Item 5. Other Information
ITEM 5. OTHER INFORMATION.
None.
53
ITEM 6. EXHIBITS
Copies of the following
documents are included as exhibits to this report pursuant to Item 601 of Regulation S-K.
Exhibit No.
Title
of Document
Location
1.1
Capital
on Demand™ Sales Agreement, dated August 7, 2020, by and between Actinium Pharmaceuticals,
Inc. and JonesTrading Institutional Services LLC (incorporated by reference to Exhibit
1.2 to Registration Statement on Form S-3 filed on August 7, 2020).
3.1
Certificate
of Incorporation of Actinium Pharmaceuticals, Inc. (incorporated by reference to Exhibit 3.1 of the Company’s Form 8-K
filed with the SEC on April 17, 2013).
3.2
Certificate
of Amendment to Certificate of Incorporation, as amended, filed January 7, 2014 (incorporated by reference to Exhibit 3.5
to Form S-1 filed on January 31, 2014).
3.3
Certificate
of Amendment to Certificate of Incorporation, as amended, filed February 3, 2014 (incorporated by reference to Exhibit 3.1
to Form 8-K filed on February 7, 2014).
3.4
Certificate
of Amendment to Certificate of Incorporation, as amended, filed on February 26, 2015 (incorporated by reference to Exhibit
3.1 to Form 8-K filed on March 4, 2015).
3.5
Certificate
of Amendment to Certificate of Incorporation, as amended, filed on February 26, 2018 (incorporated by reference to Exhibit
3.1 to Form 8-K filed on February 26, 2018).
3.6
Certificate
of Amendment to Certificate of Incorporation, as amended, filed on March 6, 2019 (incorporated by reference to Exhibit 3.7
to Form 10-K filed on March 15, 2019).
3.7
Certificate
of Amendment to Certificate of Incorporation, as amended, filed on June 16, 2020 (incorporated by reference to Exhibit 4.1
to Form 8-K filed on June 16, 2020).
3.8
Certificate
of Amendment to Certificate of Incorporation, as amended, filed on August 10, 2020 (incorporated by reference to Exhibit 3.1
to Form 8-K filed on August 14, 2020).
10.1
Amendment
to Warrant to Purchase Common Stock of Actinium Pharmaceuticals, Inc., dated March 14,
2017, issued to Sandesh Seth (incorporated by reference to Exhibit 10.2 to Form 10-K
filed on August 14, 2020).
10.2**
Employment
Agreement, dated August 12, 2020, by and between Actinium Pharmaceuticals, Inc. and Sandesh
Seth (incorporated by reference to Exhibit 10.3 to Form 10-Q filed on August 14, 2020).
10.3**
Employment
Agreement, dated August 12, 2020, by and between Actinium Pharmaceuticals, Inc. and Steve
O’Loughlin (incorporated by reference to Exhibit 10.4 to Form 10-Q filed on August
14, 2020).
10.4**
Employment
Agreement, dated August 12, 2020, by and between Actinium Pharmaceuticals, Inc. and Dale Ludwig (incorporated by reference
to Exhibit 10.5 to Form 10-Q filed on August 14, 2020).
10.5**
Employment
Agreement, dated August 12, 2020, by and between Actinium Pharmaceuticals, Inc. and Mark
Berger (incorporated by reference to Exhibit 10.6 to Form 10-Q filed on August 14, 2020).
54
31.1
Certification of the Chief Executive Officer pursuant to Section 302 of the Sarbanes-Oxley Act of 2002.
Attached
31.2
Certification of the Chief Financial Officer pursuant
to Section 302 of the Sarbanes-Oxley Act of 2002.
Attached
32.1*
Certification of the Chief Executive Officer pursuant to U.S.C. Section 1350 as adopted pursuant to Section 906 of the Sarbanes-Oxley Act of 2002
Attached
32.2*
Certification of the Chief Financial Officer pursuant to U.S.C. Section 1350 as adopted pursuant to Section 906 of the Sarbanes-Oxley Act of 2002
Attached
101.INS
XBRL Instance Document
Attached
101.SCH
XBRL Taxonomy Extension Schema Document
Attached
101.CAL
XBRL Taxonomy Calculation Linkbase Document
Attached
101.DEF
XBRL Taxonomy Extension Definition Linkbase Document
Attached
101.LAB
XBRL Taxonomy Label Linkbase Document
Attached
101.PRE
XBRL Taxonomy Presentation Linkbase Document
Attached
* The
Exhibit attached to this Form 10-Q shall not be deemed “filed” for purposes of Section 18 of the Securities Exchange
Act of 1934 (the “Exchange Act”) or otherwise subject to liability under that section, nor shall it be deemed incorporated
by reference in any filing under the Securities Act of 1933, as amended, or the Exchange Act, except as expressly set forth by
specific reference in such filing.
** Indicates
a management contract or compensatory plan.
55
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.
ACTINIUM PHARMACEUTICALS, INC.
Date: October 23, 2020
By:
/s/ Sandesh Seth
Sandesh Seth
Chairman and Chief Executive Officer
(Duly Authorized Officer and
Principal Executive Officer)
By:
/s/ Steve O’Loughlin
Steve O’Loughlin
Chief Financial Officer
(Duly Authorized Officer and
Principal Financial and Accounting Officer)
56
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.