What changed in this filing

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Item 5. Other Information

2024-05-17 compared with 2023-11-15 · 138 added, 143 removed, 22 unchanged (93% of the section changed)

OTHER INFORMATION.

The following

exhibits are filed herewith:

Exchange Agreement, dated February 8, 2016 (1)

of Incorporation of the Company (2)

of the Company (3)

of Amendment to Articles of Incorporation filed on March 21, 2016 (4)

of Amendment to Articles of Incorporation filed on December 21, 2016 (5)

of Amendment to Articles of Incorporation filed on March 30, 2020 (6)

of Amendment to Articles of Incorporation filed on February 17, 2021 (29)

of Warrant (7)

of Investor Warrant dated May 16, 2022 (32)

Collaboration

Agreement dated December 29, 2015 (8)

Collaborative

Agreement and Milestone Payment Agreement dated June 9, 2016 (9)

Agreement with Kira Huang (10)

to the Collaboration Agreement dated January 12, 2017 (11)

Collaboration

Agreement with BioFirst dated July 24, 2017 (12)

Co-Development

Agreement with Rgene dated May 26, 2017 (13)

Agreement with Dr.

Chi-Hsin Richard King (15)

Agreement with Chihliang An (25)

Loan Agreement entered by and between Cathay Bank and American BriVision (Holding) Corporation (16)

Note entered by American BriVision (Holding) Corporation (17)

of Commercial Security Agreement (18)

of Exchange Agreement entered into by and between the Company and non-US person (19)

of Exchange Agreement entered into by and between the Company and US person (20)

of Securities Purchase Agreement entered into by and between the Company and U.S.

The following exhibits are filed herewith:

Share Exchange Agreement, dated February 8, 2016 (1)

Articles of Incorporation of the Company (2)

Bylaws of the Company, as amended (44)

Certificate of Amendment to Articles of Incorporation filed on March 21, 2016 (4)

Certificate of Amendment to Articles of Incorporation filed on December 21, 2016 (5)

Certificate of Amendment to Articles of Incorporation filed on March 30, 2020 (6)

Certificate of Amendment to Articles of Incorporation filed on February 17, 2021 (29)

Certificate of Amendment to Articles of Incorporation filed on July 24, 2023 (45)

Amendment to Bylaws (46)

Form of Warrant (7)

Form of Investor Warrant dated May 16, 2022 (32)

Collaboration Agreement dated December 29, 2015 (8)

Collaborative Agreement and Milestone Payment Agreement dated June 9, 2016 (9)

Employment Agreement with Kira Huang (10)

Addendum to the Collaboration Agreement dated January 12, 2017 (11)

Collaboration Agreement with BioFirst dated July 24, 2017 (12)

Co-Development Agreement with Rgene dated May 26, 2017 (13)

Business Loan Agreement entered by and between Cathay Bank and American BriVision (Holding) Corporation (16)

Promissory Note entered by American BriVision (Holding) Corporation (17)

Form of Commercial Security Agreement (18)

Form of Exchange Agreement entered into by and between the Company and non-US person (19)

Form of Exchange Agreement entered into by and between the Company and US person (20)

Form of Securities Purchase Agreement entered into by and between the Company and U.S.

investors (21)

of Securities Purchase Agreement entered into by and between the Company and non-U.S.

Form of Securities Purchase Agreement entered into by and between the Company and non-U.S.

investors (22)

and Restated American BriVision (Holding) Corporation 2016 Equity Incentive (26)

of Securities Purchase Agreement (27)

of Convertible Promissory Note (27)

Amended and Restated American BriVision (Holding) Corporation 2016 Equity Incentive (26)

Form of Securities Purchase Agreement (27)

Form of Convertible Promissory Note (27)

Amendment No.

1 to Promissory Note (28)

Venture Agreement between the Company, Lucidiam Co., Ltd.

Joint Venture Agreement between the Company, Lucidiam Co., Ltd.

