HCW Biologics Inc. 10-Q

Item 5. Other Information. Insider Adoption or Termination of Trading Agreements During the three months ended June 30, 2023, none of our directors or officers informed us of the adoption, amendment, or termination of a “Rule 10b5-1 trading arrangement” or a “non-Rule 10b5-1 trading agreement” as those terms are defined in Regulation S-K, Item 408. 26 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 Development Line of Credit Agreement, dated as of April 20, 2023 by and between Prime Capital Ventures, LLC and HCW Biologics Inc. 8-K 4/27/2023 001-40591 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 amended, 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 amended, 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 June 30, 2023, formatted in Inline XBRL (eXtensible Business Reporting Language): (i) the Condensed Balance Sheets as of December 31, 2022 and June 30, 2023 (unaudited); (ii) the Condensed Statements of Operations for the three and six months ended June 30, 2022 (unaudited) and June 30, 2023 (unaudited); (iv) the Condensed Statements of Stockholders’ Equity for the six months ended June 30, 2022 (unaudited) and June 30, 2023 (unaudited); (v) the Condensed Statements of Cash Flows for the six months ended June 30, 2022 (unaudited) and June 30, 2023 (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 certificate 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. 27 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: August 11, 2023 By: /s/ Hing C. Wong Hing C. Wong Chief Executive Officer (Principal Executive Officer) Date: August 11, 2023 By: /s/ Rebecca Byam Rebecca Byam Chief Financial Officer (Principal Financial and Accounting Officer) 28