HF Foods Group Inc. 10-Q

Item 5. Other Information. Securities Trading Plans of Directors and Executive Officers During the three months ended September 30, 2023, none of our officers or directors adopted or terminated a "Rule 10b5-1 trading arrangement" or "non-Rule 10b5-1 trading arrangement," as each term is defined in Item 408 of Regulation S-K. 32 Item 6. Exhibits The following exhibits are incorporated herein by reference or are filed or furnished with this report as indicated below: Incorporated by Reference Exhibit Number Description Form Exhibit Filing Date 3.1 Second Amended and Restated Certificate of Incorporation 8-K 3.1 8/11/2017 3.2 Certificate of Amendment to Certificate of Incorporation 8-K 3.1.2 8/27/2018 3.3 Amended and Restated Bylaws 8-K 3.02 11/4/2022 3.4 First Amendment to Amended and Restated Bylaws, dated April 25, 2023 8-K 3.1 4/26/2023 3.5 Certificate of Designation of Rights, Preferences and Privileges of Series A Participating Preferred Stock 8-K 3.1 4/11/2023 4.1 Specimen Common Stock Certificate S-1/A 4.2 7/28/2017 4.2 Form of Unit Purchase Option between the Registrant and Chardan Capital Markets, LLC S-1/A 4.5 7/28/2017 10.1 * Settlement Agreement, dated May 5, 2023, by and among the Company, Zhou Min Ni, Chan Sin Wong, Xiao Mou Zhang, Caixuan Xu, Jian Ming Ni, Zhehui Ni, Hong Wang, and Ren Hua Zheng 31.1 * Certification of Chief Executive Officer pursuant to Rule 13a-14 and Rule 15d-14(a), promulgated under the Securities and Exchange Act of 1934, as amended. 31.2 * Certification of Chief Financial Officer pursuant to Rule 13a-14 and Rule 15d-14(a), promulgated under the Securities and Exchange Act of 1934, as amended. 32.1 ** Certification of Chief 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 Chief 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* XBRL Instance Document 101.SCH* XBRL Taxonomy Extension Schema Document 101.CAL* XBRL Taxonomy Extension Calculation Linkbase Document 101.DEF* XBRL Taxonomy Extension Definition Linkbase Document 101.LAB* XBRL Taxonomy Extension Label Linkbase Document 101.PRE* XBRL Taxonomy Extension Presentation Linkbase Document 104* Cover Page Interactive Data File (formatted as Inline XBRL and contained in Exhibit 101) * Filed herewith. ** Furnished herewith. † Indicates a management contract or compensatory plan or arrangement. 33 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. HF Foods Group Inc. By: /s/ Xiao Mou Zhang Xiao Mou Zhang Chief Executive Officer By: /s/ Carlos Rodriguez Carlos Rodriguez Chief Financial Officer (Principal accounting and financial officer) Date: November 9, 2023 34