Expion360 Inc
For the period ended Dec 31, 2023. Filed Mar 28, 2024.
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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 28, 2024
XPON$2.50-3.1%Stored close · as of Nov 10, 2026
Extracted filing text, with the paragraph anchors used by the comparison.
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ITEM 15. EXHIBITS AND FINANCIAL STATEMENT SCHEDULES
(a)(1) Financial Statements
Our financial statements are listed in the “Index to the Financial Statements,” which appears on page F-1 of this Annual Report.
(a)(2) Financial Statement Schedules
All financial statement schedules are omitted because the information called for is not required or is shown either in the financial statements or the notes thereto.
(a)(3) Exhibits
The following is a list of exhibits filed as part of this Annual Report.
| Incorporated by Reference | ||||
|---|---|---|---|---|
| Exhibit Number | Description | Form | Exhibit | Filing Date |
| 3.1 | Articles of Incorporation of the Company, effective as of November 4, 2021 | S-1 | 3.1 | 3/31/2022 |
| 3.2 | Bylaws of the Company currently in effect | S-1 | 3.2 | 3/31/2022 |
| 4.1 | Form of the Company’s common stock certificate | S-1 | 4.1 | 3/31/2022 |
| 4.2 | Form of Underwriters Warrant | S-1 | 4.4 | 3/31/2022 |
| 4.3 | Form of Senior Secured Note issued to bridge loan investors | S-1 | 4.5 | 3/31/2022 |
| 4.4 | Description of Capital Stock | - | - | - |
| 4.5 | Form of Warrant with an Exercise Price of $2.90 | 10-K | 10.15 | 3/30/2023 |
| 4.6 | Form of Warrant with an Exercise Price of $3.32 | 10-K | 10.16 | 3/30/2023 |
| 4.7 | Form of Convertible Note | 8-K | 4.1 | 12/29/2023 |
| 10.1 | Form of Common Stock Warrant Issued to Selling Stockholders | S-1 | 10.1 | 3/31/2022 |
| 10.2† | Expion360 Inc 2021 Incentive Award Plan | S-1 | 10.2 | 3/31/2022 |
| 10.3† | Amendment to Expion360 Inc. 2021 Incentive Award Plan | - | - | - |
| 10.4† | Expion360 Inc 2021 Employee Stock Purchase Plan | S-1 | 10.3 | 3/31/2022 |
| 10.5 | Form of Security Agreement Issued to Bridge Loan Investors | S-1 | 10.7 | 3/31/2022 |
| 10.6 | Commercial Lease of premises at 2045 SW Deerhound Avenue Redmond, OR | S-1 | 10.8 | 3/31/2022 |
| 10.7 | Commercial Lease of premises at 1266 SW Lake Blvd, Redmond, OR | S-1 | 10.11 | 3/31/2022 |
| 10.8 | Underwriting Agreement dated March 31, 2022, between the Company and Alexander Capital, LP as Representative of the Underwriters | 8-K | 1.1 | 4/05/2022 |
| 10.9† | Amended and Restated Employment Agreement between John Yozamp and Expion360 Inc., dated January 26, 2023 | 8-K | 10.1 | 2/01/2023 |
| 10.10† | Amended and Restated Employment Agreement between Brian Schaffner and Expion360 Inc., dated January 26, 2023 | 8-K | 10.1 | 2/01/2023 |
| 10.11† | Amended and Restated Employment Agreement between Paul Shoun and Expion360 Inc., dated January 26, 2023 | 8-K | 10.1 | 2/01/2023 |
| 10.12† | Amended and Restated Employment Agreement between Greg Aydelott and Expion360 Inc., dated January 26, 2023 | 8-K | 10.1 | 2/01/2023 |
| 10.13* | Securities Purchase Agreement, dated December 27, 2023, between Expion360 Inc. and 3i, LP | 8-K | 10.1 | 12/29/2023 |
| 10.14* | Common Stock Purchase Agreement, dated December 27, 2023, between Expion360 Inc. and Tumim Stone Capital, LLC | 8-K | 10.2 | 12/29/2023 |
| 10.15* | Registration Rights Agreement, dated December 27, 2023, between Expion360 Inc. and Tumim Stone Capital, LLC | 8-K | 10.3 | 12/29/2023 |
| 21.1 | Subsidiaries of the Company | - | - | - |
| 23.1 | Consent of M&K CPAS PLLC | - | - | - |
| 24.1 | Power of Attorney (reference is made to the signature page hereto) | - | - | - |
| 31.1 | Certification of Principal Executive Officer pursuant to Rule 13a-14(a) and 15d-14(a) under the Exchange Act, as adopted pursuant to Section 302 of the Sarbanes-Oxley Act of 2002 | - | - | - |
| 31.2 | Certification of Principal Financial Officer pursuant to Rule 13a-14(a) and 15d-14(a) under the Exchange Act, 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 | - | - | - |
| 97.1 | Expion360 Inc. Executive Compensation Clawback Policy | - | - | - |
| 101.INS | XBRL Instance Document. | - | - | - |
| 101.SCH | XBRL Taxonomy Extension Schema Document. | - | - | - |
| 101.CAL | XBRL Taxonomy Extension Calculation Linkbase Document. | - | - | - |
| 101.DEF | XBRL Taxonomy Extension Definition Linkbase Document. | - | - | - |
| 101.LAB | XBRL Taxonomy Extension Label Linkbase Document. | - | - | - |
| 101.PRE | XBRL Taxonomy Extension Presentation Linkbase Document. | - | - | - |
| 104 | Cover Page Interactive Data File (formatted as Inline XBRL and included in Exhibit 101). | - | - | - |
| † | Indicates a management contract or compensatory plan or arrangement. |
|---|---|
| # | This certification is deemed not filed for purpose of Section 18 of the Exchange Act or otherwise subject to the liability of that section, nor shall it be deemed incorporated by reference into any filing under the Securities Act or the Exchange Act. |
| * | The schedules and exhibits to this agreement have been omitted pursuant to Item 601(a)(5) of Regulation S-K. A copy of any omitted schedule and/or exhibit will be furnished to the SEC upon request. |
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