Item 5. Other Information
ITEM
5. OTHER INFORMATION
(a)
None.
(b)
There have been no material changes to the procedures by which security holders may recommend nominees to the Company’s Board of
Directors since the Company last provided disclosure in response to the requirements of Item 407(c)(3) of Regulation S-K.
(c)
During the quarter ended September 30, 2024, no director or officer adopted or terminated : (i) any contract, instruction or written plan
for the purchase or sale of securities of the registrant intended to satisfy the affirmative defense conditions of Rule 10b5-1(c) (a
“Rule 10b5-1 trading arrangement”); and/or (ii) any “non-Rule 10b5-1 trading arrangement” as defined in Item
408(c) of Regulation S-K.
43
ITEM
6. EXHIBITS
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
Exhibit No.
Description
3.1
Certificate of amendment dated October 23, 2024 (incorporated by reference to Exhibit 3.1 to the registrant’s Current Report on Form 8-K filed with the SEC on October 29, 2024).
* 31.1
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.
* 31.2
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.
** 32.1
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.
** 32.2
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.
*101.INS
Inline 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 with applicable taxonomy extension information contained in Exhibits 101).
* Filed
herewith.
** Furnished
herewith.
44
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 hereunto duly authorized.
AVALON GLOBOCARE CORP.
By:
/s/ David K. Jin
Dated: November 11, 2024
Name:
David K. Jin
Title:
Chief Executive Officer
( Principal Executive Officer )
By:
/s/ Luisa Ingargiola
Dated: November 11, 2024
Name:
Luisa Ingargiola
Title:
Chief Financial Officer
( Principal Financial and Accounting Officer )
45
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.