Ainos Inc
For the period ended Dec 31, 2023. Filed Mar 8, 2024.
View on SEC.govAbout this filing
A company's yearly report to the SEC, with audited financial statements. It is the fullest account a company gives of its business, its finances and the risks it sees.
FY2023 · Filed Mar 8, 2024
AIMD$0.47-21.8%Stored close · as of Nov 10, 2026
Extracted filing text, with the paragraph anchors used by the comparison.
See the whole filing, with its images and exhibitsContents
ITEM 15. EXHIBITS, FINANCIAL STATEMENT SCHEDULES
| Report of Independent Registered Public Accounting Firm (PCAOB ID:2851) | F-2 |
|---|---|
| Balance Sheets as of December 31, 2023 and 2022 | F-4 |
| Statements of Operations for the years ended December 31, 2023 and 2022 | F-5 |
| Statements of Comprehensive Loss for the years ended December 31, 2023 and 2022 | F-6 |
| Statements of Stockholders’ Equity (Deficit) for the years ended December 31, 2023 and 2022 | F-7 |
| Statements of Cash Flows for the years ended December 31, 2023 and 2022 | F-8 |
| Notes to Financial Statements for the years ended December 31, 2023 and 2022 | F-9 |
EXHIBIT INDEX
| INCORPORATED BY REFERENCE | ||||||
|---|---|---|---|---|---|---|
| EXHIBIT NUMBER | DESCRIPTION | FILED WITH THIS FORM 10-K | FILING DATE WITH SEC | FORM | EXH # | HYPERLINK TO FILINGS |
| 3.1 | Restated Certificate of Formation of the Company, dated April 15, 2021 | 4/21/2021 | 8-K | 3.1 | Restated Certificate of Formation of the Company, dated April 15, 2021 | |
| 3.2 | Certificate of Amendment to the Restated Certificate of Formation, dated August 8, 2022 | 8/12/2022 | 8-K | 3.1 | Certificate of Amendment, dated August 8 2022 | |
| 3.3 | Amended and Restated Bylaws of the Company, effective September 28, 2022 | 10/4/2022 | 8-K | 3.2 | Amended and Restated Bylaws, effective September 28, 2022 | |
| 3.4 | Amended and Restated Bylaws of the Company, effective November 27, 2023 | 12/14/2021 | 8-K | 3.1 | Certificate of Amendment to the Restated Certificate of Formation of Ainos, Inc., as filed with the Texas Secretary of State on November 27, 2023 | |
| 4.1 | Form of Common Stock Certificate | 4/3/2023 | 10-K | 4.1(a) | Form of Common Stock Certificate | |
| 4.2 | Form of Warrant | 8/2/2022 | S-1/A | 4.1 | Form of Warrant | |
| 4.3 | Form of Warrant Agency Agreement | 8/2/2022 | S-1/A | 4.2 | Form of Warrant Agency Agreement | |
| 4.4 | Form of Convertible Promissory Note | 9/29/2023 | 8-K | 4.2 | Form of Convertible Promissory Note | |
| 4.5 | Form of Common Stock Purchase Warrant | 9/29/2023 | 8-K | 4.3 | Form of Common Stock Purchase Warrant | |
| 4.6 | Form of Placement Agent Warrant | 9/29/2023 | 8-K | 4.1 | Form of Placement Agent Warrant | |
| 4.7 | Description of securities | X | ||||
| 9.1 | Voting Agreement dated September 2, 2022 | 13D/A | 1 | Voting Agreement | ||
| 9.2 | Voting Agreement dated on January 26, 2024 | 1/29/2024 | 13D/A | 1 | Voting Agreement | |
| 9.3 | Termination Agreement dated on January 26, 2024 | 1/29/2024 | 13D/A | 2 | Termination Agreement | |
| 9.4 | Voting Agreement dated on March 7, 2024 | X | Voting Agreement | |||
| 10.1 | 2018 Employee Stock Option Plan* | 4/16/2019 | 10-K | 10.72 | 2018 Employee Stock Option Plan | |
