Item 5. Other Information
ITEM 5. Other Information
None.
ITEM 6. Exhibits
Exhibit Index
3.1*
Certificate of Amendment to Certificate of Incorporation dated July 8, 2010, as filed and recorded with the Secretary of State of the State of Delaware on July 12,
2010.
4.1
Form of Series A Warrants to Securities Purchase Agreement dated as of July 8, 2010. (Incorporated by reference to Exhibit 4.1 to Form 8-K/A filed on July 9, 2010.)
4.2
Form of Series B Warrants to Securities Purchase Agreement dated as of July 8, 2010. (Incorporated by reference to Exhibit 4.2 to Form 8-K filed on July 8, 2010.)
10.1
Limited Liability Company Agreement for Verdant Ventures Advisors, LLC dated April 14, 2010 by among Verdant Ventures Managers, LLC, Silicon Prairie Partners, LLC and UTEK
Corporation. (Incorporated by reference to Exhibit 10.1 to Form 10-Q filed on August 10, 2010.)
10.2
Securities Purchase Agreement dated July 8, 2010 by and among UTEK Corporation and three institutional investors. (Incorporated by reference to Exhibit 10.1 to the Companys
Form 8-K filed on July 8, 2010.)
10.3
Form of Amendment to Securities Purchase Agreement. (Incorporated by reference to Exhibit 10.2 to the Companys Form 8-K/A filed on July 9, 2010.)
10.4
Innovaro Amended and Restated Employee Stock Option Plan. (Incorporated by reference to Exhibit A filed with the Companys Proxy Statement filed on April 16,
2010.)
10.5
Innovaro Restricted Stock Plan. (Incorporated by reference to Exhibit B filed with the Companys Proxy Statement filed on April 16, 2010.)
10.6*
Separation Agreement and Release between Innovaro, Inc. and Doug Schaedler dated August 23, 2010.
10.7*
Consulting Agreement between Innovaro, Inc. and Asa Lanum of The CTO Group dated August 13, 2010.
31.1*
Certification of the Chief Executive Officer pursuant to Rule 13a-14(a) of the Securities Exchange Act of 1934.
31.2*
Certification of the Chief Financial Officer pursuant to Rule 13a-14(a) of the Securities Exchange Act of 1934.
32.1*
Certification of the Chief Executive Officer pursuant to Section 906 of the Sarbanes-Oxley Act of 2002, 18 USC. Section 1350.
32.2*
Certification of the Chief Financial Officer pursuant to Section 906 of the Sarbanes-Oxley Act of 2002, 18 USC. Section 1350.
*
Filed Herewith.
Page 32 of 37
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.
INNOVARO, INC.
(Registrant)
Date: November 12, 2010
/s/ Asa Lanum
Asa Lanum
Chief Executive Officer
Date: November 12, 2010
/s/ Carole R. Wright
Carole R. Wright, CPA
Chief Financial Officer
Page 33 of 37
Text extracted from the filing as submitted to EDGAR. Formatting, tables and exhibits are simplified for reading; the original document is authoritative for anything you rely on.