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Item 5. Other Information

2023-11-14 compared with 2023-08-14 · 73 added, 59 removed, 8 unchanged (94% of the section changed)

OTHER INFORMATION

Not applicable.

The exhibits filed as part of

this Quarterly Report on Form 10-Q are listed in the exhibit index included herewith and are incorporated by reference herein .

EXHIBIT INDEX

Sales Agreement, dated June 16, 2023, by and between Avalon GloboCare Corp.

and Roth Capital Partners, LLC.

(incorporated by reference to Exhibit 1.1 of the Registrant’s Current Report on Form 8-K filed with the SEC on June 16, 2023).

Avalon GloboCare Corp.

2020 Incentive Stock Plan (incorporated by reference to Exhibit 4.1 of the Registrant’s Report on Form S-8 filed with the Securities and Exchange Commission on December 8, 2020).

Securities Purchase Agreement, dated May 23, 2023, between Avalon GloboCare Corp.

and Mast Hill Fund, L.P (incorporated by reference to Exhibit 10.1 of the Registrant’s Current Report on Form 8-K filed with the SEC on May 26, 2023).

Security Agreement, dated May 23, 2023, by and among Avalon GloboCare Corp., Avalon Healthcare System Inc., Avalon Laboratory Services, Inc., Avalon RT 9 Properties, LLC, Avactis Biosciences, Inc., Laboratory Services MSO, LLC, Genexosome Technologies Inc., International Exosome Association LLC and Mast Hill Fund, L.P.

(incorporated by reference to Exhibit 10.2 of the Registrant’s Current Report on Form 8-K filed with the SEC on May 26, 2023).

Senior Secured Promissory Note, dated May 23, 2023, between Avalon Globocare Corp.

exhibits filed as part of this Quarterly Report on Form 10-Q are listed in the exhibit index included herewith and are incorporated by

reference herein .

Purchase Agreement, dated October 9, 2023, between Avalon Globocare Corp.

and Mast Hill Fund, L.P.

(incorporated by reference to Exhibit 10.3 of the Registrant’s Current Report on Form 8-K filed with the SEC on May 26, 2023).

First Warrant, dated May 23, 2023, by and between Avalon GloboCare Corp.

(incorporated by reference to

Exhibit 10.1 of the Registrant’s Current Report on Form 8-K filed with the SEC on October 13, 2023).

Agreement, dated October 9, 2023, among Avalon Globocare Corp., Avalon Healthcare System Inc., Avalon Laboratory Services,

Inc., Avalon RT 9 Properties, LLC, Avactis Biosciences, Inc., Laboratory Services MSO, LLC, Genexosome Technologies Inc., International

Exosome Association LLC and Mast Hill Fund, L.P.

(incorporated by reference to Exhibit 10.2 of the Registrant’s Current Report

on Form 8-K filed with the SEC on October 13, 2023).

Secured Promissory Note, dated October 9, 2023, between Avalon Globocare Corp.

and Mast Hill Fund, L.P.

(incorporated by reference to Exhibit 10.4 of the Registrant’s Current Report on Form 8-K filed with the SEC on May 26, 2023).

Second Warrant, dated May 23, 2023, by and between Avalon GloboCare Corp.

(incorporated by reference

to Exhibit 10.3 of the Registrant’s Current Report on Form 8-K filed with the SEC on October 13, 2023).

Warrant, dated October 9, 2023, between Avalon Globocare Corp.

and Mast Hill Fund, L.P.

(incorporated by reference to Exhibit 10.5 of the Registrant’s Current Report on Form 8-K filed with the SEC on May 26, 2023).

Form of Balloon Mortgage Note (incorporated by reference to Exhibit 10.6 of the Registrant’s Current Report on Form 8-K filed with the SEC on May 26, 2023).

Form of Second Mortgage and Security Agreement (incorporated by reference to Exhibit 10.7 of the Registrant’s Current Report on Form 8-K filed with the SEC on May 26, 2023).

Form of Guaranty (incorporated by reference to Exhibit 10.8 of the Registrant’s Current Report on Form 8-K filed with the SEC on May 26, 2023).

Form of Hazardous Material Guaranty and Indemnification Agreement (incorporated by reference to Exhibit 10.9 of the Registrant’s Current Report on Form 8-K filed with the SEC on May 26, 2023).

Securities Purchase Agreement, dated July 6, 2023, by and between Avalon Globocare Corp.

and Firstfire Global Opportunities, LLC.

(incorporated by reference to Exhibit 10.1 of the Registrant’s Current Report on Form 8-K filed with the SEC on July 10, 2023).

Security Agreement, dated July 6, 2023, by and among Avalon GloboCare Corp., Avalon Healthcare System Inc., Avalon Laboratory Services, Inc., Avalon RT 9 Properties, LLC, Avactis Biosciences, Inc., Laboratory Services MSO, LLC, Genexosome Technologies Inc., International Exosome Association LLC and Firstfire Global Opportunities, LLC.

(incorporated by reference to Exhibit 10.2 of the Registrant’s Current Report on Form 8-K filed with the SEC on July 10, 2023).

Senior Secured Promissory Note, dated July 6, 2023, by and between Avalon GloboCare Corp.

and Firstfire Global Opportunities, LLC.

(incorporated by reference to Exhibit 10.3 of the Registrant’s Current Report on Form 8-K filed with the SEC on July 10, 2023).

First Warrant dated July 6, 2023, by and between Avalon GloboCare Corp.

and Firstfire Global Opportunities, LLC.

(incorporated by reference to Exhibit 10.4 of the Registrant’s Current Report on Form 8-K filed with the SEC on July 10, 2023).

