Allarity Therapeutics, Inc. 10-Q

Item 5. Other Information. None of our directors or officers adopted or terminated a Rule 10b5 - 1 trading arrangement or a non-Rule 10b5 - 1 trading arrangement (as defined in Item 408 (c) of Regulation S-K) during the third quarter of 2024. 27 Table of Contents Item 6. Exhibits. See the Exhibit Index to this Quarterly Report immediately below and before the signature page hereto, which Exhibit Index is incorporated by reference as if fully set forth herein. Incorporated by Reference Exhibit Number Exhibit Description Form File No. Exhibit Filing Date Filed Herewith 3.1 Certificate of Incorporation S-4 333-258968 3.1 August 20, 2021 3.2 Certificate of Amendment to the Certificate of Incorporation of Allarity Therapeutics, Inc. S-4/A 333-259484 3.3 September 29, 2021 3.3 Second Certificate of Amendment to Certificate of Incorporation of Allarity Therapeutics, Inc. 8-K 001-41160 3.1 March 20, 2023 3.4 Third Certificate of Amendment to Certificate of Incorporation of Allarity Therapeutics, Inc. 8-K 001-41160 3.1 March 24, 2023 3.5 Fourth Certificate of Amendment to Certificate of Incorporation of Allarity Therapeutics, Inc. 8-K 001-41160 3.1 June 28, 2023 3.6 Fifth Certificate of Amendment to Certificate of Incorporation of Allarity Therapeutics, Inc. 8-K 001-41160 3.1 April 4, 2024 3.7 Specimen Common Stock Certificate of Allarity Therapeutics, Inc. S-4/A 333-259484 4.1 September 29, 2021 3.8 Amended and Restated Bylaws of Allarity Therapeutics, Inc. S-4/A 333-259484 3.4 October 18, 2021 3.9 Amendment No. 1 to Amended and Restated Bylaws of Allarity Therapeutics, Inc. 8-K 001-41160 3.1 July 11, 2022 3.10 Sixth Certificate of Amendment to Certificate of Incorporation of Allarity Therapeutics, Inc. 8-K 001-41160 3.1 September 9, 2024 3.11 Seventh Certificate of Amendment to Certificate of Incorporation of Allarity Therapeutics, Inc. 8-K 001-41160 3.2 September 9, 2024 3.12 Certificate of Correction to the Seventh Certificate of Amendment to the Certificate of Incorporation of Allarity Therapeutics, Inc. 8-K/A 001-41160 3.3 September 10, 2024 3.13 Certificate of Designation of Preferences, Rights and Limitations of Series A Convertible Redeemable Preferred Stock 8-K 001-41160 3.1 August 21, 2024 10.1 Form of Securities Purchase Agreement between the Company and the investors thereto, dated August 19, 2024 8-K 001-41160 10.1 August 21, 2024 10.2 Form of Registration Rights Agreement by and among the Company and the investors named therein, dated August 19, 2024 8-K 001-41160 10.2 August 21, 2024 10.3 Sixth Amendment to Exclusive License Agreement 8-K 001-41160 10.3 August 21, 2024 10.4 Second Amendment to At-The-Market Issuance Sales Agreement, dated September 9, 2024 8-K 001-41160 10.1 September 13, 2024 10.5†+ Employment Agreement, dated as of September 12, 2024, by and between Allarity Therapeutics, Inc., and Alexander Epshinsky 8-K 001-41160 10.2 September 13, 2024 10.6†# Employment Agreement, dated as of September 30, 2024, by and between Allarity Therapeutics, Inc., and Jeremy R. Graff. 8-K 001-41160 10.1 October 4, 2024 31.1 Certifications of the Chief Executive Officer under Section 302 of the Sarbanes-Oxley Act X 31.2 Certifications of the Chief Financial Officer under Section 302 of the Sarbanes-Oxley Act X 32.1* Section 1350 Certifications of Chief Executive Officer and Chief Financial Officer — 101.INS Inline XBRL Instance Document (the instance document does not appear in the Interactive Data File because its XBRL tags are embedded within the Inline XBRL document) X 101.SCH Inline XBRL Taxonomy Extension Schema Document X 101.CAL Inline XBRL Taxonomy Extension Calculation Linkbase Document X 101.DEF Inline XBRL Taxonomy Extension Definition Linkbase Document X 101.LAB Inline XBRL Taxonomy Extension Label Linkbase Document X 101PRE Inline XBRL Taxonomy Extension Presentation Linkbase Document X 104* The cover page from the Company’s Quarterly Report on Form 10-Q for the quarter ended September 30, 2024, formatted in Inline XBRL (included in Exhibit 101) — + Schedules (or similar attachments) to this exhibit have been omitted in accordance with Item 601(a)(5) of Regulation S-K. The Company agrees to furnish supplementally a copy of all omitted schedules (or similar attachments) to the Securities and Exchange Commission on a confidential basis upon request. # Certain information was redacted from this exhibit pursuant to Item 601(a)(6) of Regulation S-K. † Management contracts or compensatory plans or arrangements. * Furnished herewith. 28 Table of Contents 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. ALLARITY THERAPEUTICS, INC., Date: November 14, 2024 By: /s/ Thomas H. Jensen Thomas H. Jensen Chief Executive Officer (Principal Executive Officer) Date: November 14, 2024 By: /s/ Alexander Epshinsky Alexander Epshinsky Chief Financial Officer (Principal Financial Officer) 29