HCW Biologics Inc. 10-Q

Item 5. Other Information. None. 48 Item 6. Exhibits. The exhibits filed or furnished as part of this Quarterly Report on Form 10-Q are set forth on the Exhibit Index, which Exhibit Index is incorporated herein by reference. Exhibit Number Incorporated by Reference Filed Herewith Description Form Date Number 10.1 Loan Agreement by and between HCW Biologics Inc. and Cogent Bank, dated August 15, 2022. X 10.2 Mortgage and Security Agreement by and between HCW Biologics Inc. and Cogent Bank, dated August 15, 2022. X 10.3 Capital on Demand TM Sales Agreement, dated August 19, 2022, by and between HCW Biologics Inc. and Jones Trading Institutional Services LLC S-3 8/19/2022 ###-##-#### 31.1* 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. X 31.2 Certification of Principal Financial 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. X 32.1* Certification of Principal Executive Officer Pursuant to 18 U.S.C. Section 1350, as Adopted Pursuant to Section 906 of the Sarbanes-Oxley Act of 2002. X 32.2* Certification of Principal Financial Officer Pursuant to 18 U.S.C. Section 1350, as Adopted Pursuant to Section 906 of the Sarbanes-Oxley Act of 2002. X 101 The following materials from the Company’s Quarterly Report on Form 10-Q for the quarter ended September 30, 2022, formatted in Inline XBRL (eXtensible Business Reporting Language): (i) the Condensed Balance Sheets as of December 31, 2021 and September 30, 2022 (unaudited); (ii) the Condensed Statements of Operations for the three months and nine months ended September 30, 2021 (unaudited) and September 30, 2022 (unaudited); (iv) the Condensed Statements of Stockholders’ Equity for the three and nine months ended September 30, 2021 (unaudited) and September 30, 2022 (unaudited); (v) the Condensed Statements of Cash Flows for the nine months ended September 30, 2021 (unaudited) and September 30, 2022 (unaudited); and (vi) the notes to the Condensed Financial Statements (unaudited). X 104 Cover Page Interactive Data File (formatted as Inline XBRL and contained in Exhibit 101) X * This certification is deemed not filed for purpose of Section 18 of the Exchange Act or otherwise subject to the liability of that section, nor shall it be deemed incorporated by reference into any filing under the Securities Act or the Exchange Act. 49 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. HCW Biologics Inc. Date: November 7, 2022 By: /s/ Hing C. Wong Hing C. Wong Chief Executive Officer (Principal Executive Officer) Date: November 7, 2022 By: /s/ Rebecca Byam Rebecca Byam Chief Financial Officer (Principal Financial and Accounting Officer) 50