Second Warrant, dated July 6, 2023, by and between Avalon Globocare Corp.

and Firstfire Global Opportunities, LLC.

(incorporated by reference to Exhibit 10.5 of the Registrant’s Current Report on Form 8-K filed with the SEC on July 10, 2023).

Certification of the 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.

Certification of the Principal Financial Officer Pursuant to Rules 13a-14(a) and 15d-14(a) under the Securities and Exchange Act of 1934, as Adopted Pursuant to Section 302 of the Sarbanes-Oxley Act of 2002 .

Certification of the Principal Executive Officer Pursuant to 18 U.S.C.

Section 1350, as Adopted Pursuant to Section 906 of the Sarbanes-Oxley Act of 2002.

Certification of the Principal Financial Officer Pursuant to 18 U.S.C.

Section 1350, as Adopted Pursuant to Section 906 of the Sarbanes-Oxley Act of 2002.

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(incorporated by reference to Exhibit 10.4

of the Registrant’s Current Report on Form 8-K filed with the SEC on October 13, 2023).

Warrant, dated October 9, 2023, between Avalon Globocare Corp.

and Mast Hill Fund, L.P.

(incorporated by reference to Exhibit 10.5

of the Registrant’s Current Report on Form 8-K filed with the SEC on October 13, 2023).

Purchase Agreement, dated October 9, 2023, between Avalon Globocare Corp.

and Firstfire Global Opportunities Fund, LLC (incorporated

by reference to Exhibit 10.6 of the Registrant’s Current Report on Form 8-K filed with the SEC on October 13, 2023).

Agreement, dated October 9, 2023, among Avalon Globocare Corp., Avalon Healthcare System Inc., Avalon Laboratory Services, Inc.,

Avalon RT 9 Properties, LLC, Avactis Biosciences, Inc., Laboratory Services MSO, LLC, Genexosome Technologies Inc., International

Exosome Association LLC and Firstfire Global Opportunities Fund, LLC (incorporated by reference to Exhibit 10.7 of the Registrant’s

Current Report on Form 8-K filed with the SEC on October 13, 2023).

Secured Promissory Note, dated October 9, 2023, between Avalon Globocare Corp.

and Firstfire Global Opportunities Fund, LLC (incorporated

by reference to Exhibit 10.8 of the Registrant’s Current Report on Form 8-K filed with the SEC on October 13, 2023).

Warrant, dated October 9, 2023, between Avalon Globocare Corp.

and Firstfire Global Opportunities Fund, LLC (incorporated by reference

to Exhibit 10.9 of the Registrant’s Current Report on Form 8-K filed with the SEC on October 13, 2023).

Warrant, dated October 9, 2023, between Avalon Globocare Corp.

and Firstfire Global Opportunities Fund, LLC (incorporated by reference

to Exhibit 10.10 of the Registrant’s Current Report on Form 8-K filed with the SEC on October 13, 2023).

and Security Agreement, dated October 9, 2023, between Avalon Globocare Corp., Mast Hill Fund, L.P and Firstfire Global Opportunities

Fund, LLC (incorporated by reference to Exhibit 10.11 of the Registrant’s Current Report on Form 8-K filed with the SEC on

October 13, 2023).

Globocare Corp.

Amended and Restated 2020 Stock Incentive Plan.

Certification

of the 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.

Certification

of the Principal Financial Officer Pursuant to Rules 13a-14(a) and 15d-14(a) under the Securities and Exchange Act of 1934, as Adopted

Pursuant to Section 302 of the Sarbanes-Oxley Act of 2002.

Certification

of the Principal Executive Officer Pursuant to 18 U.S.C.

Section 1350, as Adopted Pursuant to Section 906 of the Sarbanes-Oxley Act

Certification

of the Principal Financial Officer Pursuant to 18 U.S.C.

Section 1350, as Adopted Pursuant to Section 906 of the Sarbanes-Oxley Act

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instance document does not appear in the Interactive Data File because its XBRL tags are embedded within the Inline XBRL document.

Inline XBRL Taxonomy Extension Schema Document.

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Inline XBRL Taxonomy Extension Definition Linkbase Document.

Inline XBRL Taxonomy Extension Label Linkbase Document.

Inline XBRL Taxonomy Extension Presentation Linkbase Document.

Cover Page Interactive Data File (formatted as Inline XBRL with applicable taxonomy extension information contained in Exhibits 101).

Inline XBRL Taxonomy Extension Calculation

Linkbase Document.

Inline XBRL Taxonomy Extension Definition

Linkbase Document.

Inline XBRL Taxonomy Extension Label Linkbase

Inline XBRL Taxonomy Extension Presentation

Linkbase Document.

Cover Page Interactive Data File (formatted

as Inline XBRL with applicable taxonomy extension information contained in Exhibits 101).

* Filed herewith.

** Furnished herewith.

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 hereunto duly authorized.

AVALON GLOBOCARE CORP.

August 14, 2023

Chief Executive Officer

( Principal Executive Officer )

/s/ Luisa Ingargiola

August 14, 2023

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 hereunto duly authorized.

GLOBOCARE CORP.

November 14, 2023

Executive Officer

Executive Officer )

November 14, 2023

Luisa Ingargiola

Chief Financial Officer

( Principal Financial and Accounting Officer )

Financial Officer

Financial and Accounting Officer )

Compared sentence by sentence after normalising whitespace, quotation marks, case and digits, so re-formatting and restated figures do not read as changed language. Wording changes appear as one removal and one addition. The current filing and the prior one are authoritative.

What changed 10-Q

Item 5. Other Information