Item 5. Other Information
ITEM 5. OTHER INFORMATION
None.
34
ITEM 6. EXHIBITS
Exhibit
No.
Exhibit Description
3.1
Certificate of Incorporation (incorporated by reference to Exhibit 2.1 of Form DOS filed with the SEC on August 19, 2016).
3.2*
Certificate of Amendment to the Certificate of Incorporation, filed with the Delaware Secretary of State on June 10, 2016.
3.3*
Certificate of Amendment to the Certificate of Incorporation, filed with the Delaware Secretary of State on December 22, 2020.
3.4
Certificate of Amendment to the Certificate of Incorporation, filed with the Delaware Secretary of State on October 27, 2023 (incorporated by reference to Exhibit 3.1 of the Current Report on Form 8-K filed with the SEC on October 30, 2023).
3.5
Certificate of Designation of Alzamend Neuro, Inc. Series A Convertible Preferred Stock, dated May 30, 2016 (incorporated by reference to Exhibit 2.3 of Form 1-A/A filed with the SEC on February 4, 2020).
3.6
Amended and Restated Bylaws (incorporated by reference to Exhibit 3.2 of the registration statement on Form S-1 filed with the SEC on May 10, 2021).
10.1
At-The-Market Issuance Sales Agreement, dated September 8, 2023, with Ascendiant Capital Markets, LLC (incorporated by reference to Exhibit 10.1 of the Current Report on Form 8-K filed with the SEC on September 8, 2023).
10.2*
Form of Amendment to Standard Exclusive License Agreement with Sublicensing Terms Number LIC16118 with University of South Florida Research Foundation, Inc., dated December 11, 2023.
31.1*
Certification of Chief Executive Officer required by Rule 13a-14(a) or Rule 15d-14(a).
31.2*
Certification of Chief Financial Officer required by Rule 13a-14(a) or Rule 15d-14(a).
32.1**
Certification of Chief Executive and Financial Officer required by Rule 13a-14(b) or Rule 15d-14(b) and Section 1350 of Chapter 63 of Title 18 of the United States Code.
101.INS*
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.
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).
*Filed herewith.
** This certification will not be deemed “filed”
for purposes of Section 18 of the Exchange Act, or otherwise subject to the liability of that section. Such certification will not be
deemed to be incorporated by reference into any filing under the Securities Act of 1933, as amended, or the Exchange Act, except to the
extent specifically incorporated by reference into such filing.
35
SIGNATURES
Pursuant to the requirements of Section
13 or 15(d) 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.
ALZAMEND NEURO, INC.
Date: December 15, 2023
By:
/s/ Stephan Jackman
Stephan Jackman
Chief Executive Officer (principal executive officer)
Date: December 15, 2023
By:
/s/ David J. Katzoff
David J. Katzoff
Chief Financial Officer (principal financial and accounting officer)
36
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.