| 10.2 | 2018 Stock Option Agreement – Employee Plan* | 4/16/2019 | 10-K | 10.75 | Stock Option Agreement – Employee Plan |
| 10.3 | 2018 Officer, Directors, Employees and Consultants Nonqualified Stock Option Plan* | 4/16/2019 | 10-K | 10.73 | 2018 Officer, Directors, Employees and Consultants Nonqualified Stock Option Plan |
| 10.4 | 2018 Stock Option Agreement – Nonqualified Stock Option* | 4/16/2019 | 10-K | 10.74 | Stock Option Agreement – Nonqualified Stock Option |
| 10.5 | 2021 Stock Incentive Plan* | 3/21/2022 | 10-K | 10.13 | 2021 Stock Incentive Plan |
| 10.6 | 2021 Employee Stock Purchase Plan* | 3/21/2022 | 10-K | 10.12 | 2021 Employee Stock Purchase Plan |
| 10.7 | Non-Employee Director Compensation Policy | 4/15/2022 | 10-K/A | 10(xiv) | Non-Employee Director Compensation Policy |
| 10.8 | Ainos, Inc. 2023 Stock Incentive Plan* | 6/14/2023 | S-8 | 4.1 | Ainos, Inc. 2023 Stock Incentive Plan |
| 10.9 | Patent Assignment, dated April 15, 2021, by Ainos, Inc. | 4/21/2021 | 8-K | 10.1 | Patent Assignment, dated April 15, 2021, by Ainos, Inc. |
| 10.10 | Asset Purchase Agreement, dated as of November 18, 2021, between the Company and Ainos Inc. | 11/22/2021 | 8-K | 2.1 | Asset Purchase Agreement, dated as of November 18, 2021, between the Company and Ainos Inc. |
| 10.11 | Amended and Restated Asset Purchase Agreement, dated as of January 29, 2022, between Ainos Inc. and Ainos, Inc. | 2/3/2022 | 8-K | 2.1 | Amended and Restated Asset Purchase Agreement, dated as of January 29, 2022, between Ainos Inc. and Ainos, Inc. |
| 10.12 | Convertible Promissory Note, dated as of January 30, 2022, issued by the Company to Ainos Inc. | 2/3/2022 | 8-K | 10.1 | Convertible Promissory Note, dated as of January 30, 2022, issued by the Company to Ainos Inc. |
| 10.13 | Non-Convertible Promissory Note, dated March 4, 2022, issued by the Company to Ainos Inc. | 3/17/2022 | 8-K | 10(i) | Non-Convertible Promissory Note, dated March 4, 2022, issued by the Company to Ainos Inc. |
| 10.14 | Note Extension Agreement, dated March 17, 2022, between the Company and Ainos Inc. | 3/17/2022 | 8-K | 10 (ii) | Note Extension Agreement, dated March 17, 2022, between the Company and Ainos Inc. |
| 10.15 | Form of Convertible Note Purchase Agreement, between the Company and the purchasers party thereto | 4/4/2022 | 8-K | 2.1 | Form of Convertible Note Purchase Agreement, between the Company and the purchasers party thereto |
| 10.16 | Form of Convertible Promissory Note | 4/4/2022 | 8-K | 10.1 | Form of Convertible Promissory Note |
| 10.17 | Security Agreement, dated as of September 28, 2023, by and between Lind Global Fund II LP and Ainos, Inc. | 9/29/2023 | 8-K | 10.1 | Security Agreement, dated as of September 28, 2023, by and between Lind Global Fund II LP and Ainos, Inc. |
| 10.18 | Securities Purchase Agreement, dated as of September 25, 2023, by and between Lind Global Fund II LP and Ainos, Inc. | 9/29/2023 | 8-K | 10.2 | Securities Purchase Agreement, dated as of September 25, 2023, by and between Lind Global Fund II LP and Ainos, Inc. |
| 10.19 | Placement Agent Agreement, dated as of September 25, 2023 by and between Maxim Partners LLC and Ainos, Inc. | 9/29/2023 | 8-K | 10.3 | Placement Agent Agreement, dated as of September 25, 2023 by and between Maxim Partners LLC and Ainos, Inc. |