And BioLite Japan K.K.

to the Collaboration Agreement dated December 29, 2015 (34)

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)

Note issued to Regene, dated June 16, 2022 (31)

of Securities Purchase Agreement dated May 12, 2022 (32)

Purchase Agreement(33)

of Warrant(33)

Agreement(33)

Security Agreement(33)

Security Agreement with Rgene Corporation(33)

Security Agreement with BioFirst Corporation(33)

Security Agreement(33)

Amendment to the Collaboration Agreement dated December 29, 2015 (34)

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)

Promissory Note issued to Regene, dated June 16, 2022 (31)

Form of Securities Purchase Agreement dated May 12, 2022 (32)

Securities Purchase Agreement(33)

Form of Note(33)

Form of Warrant(33)

Security Agreement(33)

Pledge Agreement(33)

Guarantor Security Agreement(33)

Trademark Security Agreement with Rgene Corporation(33)

Trademark Security Agreement with BioFirst Corporation(33)

Patent Security Agreement(33)

Stock Pledge Agreement(33)

The Cooperation Agreement between the Company and Zhong Hui Lian He Ji Tuan, Ltd.

dated August 14, 2023 (35)

to the Cooperation Agreement (36)

Agreement (37)

Amendment to the Cooperation Agreement (36)

Letter Agreement (37)

License Agreement between the Company and AiBtl BioPharma, Inc (47)

License Agreement between the BioLite and AiBtl BioPharma, Inc (47)

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.+

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.+

Certifications

pursuant to 18 U.S.C.

Definitive License Agreement between the Company and OncoX BioPharma, Inc.

May 8, 2024 (51)

Definitive License Agreement between Rgene and OncoX BioPharma, Inc.

dated May 8, 2024 (51)

Form of 2nd Lind Note (38)

Form of 2nd Lind Warrant (38)

Securities Purchase Agreement dated November 17, 2023 (38)

First Amendment To Security Agreement (38)

First Amendment To Guarantor Security Agreement (38)

First Amendment to Guaranty (38)

Securities Purchase Agreement dated January 17, 2024 (39)

Form of 3rd Placement Agent Warrant (40)

Second Amendment To Security Agreement (39)

Second Amendment To Guarantor Security Agreement (39)

Second Amendment to Guaranty (39)

Form of 3rd Lind Note (39)

Form of 3rd Lind Warrant (39)

Amendment No.

1 to 2nd Lind Note (41)

Amendment No.

2 to 2nd Lind Note (42)

Amendment No.

1 to 3rd Lind Note (43)

Definitive License Agreement between the Company and OncoX BioPharma, Inc.

Definitive License Agreement between Rgene and OncoX BioPharma, Inc.

Definitive License Agreement between the Company and ForSeeCon Eye Corporation (49)

Definitive License Agreement between BIOFIRST CORPORATION and ForSeeCon Eye Corporation (49)

Form of Amendment (50)

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.+

Certifications pursuant to 18 U.S.C.

Section 1350, as adopted pursuant to Section 906 of the Sarbanes-Oxley Act of 2002.*+

Certifications

pursuant to 18 U.S.C.

Certifications pursuant to 18 U.S.C.

Section 1350, as adopted pursuant to Section 906 of the Sarbanes-Oxley Act of 2002.*+

1 unchanged sentence

Inline XBRL Taxonomy Extension Schema Document.+

Inline XBRL Taxonomy Extension Calculation Linkbase

Inline XBRL Taxonomy Extension Definition Linkbase

Inline XBRL Taxonomy Extension Calculation Linkbase Document.+

Inline XBRL Taxonomy Extension Definition Linkbase Document.+

Inline XBRL Taxonomy Extension Label Linkbase Document.+

Inline XBRL Taxonomy Extension Presentation Linkbase

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.

Inline XBRL Taxonomy Extension Presentation Linkbase Document.+

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

Incorporated by reference

to Exhibit 10.1 to the Company’s Current Report on Form 8-K, filed on February 16, 2016.

Incorporated by reference

to Exhibit 3.01 to the Company’s Form SB-2 filed on June 28, 2002

Incorporated by reference

to Exhibit 3.02 to the Company’s Form SB-2, filed on June 28, 2002

Incorporated by reference

to Exhibit 4.1 to the Company’s Current Report on Form 8-K, filed on March 28, 2016.

Incorporated by reference

to Exhibit 3.4 to the Company’s Form S-1, filed on September 13, 2016.

Incorporated by reference

to Exhibit 3.1 to the Company’s Form 8-K, filed on April 7, 2020

Incorporated by reference

to Exhibit 4.1 the Company’s Current Report on Form 8-K, filed on April 24, 2020

Incorporated by reference

to Exhibit 10.2 the Company’s Current Report on Form 8-K, filed on February 16, 2016.

Incorporated by reference

to Exhibit 99.1 to the Company’s Current Report on Form 8-K, filed on June 9, 2016.

