What changed in this filing

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Item 5. Other Information

2024-05-14 compared with 2023-11-13 · 25 added, 12 removed, 45 unchanged (45% of the section changed)

Other Information

During the fiscal quarter ended September 30, 2023, 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).

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).

See Exhibit Index.

10 unchanged sentences

Third Amended and Restated Certificate of Incorporation of AEON Biopharma, Inc.

(incorporated by reference to Exhibit 3.1 to the Form 8-K filed by the Company on July 27, 2023)

(incorporated by reference to Exhibit 3.1 to the Form 8-K filed by the Company with the SEC on July 27, 2023)

Amended and Restated Bylaws of AEON Biopharma, Inc.

(incorporated by reference to Exhibit 3.2 to the Form 8-K filed by the Company on July 27, 2023)

(incorporated by reference to Exhibit 3.2 to the Form 8-K filed by the Company with the SEC on July 27, 2023)

Warrant Agreement between Priveterra Acquisition Corp.

3 unchanged sentences

with the SEC on March 28, 2022)

Amended and Restated Employment Agreement, by and between AEON Biopharma, Inc.

and Marc Forth (incorporated by reference to Exhibit 10.11 to the Form 8-K filed by the Company on July 27, 2023)

Employment Agreement, by and between AEON Biopharma, Inc.

and Chad Oh (incorporated by reference to Exhibit 10.12 to the Form 8-K filed by the Company on July 27, 2023)

Employment Agreement, by and between AEON Biopharma, Inc.

and Alex Wilson (incorporated by reference to Exhibit 10.13 to the Form 8-K filed by the Company on July 27, 2023)

Amended and Restated Registration Rights Agreement, dated as of July 21, 2023, by and between AEON Biopharma, Inc.

and the stockholders party thereto (incorporated by reference to Exhibit 10.20 to the Form 8-K filed by the Company on July 27, 2023)

Senior Secured Convertible Note, 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)

Senior Secured Convertible Note, 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)

Termination Agreement, dated March 18, 2024, by and between AEON Biopharma, Inc.

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)

Termination Agreement, dated March 18, 2024, by and between AEON Biopharma, Inc.

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)

Subscription Agreement, dated March 19, 2024, by and between AEON Biopharma, Inc., Daewoong Pharmaceutical Co., LTD.

and AEON Biopharma Sub, Inc.

(incorporated by reference to Exhibit 10.1 to the Form 8-K filed by the Company with the SEC on March 19, 2024)

Security Agreement, dated March 19, 2024, by and among AEON Biopharma, Inc., Daewoong Pharmaceutical Co., LTD.

and AEON Biopharma Sub, Inc.

(incorporated by reference to Exhibit 10.2 to the Form 8-K filed by the Company with the SEC on March 19, 2024)

Guaranty, dated March 19, 2024, by and between Daewoong Pharmaceutical Co., LTD.

and AEON Biopharma Sub, Inc.

(incorporated by reference to Exhibit 10.3 to the Form 8-K filed by the Company with the SEC on March 19, 2024)

Fourth Amendment to License and Supply Agreement, dated March 19, 2024, by and between AEON Biopharma, Inc.

and Daewoong Pharmaceutical Co., LTD.

(incorporated by reference to Exhibit 10.4 to the Form 8-K filed by the Company with the SEC on March 19, 2024)

Certification of Chief Executive Officer Pursuant to Section 302 of the Sarbanes-Oxley Act of 2002

16 unchanged sentences

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.

November 13, 2023

AEON BIOPHARMA, INC.

7 unchanged sentences

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