| 10.20 | Employment Agreement by and between Lawrence K. Lin and the Company effective August 1, 2021* | 8/16/2021 | 8-K | 10.1(a) | Employment Agreement by and between Lawrence K. Lin and the Company effective August 1, 2021 |
| 10.21 | Extension of the consulting agreement and pre-existing warrant certificate between the Company and i2China Management Group, LLC (originally dated April 15, 2018), dated November 30, 2020 | 3/30/2021 | 10-K | 10.1(J) | Extension of the consulting agreement and pre-existing warrant certificate between the Company and i2China Management Group, LLC (originally dated April 15, 2018), dated November 30, 2020 |
| 10.22 | Employment Agreement, dated March 17, 2022, by and between the Company and Chun-Hsien Tsai* | 3/17/2022 | 8-K | 10(iii) | Employment Agreement, dated March 17, 2022, by and between the Company and Chun-Hsien Tsai |
| 10.23 | Employment Agreement, dated March 17, 2022, by and between the Company and Hui-Lan Wu | 3/17/2022 | 8-K | 10(iv) | Employment Agreement, dated March 17, 2022, by and between the Company and Hui-Lan Wu | |
| 10.24 | Employment Agreement, dated March 17, 2022, by and between the Company and Chih-Heng Jack Lu | 3/17/2022 | 8-K | 10(v) | Employment Agreement, dated March 17, 2022, by and between the Company and Chih-Heng Jack Lu | |
| 10.25 | Employment Agreement, dated May 8, 2023, by and between the Company and Meng-Lin Sung* | X | Employment Agreement, dated May 8, 2023, by and between the Company and Meng-Lin Sung | |||
| 10.26 | English Translation of Product Development Agreement, dated on August 1, 2021 | 1/12/2024 | 8-K | 10.1 | English Translation of Product Development Agreement, dated on August 1, 2021 | |
| 10.27 | English Translation of Addendum to the Product Development Agreement, dated on January 9, 2024 | 1/12/2024 | 8-K | 10.2 | English Translation of Addendum to the Product Development Agreement, dated on January 9, 2024 | |
| 10.28 | Ainos NISD Inabata Codevelopment Agreement - August 9, 2023, Appendix 1 and 2 redacted | 11/9/2023 | 10-Q | 10.1 | Ainos NISD Inabata Codevelopment Agreement - August 9, 2023, Appendix 1 and 2 redacted | |
| 14.1 | Code of Ethics | 8/26/2021 | 8-K | 14.1 | Code of Ethics | |
| 19.1 | Insider Trading Policy | 11/15/2021 | 10-Q | 99.5 | Insider Trading Policy of the Board of Directors, as amended and adopted August 20, 2021 | |
| 23.1 | Consent of KCCW Accountancy Corp., independent registered public accounting firm | X | ||||
| 24.1 | Power of Attorney | X | ||||
| 31.1 | Certification of Chief Executive Officer Pursuant to Rule 13a-15(e) or Rule 15d-15(e) | X | ||||
| 31.2 | Certification of Chief Financial Officer Pursuant to Rule 13a-15(e) or Rule 15d-15(e) | 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 | X | ||||
| 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 | X | ||||
| 97.1 | Clawback policy | X | ||||
The exhibits listed in the Exhibit Index are filed or incorporated by reference as part of this filing.
- Indicates a management contract or compensatory plan or arrangement.
The text of this filing, as the company filed it with the SEC, without its images or exhibits. This is not investment advice.