Other Information.
−Removed: During the three months ended March 31, 2024, none of our directors or officers (as defined in Rule 16a-1 under the Exchange Act) adopted or terminated any contract, instruction, or written plan for the purchase or sale of our securities that was intended to satisfy the affirmative defense conditions of Rule 10b5-1(c) or any " non-Rule 10b5 -1 trading arrangement" (as defined in Item 408 of Regulation S-K).
+Added: During the three months ended June 30, 2024, none of our directors or officers (as defined in Rule 16a-1 under the Exchange Act) adopted or terminated any contract, instruction, or written plan for the purchase or sale of our securities that was intended to satisfy the affirmative defense conditions of Rule 10b5-1(c) or any " non-Rule 10b5 -1 trading arrangement" (as defined in Item 408 of Regulation S-K).
Filed/ Furnished Herewith
−Removed: Amendment No.
−Removed: 1 to Royalty Agreement with Ligand Pharmaceuticals Incorporated
−Removed: Form of Amendment to Stock Option Agreements, dated January 31, 2024, between the Company and C.
−Removed: Randal Mills, Ph.D.
−Removed: Form of Amendment to Restricted Stock Unit Agreements, dated January 31, 2024, between the Company and C.
−Removed: Randal Mills, Ph.D.
−Removed: Form of Stock Option Agreement under the Elutia Inc.
−Removed: Amended and Restated 2020 Incentive Award Plan.
−Removed: Form of Restricted Stock Unit Agreement under the Elutia Inc.
−Removed: Amended and Restated 2020 Incentive Award Plan.
+Added: Form of Prefunded Warrant
+Added: Second Amendment to Credit Agreement, dated March 27, 2024, by and among Elutia Inc., SWK Funding LLC, as Agent, and the Lenders from time to time party thereto.
+Added: Placement Agency Agreement, dated June 16, 2024, by and between Elutia Inc.
+Added: and Lake Street Capital Markets, LLC
+Added: Form of Securities Purchase Agreement
Certification of 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.
13 unchanged sentences
** Furnished herewith.
−Removed: # Annexes, schedules and exhibits have been omitted pursuant to Item 601(a)(5)(b)(2) of Regulation S-K.
−Removed: The Registrant hereby agrees to furnish supplementally a copy of any omitted annex, schedule or exhibit to the SEC upon request.
−Removed: † Denotes a management contract or compensation plan or arrangement.
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.
+Added: August 13, 2024
Randal Mills, Ph.D.
2 unchanged sentences
(principal executive officer)
+Added: August 13, 2024
/s/ Matthew Ferguson
3 unchanged sentences
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.