Other Information
−Removed: During the fiscal quarter ended March 31, 2024, no director or officer of the Company adopted or terminated a “Rule 10b5-1 trading arrangement” or a “non-Rule 10b5-1 trading arrangement” (in each case, as defined in Item 408 of Regulation S-K).
+Added: During the fiscal quarter ended June 30, 2024, no director or officer of the Company adopted or terminated a “Rule 10b5-1 trading arrangement” or a “non-Rule 10b5-1 trading arrangement” (in each case, as defined in Item 408 of Regulation S-K).
See Exhibit Index.
13 unchanged sentences
(incorporated by reference to Exhibit 3.2 to the Form 8-K filed by the Company with the SEC on July 27, 2023)
−Removed: Warrant Agreement between Priveterra Acquisition Corp.
−Removed: and Continental Stock Transfer & Trust Company, dated as of February 8, 2021 (incorporated by reference to Exhibit 4.1 to the Form 10-K filed by Priveterra Acquisition Corp.
+Added: Warrant Agreement, dated as of February 8, 2021, by and between Priveterra Acquisition Corp.
+Added: and Continental Stock Transfer & Trust Company (incorporated by reference to Exhibit 4.1 to the Form 10-K filed by Priveterra Acquisition Corp.
with the SEC on March 28, 2022)
1 unchanged sentence
with the SEC on March 28, 2022)
−Removed: Senior Secured Convertible Note, by and among AEON Biopharma, Inc., Daewoong Pharmaceutical Co., LTD.
+Added: Senior Secured Convertible Note, dated as of March 24, 2024, by and among AEON Biopharma, Inc., Daewoong Pharmaceutical Co., LTD.
and AEON Biopharma Sub, Inc.
(incorporated by reference to Exhibit 4.1 to the Form 8-K filed by the Company with the SEC on March 28, 2024)
−Removed: Senior Secured Convertible Note, by and among AEON Biopharma, Inc., Daewoong Pharmaceutical Co., LTD.
+Added: Senior Secured Convertible Note, dated as of April 12, 2024, by and among AEON Biopharma, Inc., Daewoong Pharmaceutical Co., LTD.
and AEON Biopharma Sub, Inc.
(incorporated by reference to Exhibit 4.1 to the Form 8-K filed by the Company with the SEC on April 17, 2024)
−Removed: Termination Agreement, dated March 18, 2024, by and between AEON Biopharma, Inc.
−Removed: and ACM ARRT J LLC (incorporated by reference to Exhibit 10.5 to the Form 8-K filed by the Company with the SEC on March 19, 2024)
−Removed: Termination Agreement, dated March 18, 2024, by and between AEON Biopharma, Inc.
−Removed: and Polar Multi-Strategy Fund (incorporated by reference to Exhibit 10.6 to the Form 8-K filed by the Company with the SEC on March 19, 2024)
−Removed: Subscription Agreement, dated March 19, 2024, by and between AEON Biopharma, Inc., Daewoong Pharmaceutical Co., LTD.
−Removed: and AEON Biopharma Sub, Inc.
−Removed: (incorporated by reference to Exhibit 10.1 to the Form 8-K filed by the Company with the SEC on March 19, 2024)
−Removed: Security Agreement, dated March 19, 2024, by and among AEON Biopharma, Inc., Daewoong Pharmaceutical Co., LTD.
−Removed: and AEON Biopharma Sub, Inc.
−Removed: (incorporated by reference to Exhibit 10.2 to the Form 8-K filed by the Company with the SEC on March 19, 2024)
−Removed: Guaranty, dated March 19, 2024, by and between Daewoong Pharmaceutical Co., LTD.
−Removed: and AEON Biopharma Sub, Inc.
−Removed: (incorporated by reference to Exhibit 10.3 to the Form 8-K filed by the Company with the SEC on March 19, 2024)
−Removed: Fourth Amendment to License and Supply Agreement, dated March 19, 2024, by and between AEON Biopharma, Inc.
−Removed: and Daewoong Pharmaceutical Co., LTD.
−Removed: (incorporated by reference to Exhibit 10.4 to the Form 8-K filed by the Company with the SEC on March 19, 2024)
−Removed: Certification of Chief Executive Officer Pursuant to Section 302 of the Sarbanes-Oxley Act of 2002
−Removed: Certification of Chief Financial Officer Pursuant to Section 302 of the Sarbanes-Oxley Act of 2002
−Removed: Certification of Chief Executive Officer Pursuant to 18 U.S.C.
−Removed: Section 1350, as adopted pursuant to Section 906 of the Sarbanes-Oxley Act of 2002
−Removed: Certification of Chief Financial Officer Pursuant to 18 U.S.C.
+Added: Certification of Principal Executive and Financial Officer Pursuant to Section 302 of the Sarbanes-Oxley Act of 2002
+Added: Certification of Principal Executive and Financial Officer Pursuant to 18 U.S.C.
Section 1350, as adopted pursuant to Section 906 of the Sarbanes-Oxley Act of 2002
10 unchanged sentences
Indicates a management contract or compensatory plan.
−Removed: 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, duly authorized.
+Added: The certification attached as Exhibit 32.1 that accompanies this Quarterly Report on Form 10-Q is not deemed filed with the SEC and is not to be incorporated by reference into any filing of AEON Biopharma, Inc.
+Added: under the Securities Act of 1933, as amended, or the Securities Exchange Act of 1934, as amended, whether made before or after the date of this Form 10-Q, irrespective of any general incorporation language contained in such filing.
+Added: 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.
+Added: August 12, 2024
AEON BIOPHARMA, INC.
/s/ Marc Forth
−Removed: President, Chief Executive Officer
−Removed: (Principal Executive Officer)
−Removed: /s/ Peter Reynolds
−Removed: Peter Reynolds
−Removed: Chief Financial Officer
−Removed: (Principal Financial Officer and Principal Accounting Officer)
+Added: President and Chief Executive Officer
+Added: (Principal Executive and Financial Officer)
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.