Incorporated by reference

to Exhibit 10.3 to the Company’s Annual Report on Form 10-K, filed on January 12, 2017.

Incorporated by reference

to Exhibit 99.1 to the Company’s Current Report on Form 8-K, filed on February 22, 2017.

Incorporated by reference

to Exhibit 10.1 to the Company’s Current Report on Form 8-K, filed on July 24, 2017.

Incorporated by reference

to Exhibit 99.1 to the Company’s Current Report on Form 8-K, filed on May 30, 2017.

Incorporated by reference

to Exhibit 10.3 to the Company’s Current Report on Form 8-K, filed on September 20, 2017.

Incorporated by reference

to Exhibit 10.1 to the Company’s Current Report on Form 8-K, filed on February 1, 2019.

Incorporated by reference

to Exhibit 10.2 to the Company’s Current Report on Form 8-K, filed on February 1, 2019.

Incorporated by reference

to Exhibit 10.3 to the Company’s Current Report on Form 8-K, filed on February 1, 2019.

Incorporated by reference

to Exhibit 10.2 to the Company’s Current Report on Form 8-K, filed on April 24, 2020.

Incorporated by reference

to Exhibit 10.1 to the Company’s Current Report on Form 8-K, filed April 14, 2020.

Incorporated by reference

to Exhibit 10.15 to the Company’s Annual Report on Form 10-K, filed May 15, 2020.

Incorporated by reference

to Exhibit 10.16 to the Company’s Annual Report on Form 10-K, filed May 15, 2020

Incorporated by reference

to Exhibit 14.1 to the Company’s Amendment No.1 to Form S-1, filed on November 14, 2016.

Incorporated by reference

to 21.1 to the Company’s Form S-1, filed on September 13, 2016.

Incorporated by reference

to Exhibit 10.9 to the Company’s Annual Report on Form 10-K, filed May 15, 2020.

Incorporated by reference

to Exhibit 10.17 to the Company’s Annual Report on Form 10-K, filed March 16, 2021.

Incorporated by reference

to the Current Report on Form 8-K filed on November 5, 2020.

Incorporated by reference

to the Current Report on Form 8-K filed on June 8, 2021.

Incorporated by reference

to the Quarterly Report on Form 10-Q filed on May 10, 2021.

Incorporated by reference

to the Current Report on Form 8-K filed on October 8, 2021.

Incorporated by reference

to the Current Report on Form 8-K filed on June 21, 2022.

Incorporated by reference

to the Current Report on Form 8-K filed on May 12, 2022.

Incorporated by reference

to the Company’s Current Report on Form 8-K, filed on February 24, 2023.

Incorporated by reference

to the Company’s Current Report on Form 8-K, filed on February 22, 2022.

Incorporated by reference

to the Company’s Current Report on Form 8-K, filed on August 17, 2023.

Incorporated by reference

to the Company’s Current Report on Form 8-K, filed on September 6, 2023.

Incorporated by reference

to the Company’s Current Report on Form 8-K, filed on September 13, 2023.

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.

Incorporated by reference to Exhibit 10.1 to the Company’s Current Report on Form 8-K, filed on February 16, 2016.

Incorporated by reference to Exhibit 3.01 to the Company’s Form SB-2 filed on June 28, 2002

Incorporated by reference to Exhibit 3.02 to the Company’s Form SB-2, filed on June 28, 2002

Incorporated by reference to Exhibit 4.1 to the Company’s Current Report on Form 8-K, filed on March 28, 2016.

Incorporated by reference to Exhibit 3.4 to the Company’s Form S-1, filed on September 13, 2016.

Incorporated by reference to Exhibit 3.1 to the Company’s Form 8-K, filed on April 7, 2020

Incorporated by reference to Exhibit 4.1 the Company’s Current Report on Form 8-K, filed on April 24, 2020

Incorporated by reference to Exhibit 10.2 the Company’s Current Report on Form 8-K, filed on February 16, 2016.

Incorporated by reference to Exhibit 99.1 to the Company’s Current Report on Form 8-K, filed on June 9, 2016.

Incorporated by reference to Exhibit 10.3 to the Company’s Annual Report on Form 10-K, filed on January 12, 2017.

Incorporated by reference to Exhibit 99.1 to the Company’s Current Report on Form 8-K, filed on February 22, 2017.

Incorporated by reference to Exhibit 10.1 to the Company’s Current Report on Form 8-K, filed on July 24, 2017.

