ABVC BIOPHARMA, INC. 10-Q

ITEM 5. OTHER INFORMATION. On April 21, 2021 we terminated our service agreement with Olde Monmouth Stock Transfer Co., Inc to serve as our transfer agent and appointed Vstock Transfer, LLC to serve as our new transfer agent. Vstock’s address is 18 Lafayette Place, Woodmere, NY 11598, phone number (212) 828 – 8436. 64 ITEM 6. EXHIBITS The following exhibits are filed herewith: Exhibit No. Description 2.1 Share Exchange Agreement, dated February 8, 2016 (1) 3.1 Articles of Incorporation of the Company (2) 3.2 Bylaws of the Company (3) 3.3 Certificate of Amendment to Articles of Incorporation filed on March 21, 2016 (4) 3.4 Certificate of Amendment to Articles of Incorporation filed on December 21, 2016 (5) 3.5 Certificate of Amendment to Articles of Incorporation filed on March 30, 2020 (6) 3.6 Certificate of Amendment to Articles of Incorporation filed on February 17, 2021 + 4.1 Form of Warrant (7) 10.1 Collaboration Agreement dated December 29, 2015 (8) 10.2 Collaborative Agreement and Milestone Payment Agreement dated June 9, 2016 (9) 10.3 Employment Agreement with Kira Huang (10) 10.4 Addendum to the Collaboration Agreement dated January 12, 2017 (11) 10.5 Collaboration Agreement with BioFirst dated July 24, 2017 (12) 10.6 Co-Deve Agreement with Rgene dated May 26, 2017 (13) 10.7 Employment Agreement with Dr. Howard Doong (14) 10.8 Employment Agreement with Dr. Chi-Hsin Richard King (15) 10.9 Employment Agreement with Chihliang An (25) 10.10 Business Loan Agreement entered by and between Cathay Bank and American BriVision (Holding) Corporation (16) 10.11 Promissory Note entered by American BriVision (Holding) Corporation (17) 10.12 Form of Commercial Security Agreement (18) 10.13 Form of Exchange Agreement entered into by and between the Company and non-US person (19) 10.14 Form of Exchange Agreement entered into by and between the Company and non-US person (20) 10.15 Form of Securities Purchase Agreement entered into by and between the Company and U.S. investors (21) 10.16 Form of Securities Purchase Agreement entered into by and between the Company and non-U.S. investors (22) 10.17 Amended and Restated Amercian BriVision (Holding) Corporation 2016 Equity Incentive (26) 31.1 Certifications pursuant to Rule 13a-14(a) or 15d-14(a) under the Securities Exchange Act of 1934, as amended, as adopted pursuant to Section 302 of the Sarbanes-Oxley Act of 2002.*+ 31.2 Certifications pursuant to Rule 13a-14(a) or 15d-14(a) under the Securities Exchange Act of 1934, as amended, as adopted pursuant to Section 302 of the Sarbanes-Oxley Act of 2002.*+ 32.1 Certifications pursuant to 18 U.S.C. Section 1350, as adopted pursuant to Section 906 of the Sarbanes-Oxley Act of 2002.+ 32.2 Certifications pursuant to 18 U.S.C. Section 1350, as adopted pursuant to Section 906 of the Sarbanes-Oxley Act of 2002.+ 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+ * In accordance with SEC Release 33-8238, Exhibits 32.1 and 32.2 are being furnished and not filed. + Filed herewith (1) Incorporated by reference to Exhibit 10.1 to the Company’s Current Report on Form 8-K, filed on February 16, 2016. (2) Incorporated by reference to Exhibit 3.01 to the Company’s Form SB-2 filed on June 28, 2002 (3) Incorporated by reference to Exhibit 3.02 to the Company’s Form SB-2, filed on June 28, 2002 (4) Incorporated by reference to Exhibit 4.1 to the Company’s Current Report on Form 8-K, filed on March 28, 2016. (5) Incorporated by reference to Exhibit 3.4 to the Company’s Form S-1, filed on September 13, 2016. (6) Incorporated by reference to Exhibit 3.1 to the Company’s Form 8-K, filed on April 7, 2020 (7) Incorporated by reference to Exhibit 4.1 the Company’s Current Report on Form 8-K, filed on April 24, 2020 (8) Incorporated by reference to Exhibit 10.2 the Company’s Current Report on Form 8-K, filed on February 16, 2016. 65 (9) Incorporated by reference to Exhibit 99.1 to the Company’s Current Report on Form 8-K, filed on June 9, 2016. (10) Incorporated by reference to Exhibit 10.3 to the Company’s Annual Report on Form 10-K, filed on January 12, 2017. (11) Incorporated by reference to Exhibit 99.1 to the Company’s Current Report on Form 8-K, filed on February 22, 2017. (12) Incorporated by reference to Exhibit 10.1 to the Company’s Current Report on Form 8-K, filed on July 24, 2017. (13) Incorporated by reference to Exhibit 99.1 to the Company’s Current Report on Form 8-K, filed on May 30, 2017. (14) Incorporated by reference to Exhibit 10.1 to the Company’s Current Report on Form 8-K, filed on September 20, 2017. (15) Incorporated by reference to Exhibit 10.3 to the Company’s Current Report on Form 8-K, filed on September 20, 2017. (16) Incorporated by reference to Exhibit 10.1 to the Company’s Current Report on Form 8-K, filed on February 1, 2019. (17) Incorporated by reference to Exhibit 10.2 to the Company’s Current Report on Form 8-K, filed on February 1, 2019. (18) Incorporated by reference to Exhibit 10.3 to the Company’s Current Report on Form 8-K, filed on February 1, 2019. (19) Incorporated by reference to Exhibit 10.1 to the Company’s Current Report on Form 8-K, filed on April 24, 2020. (20) Incorporated by reference to Exhibit 10.3 to the Company’s Current Report on Form 8-K, filed April 14, 2020. (21) Incorporated by reference to Exhibit 10.15 to the Company’s Annual Report on Form 10-K, filed May 15, 2020. (22) Incorporated by reference to Exhibit 10.16 to the Company’s Annual Report on Form 10-K, filed May 15, 2020 (23) Incorporated by reference to Exhibit 14.1 to the Company’s Amendment No.1 to Form S-1, filed on November 14, 2016. (24) Incorporated by reference to 21.1 to the Company’s Form S-1, filed on September 13, 2016. (25) Incorporated by reference to Exhibit 10.9 to the Company’s Annual Report on Form 10-K, filed May 15, 2020. (26) Incorporated by reference to Exhibit 10.17 to the Company’s Annual Report on Form 10-K, filed March 16, 2021. 66 SIGNATURES Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned thereunto duly authorized. ABVC BioPharma, Inc. Dated: May 10, 2021 By: /s/ Howard Doong Howard Doong Chief Executive Officer (Principal Executive Officer) ABVC BioPharma, Inc. Dated: May 10, 2021 By: /s/ Chihliang An Chihliang An Chief Financial Officer (Principal Financial Officer) 67