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Midas Edge

Aclarion Inc

For the period ended Sep 30, 2024. Filed Nov 14, 2024.

View on SEC.gov

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.

Sep 30, 2024 · Filed Nov 14, 2024

ACON$1.75+5.4%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 exhibits
Contents

Item 6. Exhibits

The exhibits required by Item 601 of Regulation S-K and Item 15(b) of this Quarterly Report are listed in the Exhibit Index below. The exhibits listed in the Exhibit Index are incorporated by reference herein.

Exhibit NumberDescription of DocumentIncorporated by reference from FormFiling DateExhibit NumberFiled Herewith
1.1IPO Underwriting Agreement dated April 21, 20228-K04-27-20221.1
1.2Form of 2024 Placement Agent AgreementS-1/A03-23-20241.1
3.1Amended and Restated Certificate of Incorporation of the Company8-K04-27-20223.1
3.2Certificate of Amendment dated January 3, 2024 to the Amended and Restated Certificate of Incorporation8-K01-04-20243.1
3.3Bylaws of the Company8-K04-27-20223.2
3.4Certificate of Designation of Series A Preferred Stock8-K02-17-20233.1
3.5Amendment to Bylaws dated June 12, 20248-K06-18-20243.1
3.6Series B Convertible Preferred Stock Certificate of Designations dated August 14, 20248-K08-16-20243.1
3.7Series C Convertible Preferred Stock Certificate of Designations dated September 30, 20248-K10-01-20243.1
4.1Form of Common Stock Certificate10-Q06-06-20224.1
4.2Form of IPO Public Warrant8-K04-27-20224.1
4.3Form of IPO Representative’s Common Stock Purchase Warrant8-K04-27-20224.2
4.4Description of Securities10-Q06-06-20224.4
4.52024 Form of Common WarrantS-1/A02-06-20244.5
4.62024 Form of Prefunded WarrantS-1/A02-06-20244.6
4.72024 Form of Warrant Agency AgreementS-1/A02-23-20244.7
10.1#Employment Agreement of Jeff ThramannS-1/A03-23-202210.1
10.2#Employment Agreement of Brent NessS-1/A03-23-202210.2
10.3#Employment Agreement of John LorbieckiS-1/A03-23-202210.3
10.4#Form of Aclarion, Inc. 2022 Equity Incentive PlanS-101-06-202210.4
10.5Senior Secured Bridge NoteS-1/A03-04-202210.5
10.6License Agreement with UCSF the Regents of the University of CaliforniaS-101-06-202210.6
10.7Amendment to UC License AgreementS-1/A03-04-202210.7
10.8**NuVasive Amended and Restated Commission Agreement dated February 28, 2020S-1/A03-23-202210.8
10.9Amended and Restated Investor Rights Agreement dated July 27, 2017S-1/A03-23-202210.9
10.10First Amendment to Amended and Restated Investor Rights Agreement dated February 20, 2020S-1/A03-23-202210.10
10.11NuVasive SAFE (Simple Agreement for Future Equity) dated February 28, 2020S-1/A03-23-202210.11
10.12**Right of First Offer AgreementS-1/A03-23-202210.12
10.13First Amendment to Right of First Offer AgreementS-1/A03-23-202210.13
10.14Second Amendment to Right of First Offer AgreementS-1/A03-23-202210.14
10.15Convertible Note and Warrant Purchase AgreementS-1/A03-23-202210.16
10.16Warrant Agent Agreement dated April 21, 20228-K04-27-202210.1
10.17Siemens Strategic Collaboration AgreementS-101-06-202210.17
10.18#Aclarion, Inc. 2022 Equity Incentive Plan – Form of Option Grant Notice and Stock Option AgreementS-101-06-202210.20
10.19#Aclarion, Inc. 2022 Equity Incentive Plan – Form of RSU Grant Notice and RSU AgreementS-101-06-202210.21
10.20#Nocimed, Inc. 2015 Stock PlanS-805-26-202299.4
10.21#Nocimed, Inc. 2015 Stock Plan – Form of Option Grant Notice and Stock Option AgreementS-805-26-202299.5
10.22Securities Purchase Agreement dated February 16, 2023 between Aclarion, Inc. and Jeffrey Thramann8-K02-17-202310.1
10.23Form of Securities Purchase Agreement8-K05-17-202310.1
10.24Form of Unsecured Non-Convertible Note8-K05-17-202310.2
10.25Form of Common Stock Warrant8-K05-17-202310.3
10.26Form of Registration Rights Agreement8-K05-17-202310/4
10.27Waiver Related to Unsecured Non-Convertible Notes8-K08-14-202310.1
10.28White Lion Purchase Agreement8-K10-10-202310.1
10.29White Lion Registration Rights Agreement8-K10-10-202310.2
10.302024 Form of Lock-Up AgreementS-1/A02-06-202410.31
10.312024 Form of Securities Purchase AgreementS-1/A02/23/202410.32
10.32Form of Securities Purchase Agreement dated November 21, 20238-K11-22-202310.1
10.33Form of Unsecured Non-Convertible Note dated November 21, 20238-K11-22-202310.2
10.34Form of Common Stock Warrant dated November 21, 20238-K11-22-202310.3
10.35Form of Registration Rights Agreement dated November 21, 20238-K11-22-202310.4
10.36Form of January 2024 Exchange Agreement8-K01-23-202410.1
10.37Form of Subscription Agreement1-A/A06-20-20244.1
10.38Form of Exchange Agreement dated August 14, 20248-K08-16-202410.1
10.39Form of Warrant Purchase Agreement dated August 14, 20248-K08-29-202410.2
10.40Form of Securities Purchase Agreement dated September 30, 20248-K10-01-202410.1
10.41Form of Common Stock Warrant dated September 30, 20248-K10-01-202410.2
10.42Form of Registration Rights Agreement dated September 30, 20248-K10-01-202410.3
31.1Section 302 Certification by the Corporation’s Chief Executive OfficerX
31.2Section 302 Certification by the Corporation’s Chief Financial OfficerX
32.1Section 906 Certification by the Corporation’s Chief Executive OfficerX
32.2Section 906 Certification by the Corporation’s Chief Financial OfficerX
97.1Aclarion Clawback Policy10-K03-28-202497.1
101.INSInline XBRL Instance Document (the instance document does not appear in the Interactive Data File because its XBRL tags are embedded within the Inline XBRL document)
101.SCHInline XBRL Taxonomy Extension Schema Document
101.CALInline XBRL Taxonomy Extension Calculation Linkbase Document
101.DEFInline XBRL Taxonomy Extension Definition Linkbase Document
101.LABInline XBRL Taxonomy Extension Label Linkbase Document
101.PREInline XBRL Taxonomy Extension Presentation Linkbase Document
104Cover Page Interactive Data File (formatted in IXBRL, and included in exhibit 101).
#Indicates management contract or compensatory plan.
**Certain portions of the exhibit have been omitted pursuant to Rule 601(b)(10) of Regulation S-K. The omitted information is (i) not material and (ii) would likely cause competitive harm to the Company if publicly disclosed.
ContentsView on SEC.gov

The text of this filing, as the company filed it with the SEC, without its images or exhibits. This is not investment advice.