1 unchanged sentence
Securities Trading Plans of Directors and Executive Officers
−Removed: During the three months ended June 30, 2023, none of our directors or officers 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.”
−Removed: (TO BE UPDATED – WILL CHECK WITH COVINGTON)
+Added: During the three months ended September 30, 2023, none of our directors or officers, or the Company, 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) promulgated under the Securities Exchange Act of 1934 or any “non-Rule 10b5-1 trading arrangement.”
Incorporated by Reference from Filings as Noted Below (Unless
7 unchanged sentences
February 7, 2022
−Removed: Eyenovia Inc.
−Removed: Amended and Restated 2018 Omnibus Stock Incentive Plan, as Amended
−Removed: June 27, 2023
+Added: Form of Warrant
+Added: August 29, 2023
+Added: Form of Pre-Funded Warrant
+Added: August 29, 2023
+Added: License Agreement, dated August 15, 2023, by and between Eyenovia, Inc.
+Added: and Formosa Pharmaceuticals, Inc.
+Added: Filed herewith
+Added: Securities Purchase Agreement, dated August 24, 2023
+Added: August 29, 2023
+Added: Warrant Amendment Agreement, dated August 24, 2023
+Added: August 29, 2023
Certification of the Principal Executive Officer pursuant to Section 302 of the Sarbanes-Oxley Act of 2002
20 unchanged sentences
Filed herewith
−Removed: * This certification is deemed not filed for purpose 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 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.
−Removed: + Management contract or other compensatory plan.
+Added: * This certification is deemed not filed for purpose 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 under the Securities Act of 1933,
+Added: 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.
+Added: # Certain confidential portions of this Exhibit were omitted by means of marking such portions with brackets (“[***]”) because the identified confidential portions (i) are not material and (ii) is the type of information that the Company treats as private or confidential.
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.
EYENOVIA, INC.
−Removed: August 11, 2023
+Added: November 13, 2023
/s/ John Gandolfo
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.