QS Energy Inc
For the period ended Dec 31, 2023. Filed Apr 9, 2024.
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FY2023 · Filed Apr 9, 2024
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Item 15. Exhibits, Financial Statement Schedules
(a) The following documents are filed as part of this Form 10-K.
Financial Statements:
Reference is made to the contents to the consolidated financial statements of QS Energy, Inc. under Item 7 of this Form 10-K.
(b) Exhibits:
The exhibits listed below are required by Item 601 of Regulation S-K.
| Exhibit No. | Description |
| 3.1(1) | Articles of Incorporation, as amended, of the Registrant |
| 3.1(6) | Articles of Merger |
| 3.1(5) | Amendment to Articles of Incorporation (12/20/13) |
| 3.1(15) | Second amendment to Articles of Incorporation (10/12/17) |
| 3.2(4) | Amended and Restated Bylaws of the Registrant |
| 3.2(8) | Amendment to the Amended and Restated Bylaws |
| 10.1(2) | License Agreement between the Registrant and Temple University dated February 2, 2007 |
| 10.2(3) | License Agreement between the Registrant and Temple University dated August 9, 2011 |
| 10.4(7) | Registrant’s Business Plan |
| 10.8(9) | Jason Lane Employment Agreement effective April 1, 2017 |
| 10.9(10) | Michael McMullen Employment Agreement effective April 1, 2017 |
| 10.10(11) | Bigger Separation Agreement effective April 1, 2017 |
| 10.13(12) | Forms of Convertible Note, Warrant, and Securities Purchase Agreement in 2017 Spring Offering |
| 10.11(13) | Amendment to the License Agreement between the Registrant and Temple University |
| 10.12(14) | Submission of Matters to a Vote of Security Holders |
| 10.13(16) | Amendment to Jason Lane employment agreement |
| 10.14(17) | Form of Spring 2018 Securities Purchase Agreement |
| 10.15(18) | Form of Winter 2018-2019 Offering Securities Purchase Agreement |
| 10.16(18) | Amendment to Jason Lane employment agreement effective April 1, 2019 |
| 10.17(18) | Amendment to Michael McMullen employment agreement effective April 1, 2019 |
| 10.18(19) | Fourth Amendment to Jason Lane employment agreement effective February 15, 2020 |
| 10.19(19) | Third Amendment to Michael McMullen employment agreement effective February 15, 2020 |
| 21(17) | List of Subsidiaries |
| 24* | Power of Attorney (included on Signature Page) |
| 31.1* | Certification of Chief Executive Officer of Annual Report Pursuant to Rule 13(a)—15(e) or Rule 15(d)—15(e) |
| 32.1* | Certification of Chief Executive Officer and Chief Financial Officer of Annual Report pursuant to Rule 13(a)—15(e) or Rule 15(d)—15(e) |
| 101.INS* | Inline XBRL Instance Document |
| 101.SCH* | Inline XBRL Schema Document |
| 101.CAL* | Inline XBRL Calculation Linkbase Document |
| 101.DEF* | Inline XBRL Definition Linkbase Document |
| 101.LAB* | Inline XBRL Label Linkbase Document |
| 101.PRE* | Inline XBRL Presentation Linkbase Document |
| 104 | Cover Page Interactive Data File (formatted in iXBRL, and included in exhibit 101) |
| * | Filed herewith. |
|---|---|
| ** | Confidential treatment previously requested. |
| † | Management contract or compensatory plan or arrangement. |
| (1) | Incorporated by reference from Registrant’s Registration Statement on Form 10-SB (Registration Number 000-29185), as amended, filed on March 2, 2000 |
| (2) | Incorporated by reference from Registrant’s Form 8-K filed on February 8, 2007 |
| (3) | Incorporated by reference from Registrant’s Form 8-K filed on August 11, 2011 |
| (4) | Incorporated by reference from Registrant’s Form 8-K filed on July 8, 2013 |
| (5) | Incorporated by reference from Registrant’s Form 8-K filed on December 20, 2013 |
| (6) | Incorporated by reference from Registrant’s Form 8-K filed on August 11, 2015 |
| (7) | Incorporated by reference from Registrant’s Form 8-K filed on December 1, 2015 |
| (8) | Incorporated by reference from Registrant’s Form 8-K filed on November 14, 2016 |
| (12) | Incorporated by reference from Registrant’s Form 8-K filed June 6, 2017 |
| (13) | Incorporated by reference from Registrant’s Form 8-K filed July 14, 2017 |
| (14) | Incorporated by reference from Registrant’s Form 8-K filed July 19, 2017 |
| (15) | Incorporated by reference from Registrant’s Form 8-K filed October 12, 2017 |
| (16) | Incorporated by reference from Registrant’s Form 10-Q filed November 14, 2017 |
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