PALATIN TECHNOLOGIES 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
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Item 6. Exhibits
Exhibits filed or furnished with this report:
| Exhibit Number | Description | Filed Herewith | Form | Filing Date | SEC File No. |
|---|---|---|---|---|---|
| 3.1 | Amended and Restated Bylaws of Palatin Technologies, Inc. | 8-K | September 17, 2021 | 001-15543 | |
| 3.2 | Restated Certificate of Incorporation of Palatin Technologies, Inc., as amended. | 10-K | September 27, 2013 | 001-15543 | |
| 3.3 | Certificate of Amendment to the Restated Certificate of Incorporation of Palatin Technologies, Inc., as amended. | 8-K | August 31, 2022 | 001-15543 | |
| 3.4 | Certificate of Decrease of Series A Convertible Preferred Stock. | 10-Q | May 16, 2022 | 001-15543 | |
| 4.1 | Form of February 1, 2024 Private Warrant. | 8-K | February 1, 2024 | 001-15543 | |
| 4.2 | Form of February 1, 2024 Placement Agent Warrant. | 8-K | February 1, 2024 | 001-15543 | |
| 4.3 | Form of January 24, 2024 Amendment to the Placement Agent Warrants issued on November 2, 2022 and October 24, 2023. | X | |||
| 4.4 | Form of January 24, 2024 Amendment to the Private Warrants issued to the Investor of November 2, 2022 and October 24, 2023. | X | |||
| 10.1 | Form of Securities Purchase Agreement, dated October 20, 2023, between the Company and the Purchaser named therein. | 8-K | October 24, 2023 | 001-15543 | |
| 10.2** | Asset Purchase Agreement entered into December 19, 2023, between the Company and Cosette Pharmaceuticals, Inc. | X | |||
| 10.3 | Form of Securities Purchase Agreement, dated January 29, 2024, between the Company and the Purchasers named therein. | 8-K | February 1, 2024 | 001-15543 | |
| 31.1 | Certification of Chief Executive Officer. | X | |||
| 31.2 | Certification of Chief Financial Officer. | X | |||
| 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. | * | |||
| 32.2 | Certification of 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.INS | Inline XBRL Taxonomy Extension Instance Document (the instance document does not appear on the Interactive Data File because its XBRL tags are embedded within the Inline XBRL document). | X | |||
| 101.SCH | Inline XBRL Taxonomy Extension Schema Document. | X | |||
| 101.CAL | Inline XBRL Taxonomy Extension Calculation Linkbase Document. | X | |||
| 101.DEF | Inline XBRL Taxonomy Extension Definition Linkbase Document. | X | |||
| 101.LAB | Inline XBRL Taxonomy Extension Label Linkbase Document. | X | |||
| 101.PRE | Inline XBRL Taxonomy Extension Presentation Linkbase Document. | X | |||
| 104 | Cover Page Interactive Data File (formatted as Inline XBRL and contained in Exhibit 101) | ||||
*In accordance with Item 601(b)(32)(ii) of Regulation S-K and SEC Release Nos. 33-8238 and 34-47986, Final Rule: Management’s Reports on Internal Control Over Financial Reporting and Certification of Disclosure in Exchange Act Periodic Reports, the certification furnished in Exhibits 32.1 and 32.2 hereto are deemed to accompany this Quarterly Report on Form 10-Q and will not be deemed “filed” for purposes of Section 18 of the Exchange Act. Such certification will not be deemed to be incorporated by reference into any filing under the Securities Act or the Exchange Act, except to the extent that the registrant specifically incorporates it by reference.
** Portions of the exhibit are omitted pursuant to Regulation S-K Item 601(b)(10). Palatin agrees to furnish to the U.S. Securities and Exchange Commission a copy of the omitted exhibit upon request. The confidential portions of this exhibit were omitted by means of marking such portions with asterisks because (1) such terms are both not material and are the type that the registrant treats as private or confidential, or (2) disclosure of such information would constitute a clearly unwarranted invasion of personal privacy
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