Item 5. Other Information
Item 5. Other Information.
(a) On November 10, 2023, the Company entered into the Third Amendment (the “Third Amendment”) to the Hercules Term Loan Agreement which provides for a temporary reduction in the minimum qualified cash balance amount to $2.25 million for the period from November 15, 2023 through December 15, 2023, unless extended by the Agent under the Hercules Term Loan Agreement in its sole discretion. After such period, the minimum level of qualified cash will revert to $2.25 million plus the amount of accounts payable that have not been paid within 180 days.
The foregoing description of the Third Amendment is qualified in its entirety by reference to the full text of the Third Amendment, a copy of which is filed as Exhibit 10.5 to this Quarterly Report on Form 10-Q and is incorporated herein by reference.
(b) None.
(c) During the three months ended September 30, 2023, no director or “officer” (as defined in Rule 16a-1(f) under the Exchange Act) of the Company adopted or terminated a “Rule 10b5-1 trading arrangement” or “non-Rule 10b5-1 trading arrangement,” as each term is defined in Item 408(a) of Regulation S-K.
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Item 6. E xhibits
The following is a list of exhibits filed as part of this Quarterly Report on Form 10-Q. Where so indicated, exhibits that were previously filed are incorporated by reference. For exhibits incorporated by reference, the location of the exhibit in the previous filing is indicated.
Incorporated by Reference
Exhibit
Number
Exhibit Description
Form
File No.
Exhibit
Filing Date
2.1
Agreement and Plan of Merger, dated April 1, 2021, by and among Eloxx Pharmaceuticals, Inc., Delta Merger Sub Acquisition Corporation and Zikani Therapeutics, Inc.
8-K
001-31326
2.1
April 1, 2021
3.1
Amended and Restated Certificate of Incorporation of Senesco Technologies, Inc. filed with the State of Delaware on January 22, 2007
10-Q
001-31326
3.1
February 14, 2007
3.2
Certificate of Amendment to the Amended and Restated Certificate of Incorporation of Senesco Technologies, Inc. filed with the State of Delaware on December 13, 2007
10-Q
001-31326
3.1
February 14, 2008
3.3
Certificate of Amendment to the Amended and Restated Certificate of Incorporation of Senesco Technologies, Inc. filed with the State of Delaware on September 22, 2009
10-K
001-31326
3.3
September 28, 2009
3.4
Certificate of Amendment to the Amended and Restated Certificate of Incorporation of Senesco Technologies, Inc. filed with the State of Delaware on May 25, 2010
8-K
001-31326
3.1
May 28, 2010
3.5
Certificate of Amendment to the Amended and Restated Certificate of Incorporation of Senesco Technologies, Inc. filed with the State of Delaware on December 22, 2011
10-Q
001-31326
3.1
February 14, 2011
3.6
Certificate of Amendment to the Amended and Restated Certificate of Incorporation of Senesco Technologies, Inc. filed with the State of Delaware on April 1, 2013
10-Q
001-31326
3.1
May 15, 2013
3.7
Certificate of Amendment to the Company’s Amended and Restated Certificate of Incorporation, as filed with the Secretary of State of the State of Delaware on October 16, 2013
8-K
001-31326
3.1
October 21, 2013
3.8
Certificate of Amendment to the Company’s Amended and Restated Certificate of Incorporation, as filed with the Secretary of State of the State of Delaware on September 29, 2014
8-K
001-31326
3.1
October 3, 2014
3.9
Certificate of Amendment to the Company’s Amended and Restated Certificate of Incorporation, as filed with the Secretary of State of the State of Delaware on December 19, 2017
8-K
001-31326
3.1
December 22, 2017
3.10
Certificate of Amendment to the Company’s Amended and Restated Certificate of Incorporation, as filed with the Secretary of State of the State of Delaware on December 19, 2017
8-K
001-31326
3.2
December 22, 2017
58
Incorporated by Reference
Exhibit
Number
Exhibit Description
Form
File No.
