CARLSMED, INC.
For the period ended Sep 30, 2026. Filed Nov 10, 2026.
View on SEC.govAbout 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, 2026 · Filed Nov 10, 2026
CARL$14.71-8.3%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 6. Exhibits
| ExhibitNumber | Description |
| 3.1 | Amended and Restated Certificate of Incorporation of Carlsmed, Inc. (incorporated by reference to Exhibit 3.1 to the Current Report on Form 8-K dated July 24, 2025 (File No. 001-42756)). |
| 3.2 | Amended and Restated Bylaws of Carlsmed, Inc. (incorporated by reference to Exhibit 3.2 to the Current Report on Form 8-K dated July 24, 2025 (File No. 001-42756)). |
| 10.1+# | Separation and Release Agreement, dated September 29, 2026, by and between Carlsmed, Inc. and Leonard Greenstein (incorporated by reference to Exhibit 10.1 to the Current Report on Form 8-K dated September 30, 2026 (File No. 001-42756)). |
| 10.2+# | Advisory Agreement, dated September 29, 2026, by and between Carlsmed, Inc. and Leonard Greenstein (incorporated by reference to Exhibit 10.2 to the Current Report on Form 8-K dated September 30, 2026 (File No. 001-42756). |
| 10.3+# | Employment Agreement, effective as of September 28, 2026, by and between Carlsmed, Inc. and Richard Heppenstall (incorporated by reference to Exhibit 10.3 to the Current Report on Form 8-K dated September 30, 2026 (File No. 001-42756)). |
| 10.4+# | Relocation and Transition Benefit Agreement, effective as of September 28, 2026, by and between Carlsmed, Inc. and Richard Heppenstall (incorporated by reference to Exhibit 10.4 to the Current Report on Form 8-K dated September 30, 2026 (File No. 001-42756)). |
| 10.5+# | Inducement Stock Option Agreement, dated September 28, 2026, by and between Carlsmed, Inc. and Richard Heppenstall (incorporated by reference to Exhibit 10.5 to the Current Report on Form 8-K dated September 30, 2026 (File No. 001-42756)). |
| 10.6+# | Inducement Restricted Stock Unit Agreement, dated September 28, 2026, by and between Carlsmed, Inc. and Richard Heppenstall (incorporated by reference to Exhibit 10.6 to the Current Report on Form 8-K dated September 30, 2026 (File No. 001-42756)). |
| 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 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 Instance Document – the instance document does not appear in the Interactive Data File as its XBRL tags are embedded within the Inline XBRL document |
| 101.SCH* | Inline XBRL Taxonomy Extension Schema With Embedded Linkbase Documents |
| 104* | Cover page formatted as Inline XBRL and contained in Exhibit 101 |
- Filed herewith.
** Furnished herewith.
- Certain of the schedules and attachments to this exhibit have been omitted pursuant to Item 601(a)(5) of Regulation S-K or certain personal information has been redacted from this exhibit pursuant to Item 601(a)(6) of Regulation S-K. The Registrant hereby undertakes to provide further information regarding such omitted materials to the SEC upon request.
The text of this filing, as the company filed it with the SEC, without its images or exhibits. This is not investment advice.