Item 5. Other Information
ITEM
5. OTHER INFORMATION.
None.
65
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 (29)
4.1
Form
of Warrant (7)
4.2
Form
of Investor Warrant dated May 16, 2022 (32)
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-Development
Agreement with Rgene dated May 26, 2017 (13)
10.7
Reserved
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 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 American BriVision (Holding) Corporation 2016 Equity Incentive (26)
10.18
Form
of Securities Purchase Agreement (27)
10.19
Form
of Convertible Promissory Note (27)
10.20
Amendment
No. 1 to Promissory Note (28)
10.21
Joint
Venture Agreement between the Company, Lucidiam Co., Ltd. And BioLite Japan K.K. (30)
10.22
Amendment
to the Collaboration Agreement dated December 29, 2015 (34)
10.23
Clinical
Development Service Agreement with Rgene (portions of the exhibit have been omitted because they (i) are not material and (ii) is
the type of information that the registrant treats as private or confidential.)(31)
66
10.24
Promissory
Note issued to Regene, dated June 16, 2022 (31)
10.25
Form
of Securities Purchase Agreement dated May 12, 2022 (32)
10.26
Securities
Purchase Agreement(33)
10.27
Form
of Note(33)
10.28
Form
of Warrant(33)
10.29
Security
Agreement(33)
10.30
Guarantor
Security Agreement(33)
10.31
Guaranty(33)
10.32
Trademark
Security Agreement with Rgene Corporation(33)
10.33
Trademark
Security Agreement with BioFirst Corporation(33)
10.34
Patent
Security Agreement(33)
10.35
Copyright
Security Agreement(33)
10.36
Stock
Pledge Agreement(33)
10.37
The Cooperation Agreement between the Company and Zhong Hui Lian He Ji Tuan, Ltd. dated August 14, 2023 (35)
10.38
Amendment
to the Cooperation Agreement (36)
10.39
Letter
Agreement (37)
10.40
License Agreement between the Company and AiBtl BioPharma, Inc+
10.41
License Agreement between the BioLite and AiBtl BioPharma, Inc+
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
Inline XBRL Instance Document.+
101.SCH
Inline XBRL Taxonomy Extension Schema Document.+
101.CAL
Inline XBRL Taxonomy Extension Calculation Linkbase
Document.+
101.DEF
Inline XBRL Taxonomy Extension Definition Linkbase
Document.+
101.LAB
Inline XBRL Taxonomy Extension Label Linkbase Document.+
101.PRE
Inline XBRL Taxonomy Extension Presentation Linkbase
Document.+
104
Cover Page Interactive Data File (formatted as Inline
XBRL and contained in Exhibit 101).
*
In accordance with SEC
Release 33-8238, Exhibits 32.1 and 32.2 are being furnished and not filed.
+
Filed herewith
67
(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.
(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)
Reserved.
(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 10.2 to the Company’s Current Report on Form 8-K, filed on April 24, 2020.
(20)
Incorporated by reference
to Exhibit 10.1 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
68
(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.
(27)
Incorporated by reference
to the Current Report on Form 8-K filed on November 5, 2020.
(28)
Incorporated by reference
to the Current Report on Form 8-K filed on June 8, 2021.
(29)
Incorporated by reference
to the Quarterly Report on Form 10-Q filed on May 10, 2021.
(30)
Incorporated by reference
to the Current Report on Form 8-K filed on October 8, 2021.
(31)
Incorporated by reference
to the Current Report on Form 8-K filed on June 21, 2022.
(32)
Incorporated by reference
to the Current Report on Form 8-K filed on May 12, 2022.
(33)
Incorporated by reference
to the Company’s Current Report on Form 8-K, filed on February 24, 2023.
(34)
Incorporated by reference
to the Company’s Current Report on Form 8-K, filed on February 22, 2022.
(35)
Incorporated by reference
to the Company’s Current Report on Form 8-K, filed on August 17, 2023.
(36)
Incorporated by reference
to the Company’s Current Report on Form 8-K, filed on September 6, 2023.
(37)
Incorporated by reference
to the Company’s Current Report on Form 8-K, filed on September 13, 2023.
69
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: November 15, 2023
By:
/s/ Uttam
Patil
Uttam Patil
Chief Executive Officer
(Principal Executive Officer)
ABVC BioPharma, Inc.
Dated: November 15, 2023
By:
/s/ Leeds
Chow
Leeds Chow
Chief Financial Officer
(Principal Financial Officer)
70
Text extracted from the filing as submitted to EDGAR. Formatting, tables and exhibits are simplified for reading; the original document is authoritative for anything you rely on.