on Form S-1 (File No. 333-297456) filed on July 14, 2026).
10.5#Non-Employee Director Compensation Policy (incorporated by reference to Exhibit 10.6 to the Company’s Registration Statement on Form S-1 (File No. 333-297456) filed on July 30, 2026).
10.6#Compensation Recovery Policy (incorporated by reference to Exhibit 10.7 to the Company’s Registration Statement on Form S-1 (File No. 333-297456) filed on July 14, 2026).
10.7#Form of Amended and Restated Executive Employment Agreement (incorporated by reference to Exhibit 10.10 to the Company’s Registration Statement on Form S-1 (File No. 333-297456) filed on July 30, 2026).
10.8#Executive Severance and Change in Control Plan and Summary Plan Description (incorporated by reference to Exhibit 10.12 to the Company’s Registration Statement on Form S-1 (File No. 333-297456) filed on July 30, 2026).
10.9#Consulting Agreement by and between the Registrant and David Malek, dated August 29, 2025 (incorporated by reference to Exhibit 10.11 of the Company’s Registration Statement on Form S-1 (File No. 333-297456) filed on July 14, 2026).
10.10†+Exclusive License Agreement by and between the Registrant and Jiangsu Hengrui Pharmaceuticals Co., Ltd., dated as of September 3, 2025 (incorporated by reference to Exhibit 10.8 to the Company’s Registration Statement on Form S-1 (File No. 333-297456) filed on July 14, 2026).
10.11+Sublease Agreement by and between the Registrant and Aperture Group, LLC, dated December 12, 2025 (incorporated by reference to Exhibit 10.9 to the Company’s Registration Statement on Form S-1 (File No. 333-297456) filed on July 14, 2026).
31.1*Certification of Principal Executive Officer Pursuant to Rules 13a-14(a) and 15d-14(a) under the Securities Exchange Act of 1934, as Adopted Pursuant to Section 302 of the Sarbanes-Oxley Act of 2002.
31.2*Certification of Principal Financial Officer Pursuant to Rules 13a-14(a) and 15d-14(a) under the Securities Exchange Act of 1934, as Adopted Pursuant to Section 302 of the Sarbanes-Oxley Act of 2002.
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.
101.INSInline XBRL Instance Document – the instance document does not appear in the Interactive Data File because XBRL tags are embedded within the Inline XBRL document.
101.SCHInline XBRL Taxonomy Extension Schema With Embedded Linkbase Documents
104Cover Page Interactive Data File (embedded within the Inline XBRL document)
  • Filed herewith.

** The certifications furnished in Exhibit 32.1 are deemed to be furnished with this Quarterly Report on Form 10-Q and will not be deemed to be “filed” for purposes of Section 18 of the Exchange Act, except to the extent that the Registrant specifically incorporates it by reference.

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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.