Exhibit
Filing Date
3.11
Certificate of Designations to the Company’s Certificate of Incorporation. (Series A)
8-K
001-31326
3.1
March 29, 2010
3.12
Certificate of Designations to the Company’s Certificate of Incorporation. (0% Series C Convertible Preferred Stock)
8-K
001-31326
3.1
May 6, 2015
3.13
Certificate of Amendment to Amended and Restated Certificate of Incorporation of Eloxx Pharmaceuticals, Inc., as filed with the Secretary of State of the State of Delaware on December 1, 2022.
8-K
001-31326
3.1
December 1, 2022
3.14
Amended and Restated Bylaws of Eloxx Pharmaceuticals, Inc.
8-K
001-31326
3.2
December 27, 2017
4.1*
Pre-Funded Common Stock Purchase Warrant, issued by Eloxx Pharmaceuticals, Inc. to Armistice Capital Masterfund Ltd., dated September 20, 2023
4.2*
Common Stock Purchase Warrant, issued by Eloxx Pharmaceuticals, Inc. to Armistice Capital Masterfund Ltd., dated September 20, 2023
4.3*
Form of Placement Agent Common Stock Purchase Warrant, dated September 20, 2023
10.1*
Securities Purchase Agreement, dated as of September 18, 2023, by and between Eloxx Pharmaceuticals, Inc. and Armistice Capital Master Fund Ltd.
10.2*
Performance Restricted Stock Unit Grant Notice and Restricted Stock Unit Agreement between Eloxx Pharmaceuticals, Inc. and Sumit Aggarwal, dated August 23, 2023
10.3*
Performance Stock Option Grant Notice and Stock Option Agreement between Eloxx Pharmaceuticals, Inc. and Sumit Aggarwal, dated August 23, 2023.
10.4*
Second Amendment, dated May 19, 2023, to the Loan and Security Agreement, dated as of September 30, 2021, by and among Hercules Capital, Inc., Eloxx Pharmaceuticals, Inc., Zikani Therapeutics, Inc. and the other parties thereto.
10.5*
Third Amendment, dated November 10, 2023, to the Loan and Security Agreement, dated as of September 30, 2021, by and among Hercules Capital, Inc., Eloxx Pharmaceuticals, Inc., Zikani Therapeutics, Inc. and the other parties thereto.
31.1*
Certification of the Company’s Principal Executive Officer pursuant to Rule 13a-14(a) and Rule 15d-14(a) of the Securities and Exchange Act of 1934, as amended, pursuant to Section 302 of the Sarbanes-Oxley Act of 2002.
31.2*
Certification of the Company’s Principal Financial Officer pursuant to Rule 13a-14(a) and Rule
59
Incorporated by Reference
Exhibit
Number
Exhibit Description
Form
File No.
Exhibit
Filing Date
15d-14(a) of the Securities and Exchange Act of 1934, as amended, pursuant to Section 302 of the Sarbanes-Oxley Act of 2002.
32.1**
Certification of the Company’s 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 Company’s 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 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 (embedded within the Inline XBRL document)
* Filed herewith.
** This certification is being furnished solely to accompany this Quarterly Report on Form 10-Q pursuant to 18 U.S.C. Section 1350, and is not being filed for purposes of Section 18 of the Securities Exchange Act of 1934, as amended, or otherwise subject to the liability of that section, nor shall it be deemed incorporated by reference into any filing of the registrant under the Securities Act of 1933, as amended, or the Securities Exchange Act of 1934, as amended, whether made before or after the date hereof, regardless of any general incorporation language in such filing.
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SIGNAT URES
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.
ELOXX PHARMACEUTICALS, INC.
Date: November 13, 2023
by:
/s/ Daniel E. Geffken
Daniel E. Geffken
Interim Chief Financial Officer
(Principal Financial Officer)
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