Item 5. Other Information
Item 5. Other Information
Not applicable.
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Tabl e of Contents
Item 6. Exhibits
Incorporated by Reference
Exhibit Number Description Form File No. Exhibit Number Filing
Date Filed Herewith
3.1 Certificate of Incorporation of Amprius Technologies, Inc.
Form 8-K File No. 001-41314 3.1 September 14, 2022
3.2 B y l aws of Amprius Technologies, Inc.
Form 8-K File No. 001-41314 3.2 September 14, 2022
4.1 Specimen Common Stock Certificate
Form 8-K File No. 001-41314 4.1 September 14, 2022
4.2 Warrant Agreement, dated as of September 14, 2022, between the Company and Continental Stock Transfer & Trust Company, as warrant agent
Form 8-K File No. 001-41314 4.2 September 14, 2022
4.3 Form of Warrant Certificate (included in Exhibit 4.2)
Form 8-K File No. 001-41314 4.2 September 14, 2022
10.1 Registration Rights Agreement, dated as of September 14, 2022, by and among the Company and the persons named therein
Form 8-K File No. 001-41314 10.1 September 14, 2022
10.2 Form of Indemnification Agreement by and between the Company and its directors and officers
Form S-4/A File No. 333-265740 10.12 August 9, 2022
10.3 Confirmatory Employment Letter with Dr. Kang Sun
Form 8-K File No. 001-41314 10.3 September 14, 2022
10.4 Confirmatory Employment Letter with Sandra Wallach
Form 8-K File No. 001-41314 10.4 September 14, 2022
10.5 Amended and Restated Confirmatory Employment Letter with Jonathan Bornstein
Form S-1 File No.
333-267683 10.10 September 30, 2022
10.6 Amended and Restated Confirmatory Employment Letter with Dr. Constantin Ionel Stefan
Form S-1 File No.
333-267683 10.11 September 30, 2022
10.7 Amprius Technologies, Inc. 2022 Equity Incentive Plan and forms of agreements thereunder
Form 8-K File No. 001-41314 10.7 September 14, 2022
10.8 Amprius Technologies, Inc. 2022 Employee Stock Purchase Plan
424B3 File No. 333-265740 Annex E September 1, 2022
10.9 Amprius Technologies, Inc. Outside Director Compensation Policy
Form 8-K File No. 001-41314 10.9 September 14, 2022
10.10 Amprius Technologies, Inc. Executive Incentive Compensation Plan
Form 8-K File No. 001-41314 10.10 September 14, 2022
10.11 Amprius Technologies, Inc. 2016 Equity Incentive Plan and forms of agreements thereunder
Form 8-K File No. 001-41314 10.11 September 14, 2022
31.1 Certification of Principal Executive Officer pursuant to Rules 13a-14(a) and 15d-14(a) under the Securities Exchange Act of 1934, as adopted pursuant to Section 302 of the Sarbanes-Oxley Act of 2002
X
31.2 Certification of Principal Financial Officer pursuant to Rules 13a-14(a) and 15d-14(a) under the Securities Exchange Act of 1934, as adopted pursuant to Section 302 of the Sarbanes-Oxley Act of 2002
X
32.1* Certification of Principal Executive Officer pursuant to 18 U.S.C. Section 1350, as adopted pursuant to Section 906 of the Sarbanes-Oxley Act of 2002
X
32.2* Certification of Principal Financial Officer pursuant to 18 U.S.C. Section 1350, as adopted pursuant to Section 906 of the Sarbanes-Oxley Act of 2002
X
101.INS Inline XBRL Instance Document - the instance document does not appear in the Interactive Data File because 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
101.PRE Inline XBRL Taxonomy Extension Presentation Linkbase Document X
104 Cover Page Interactive Data File (embedded within the Inline XBRL document) X
* These certifications furnished in Exhibit 32.1 and 32.2 hereto are deemed to accompany this Quarterly Report on Form 10-Q and are not deemed “filed” for purposes of Section 18 of the Exchange Act, or otherwise subject to the liability of that section, nor shall they be deemed incorporated by reference into any filing under the Securities Act of the Exchange Act.
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Tabl e of Contents
SIGNATURES
Amprius Technologies, Inc.:
November 14, 2022 By: /s/ Dr. Kang Sun
(Date) Dr. Kang Sun
Chief Executive Officer
(Principal Executive Officer)
November 14, 2022 By: /s/ Sandra Wallach
(Date) Sandra Wallach
Chief Financial Officer
(Principal Financial and Accounting Officer)
68
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.