Incorporated by reference to Exhibit 99.1 to the Company’s Current Report on Form 8-K, filed on May 30, 2017.

Incorporated by reference to Exhibit 10.3 to the Company’s Current Report on Form 8-K, filed on September 20, 2017.

Incorporated by reference to Exhibit 10.1 to the Company’s Current Report on Form 8-K, filed on February 1, 2019.

Incorporated by reference to Exhibit 10.2 to the Company’s Current Report on Form 8-K, filed on February 1, 2019.

Incorporated by reference to Exhibit 10.3 to the Company’s Current Report on Form 8-K, filed on February 1, 2019.

Incorporated by reference to Exhibit 10.2 to the Company’s Current Report on Form 8-K, filed on April 24, 2020.

Incorporated by reference to Exhibit 10.1 to the Company’s Current Report on Form 8-K, filed April 14, 2020.

Incorporated by reference to Exhibit 10.15 to the Company’s Annual Report on Form 10-K, filed May 15, 2020.

Incorporated by reference to Exhibit 10.16 to the Company’s Annual Report on Form 10-K, filed May 15, 2020

Incorporated by reference to Exhibit 14.1 to the Company’s Amendment No.1 to Form S-1, filed on November 14, 2016.

Incorporated by reference to 21.1 to the Company’s Form S-1, filed on September 13, 2016.

Incorporated by reference to Exhibit 10.9 to the Company’s Annual Report on Form 10-K, filed May 15, 2020.

Incorporated by reference to Exhibit 10.17 to the Company’s Annual Report on Form 10-K, filed March 16, 2021.

Incorporated by reference to the Current Report on Form 8-K filed on November 5, 2020.

Incorporated by reference to the Current Report on Form 8-K filed on June 8, 2021.

Incorporated by reference to the Quarterly Report on Form 10-Q filed on May 10, 2021.

Incorporated by reference to the Current Report on Form 8-K filed on October 8, 2021.

Incorporated by reference to the Current Report on Form 8-K filed on June 21, 2022.

Incorporated by reference to the Current Report on Form 8-K filed on May 12, 2022.

Incorporated by reference to the Company’s Current Report on Form 8-K, filed on February 24, 2023.

Incorporated by reference to the Company’s Current Report on Form 8-K, filed on February 22, 2022.

Incorporated by reference to the Company’s Current Report on Form 8-K, filed on August 17, 2023.

Incorporated by reference to the Company’s Current Report on Form 8-K, filed on September 6, 2023.

Incorporated by reference to the Company’s Current Report on Form 8-K, filed on September 13, 2023.

Incorporated by reference to the Company’s Current Report on Form 8-K, filed on November 20, 2023.

Incorporated by reference to the Company’s Current Report on Form 8-K, filed on January 17, 2024.

Incorporated by reference to the Amendment No.1 to Form S-1, filed on February 9, 2024.

Incorporated by reference to the Company’s Current Report on Form 8-K/A, filed on January 17, 2024.

Incorporated by reference to the Company’s Current Report on

Form 8-K/A, filed on February 29, 2024.

Incorporated by reference to the Company’s Current Report on Form 8-K/A, filed on February 29, 2024.

Incorporated by reference to the Company’s Annual Report on Form 10-K/A, filed on June 6, 2022

Incorporated by reference to the Company’s Current Report on Form 8-K, filed on July 24, 2023.

Incorporated by reference to the Company’s Current Report on Form 8-K, filed on March 14, 2024

Incorporated by reference to the Company’s Quarterly Report on Form 10-Q, filed on November 15, 2023

Incorporated by reference to the Company’s Current Report on Form 8-K, filed on April 17, 2024

Incorporated by reference to the Company’s Current Report on Form 8-K, filed on March 26, 2024

Incorporated by reference to the Company’s Current Report on Form 8-K, filed on February 29, 2024

Incorporated by reference to the Company’s Current Report on Form 8-K, filed on May 9, 2024

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.

November 15, 2023

/s/ Uttam Patil

Chief Executive Officer

1 unchanged sentence

ABVC BioPharma, Inc.

November 15, 2023

/s/ Leeds Chow

Chief Financial Officer

1 unchanged sentence

Compared sentence by sentence after normalising whitespace, quotation marks, case and digits, so re-formatting and restated figures do not read as changed language. Wording changes appear as one removal and one addition. The current filing and the prior one are authoritative.

What changed 10-Q

Item 5. Other Information