BIOLARGO, INC. 10-Q

Item 5. Other Information None. 38 Table of Contents Item 6. Exhibits See the Exhibit Index for a list of exhibits filed as part of this report and incorporated herein by reference. Exhibit Index Incorporated by Reference Herein Exhibit Number Exhibit Description Form File Date 3.1 Bylaws of BioLargo, Inc., as amended and restated Form 10-KSB 5/23/2003 3.2 Amended and Restated Certificate of Incorporation for BioLargo, Inc. filed March 16, 2007 Form 10-KSB 5/4/2007 3.3 Certificate of Amendment to Certificate of Incorporation, filed May 25, 2018 Pos Am 6/22/2018 3.4 Amended and Restated Articles of Incorporation of Clyra Medical Technologies, Inc. Form 8-K 1/6/2016 4.1 2018 Equity Incentive Plan Form S-8 6/22/2018 4.2 Stock Option Award Agreement under 2018 Equity Incentive Plan Form S-8 6/22/2018 4.3 Notice of Stock Option Grant under 2018 Equity Incentive Plan Form S-8 6/22/2018 4.4 Restricted Stock Unit Award Agreement under 2018 Equity Incentive Plan Form S-8 6/22/2018 4.5 Notice of Restricted Stock Unit Award under 2018 Equity Incentive Plan Form S-8 6/22/2018 4.6 Form of Stock Options issued in exchange for reduction in accounts payable. Form 10-K 3/31/2015 4.7 Form of Note issued in Summer 2017 Offering Form 10-Q 8/14/2017 4.8 $50,000 convertible note, matures March 8, 2020 Form 10-Q 5/14/2018 4.9 Promissory note issued by Clyra Medical to Scion Solutions dated September 26, 2018 Form 8-K 10/2/2018 4.10 Amendment dated March 5, 2019 to Promissory Note issued to Vernal Bay Investments, LLC on September 19, 2018 Form 8-K 3/8/2019 4.11 Amendment dated March 5, 2019 to Promissory Note issued to Chappy Bean, LLC on September 19, 2018 Form 8-K 3/8/2019 4.12 OID twelve-month promissory note Form 8-K 8/2/2019 4.13 Stock purchase warrant issued to OID twelve-month investors Form 8-K 8/2/2019 4.14 $600,000 Promissory note dated August 9, 2019 Form 10-Q 8/14/2019 4.15 Warrant to purchase 1.2 million shares issued August 9, 2019 Form 10-Q 8/14/2019 4.16 Amendment dated August 12, 2019 to Promissory Note issued to Vernal Bay Investments, LLC on September 19, 2018 Form 10-Q 8/14/2019 4.17 Amended and restated note issued to Vernal August 12, 2019 Form 10-Q 8/14/2019 4.18 Warrant issued to Vernal August 12, 2019 Form 10-Q 8/14/2019 4.19 Warrant issued March 2018, expiring March 2023 S-1 8/29/2019 4.20 Form of warrant issued January 2019 to Lincoln Park, expiring January 2024 S-1 8/29/2019 4.21 Registration Rights Agreement, dated as of March 30, 2020, by and between BioLargo, Inc. and Lincoln Park Capital Fund, LLC Form 8-K 3/31/2020 39 Table of Contents 4.22 Warrant issued in 2020 Unit Offering Form 10-Q 8/14/2020 10.1 License Agreement to Clyra Medical Technologies, Inc., dated December 17, 2012 Form 8-K 1/6/2016 10.2 December 30, 2015 amendment to License Agreement with Clyra Medical Technologies, Inc. Form 8-K 1/6/2016 10.3 Amendment dated June 30, 2020 to License Agreement with Clyra Medical Technologies, Inc. Form 8-K 7/7/2020 10.4 Consulting Agreement dated December 30, 2015 with Beach House Consulting LLC Form 8-K 1/6/2016 10.5 Commercial Office Lease Agreement for 14921 Chestnut St., Westminster, CA 92683 Form 8-K 8/24/2016 10.6 Escrow Agreement dated September 26, 2018 regarding Clyra/Scion transaction Form 8-K 10/2/2018 10.7 2020 Engagement Extension Agreement with Charles K. Dargan II Form 8-K 2/27/2020 10.8 Purchase Agreement, dated as of March 30, 2020 by and between BioLargo, Inc. and Lincoln Park Capital Fund, LLC. Form 8-K 3/31/2020 10.9 Amendment dated June 30, 2020 to Consulting Agreement dated December 30, 2015 between Clyra Medical and Beach House Consulting LLC Form 8-K 7/7/2020 10.10 Revolving Line of Credit Agreement dated June 30, 2020, between Clyra Medical and Vernal Bay Form 8-K 7/7/2020 10.11 Security Agreement dated June 30, 2020, between Clyra Medical and Vernal Bay Form 8-K 7/7/2020 10.12 Revolving Line of Credit Note issued by Clyra Medical to Vernal Bay on June 30, 2020 Form 8-K 7/7/2020 31.1* Certification of Chief Executive Officer Pursuant to Section 302 of the Sarbanes-Oxley Act of 2002 and Rules 13(a)-14 and 15(d)-14 under the Securities Exchange Act of 1934 31.2* Certification of Chief Financial Officer Pursuant to Section 302 of the Sarbanes-Oxley Act of 2002 and Rules 13(a)-14 and 15(d)-14 under the Securities Exchange Act of 1934 32* Certification of Chief Executive Officer and Chief Financial Officer Pursuant to 18 U.S.C. Section 1350. 101.INS** XBRL Instance 101.SCH** XBRL Taxonomy Extension Schema 101.CAL** XBRL Taxonomy Extension Calculation 101.DEF** XBRL Taxonomy Extension Definition 101.LAB** XBRL Taxonomy Extension Labels 101.PRE** XBRL Taxonomy Extension Presentation * Filed herewith ** Furnished herewith † Management contract or compensatory plan, contract or arrangement 40 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. Date: November 16, 2020 BIOLARGO, INC. By: /s/ DENNIS P. CALVERT Dennis P. Calvert Chief Executive Officer Date: November 16, 2020 By: /s/ CHARLES K. DARGAN, II Chief Financial Officer 41