Opus Genetics, Inc. 10-Q

Item 5. Other Information Other than as set forth below, during the quarter ended June 30, 2024, none of the Company’s directors or officers has adopted or terminated a Rule 10b5-1 trading arrangement or a non-Rule 10b5-1 trading arrangement (each as defined in Item 408 of Regulation S-K under the Exchange Act). In May 2024, the Company established a mandatory sell-to-cover policy to satisfy tax withholding obligations for employee RSU awards. The trading arrangements pursuant to this policy constitute non-Rule 10b5-1 trading arrangements. 41 Index Ocuphire Pharma, Inc. Form 10-Q Item 6. Exhibits EXHIBIT NUMBER ​ DESCRIPTION OF DOCUMENT 3.1** Restated Certificate of Incorporation of Ocuphire Pharma, Inc., dated as of June 12, 2024 3.2 Third Amended and Restated Bylaws, dated as of June 11, 2024 (incorporated by reference to Exhibit 3.2 of Registrant’s Current Report on Form 8-K, filed on June 13, 2024). 10.1**+ Third Amended and Restated Non-Employee Director Compensation Plan, dated as of June 11, 2024. 10.2+ Consulting Agreement, dated as of April 11, 2024, by and between the Company and Jay S. Pepose, M.D. (incorporated by reference to Exhibit 10.1 of the Registrant’s Current Report on Form 8-K filed on April 17, 2024). 31.1 Certification of Principal Executive Officer pursuant to Section 302 of the Sarbanes-Oxley Act of 2002. 31.2 Certification of Principal Financial Officer pursuant to Section 302 of the Sarbanes-Oxley Act of 2002. 32.1* Certification of Principal Executive Officer and Principal Financial Officer pursuant to Section 906 of the Sarbanes-Oxley Act of 2002. 101.INS Inline XBRL Instance Document. 101.SCH Inline XBRL Taxonomy Extension Schema Document. 101.CAL Inline XBRL Taxonomy Extension Calculation Linkbase Document. 101.DEF Inline XBRL Taxonomy Extension Definition Linkbase Document. 101.LAB Inline XBRL Taxonomy Extension Label Linkbase Document. 101.PRE Inline XBRL Taxonomy Extension Presentation Linkbase Document. 104 Cover Page Interactive Data File (formatted as inline XBRL and contained in Exhibit 101) * Documents are furnished not filed. ** Indicates exhibits that are being filed herewith. + Indicates management contract or compensatory plan. 42 Index Ocuphire Pharma, Inc. Form 10-Q 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. Dated: August 13, 2024 Ocuphire Pharma, Inc. By: /s/ George Magrath George Magrath Chief Executive Officer and Director (Principal Executive Officer) By: /s/ Nirav Jhaveri Nirav Jhaveri Chief Financial Officer (Principal Financial Officer) 43