HYPERION DEFI, INC. 10-Q

Item 5. Other Information. Securities Trading Plans of Directors and Executive Officers During the nine months ended September 30, 2024, 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 Exchange Act or any “non-Rule 10b5-1 trading arrangement.” ​ 30 Table of Contents Item 6. Exhibits. ​ Exhibit Incorporated by Reference from Filings as Noted Below (Unless Otherwise Indicated) Number Exhibit Description Form File No. Exhibit Filing Date 3.1 Third Amended and Restated Certificate of Incorporation 8-K 001-38365 3.1 January 29, 2018 3.1.1 Certificate of Amendment to the Third Amended and Restated Certificate of Incorporation 8-K 001-38365 3.1.1 June 14, 2018 3.2 Second Amended and Restated Bylaws 8-K 001-38365 3.1 February 7, 2022 3.3 ​ Certificate of Amendment to the Third Amended and Restated Certificate of Incorporation ​ 8-K ​ 001-38365 ​ 3.1 ​ June 14, 2024 4.1 ​ Form of Warrant ​ 8-K ​ 001-38365 ​ 4.1 ​ July 1, 2024 4.2 ​ Form of Warrant 8 - K 001 - 38365 4.1 September 30, 2024 ​ ​ ​ ​ ​ ​ ​ ​ 4.3 ​ Form of Pre-Funded Warrant 8 - K 001 - 38365 4.2 September 30, 2024 ​ ​ ​ ​ ​ ​ ​ ​ 10.1 Form of Securities Purchase Agreement, dated June 27, 2024 8-K 001-38365 10.1 July 1, 2024 10.2 Warrant Amendment Agreement, dated June 27, 2024 8-K 001-38365 10.2 July 1, 2024 10.3 ​ Warrant Amendment Agreement, dated June 28, 2024 ​ 8-K ​ 001-38365 ​ 10.3 ​ July 1, 2024 10.4 ​ Form of Securities Purchase Agreement, dated August 21, 2024 ​ 8-K ​ 001-38365 ​ 10.1 ​ August 22, 2024 10.5 ​ Executive Employment Agreement by and between Eyenovia, Inc. and Andrew D. Jones, dated as of August 30, 2024 ​ 8-K ​ 001-38365 ​ 10.1 ​ September 3, 2024 10.6 ​ Form of Securities Purchase Agreement, dated September 26, 2024. ​ 8-K ​ 001-38365 ​ 10.1 ​ September 30, 2024 10.7 ​ Form of Eyenovia, Inc. Inducement Stock Option Award Agreement ​ — ​ — ​ — ​ Filed herewith 10.8 ​ Form of Indemnification and Advancement Agreement ​ — ​ — ​ — ​ Filed herewith 31.1 Certification of the Principal Executive Officer pursuant to Section 302 of the Sarbanes-Oxley Act of 2002 — — — Filed herewith 31.2 Certification of the Principal Financial Officer pursuant to Section 302 of the Sarbanes-Oxley Act of 2002 — — — Filed herewith 32.1* Certification of the Principal Executive Officer pursuant to Section 906 of the Sarbanes-Oxley Act of 2002 — — — Filed herewith 32.2* Certification of the Principal Financial Officer pursuant to Section 906 of the Sarbanes-Oxley Act of 2002 — — — Filed herewith 101.INS Inline XBRL Instance Document - the instance document does not appear in the Interactive Data File because XBRL tags are embedded within the Inline XBRL document — — — Filed herewith 101.SCH Inline XBRL Taxonomy Extension Schema Document — — — Filed herewith 101.CAL Inline XBRL Taxonomy Extension Calculation Linkbase Document — — — Filed herewith 101.DEF Inline XBRL Taxonomy Extension Definition Linkbase Document — — — Filed herewith 101.LAB Inline XBRL Taxonomy Extension Label Linkbase Document — — — Filed herewith 101.PRE Inline XBRL Taxonomy Extension Presentation Linkbase Document — — — Filed herewith 104 Cover Page Interactive Data File - the cover page XBRL tags are embedded within the Inline XBRL document contained in Exhibit 101 — — — Filed herewith * 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. ​ 31 Table of Contents 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. ​ EYENOVIA, INC. Date: November 12, 2024 By: /s/ Andrew Jones Andrew Jones Chief Financial Officer (Principal Financial Officer) ​ ​ 32