Opus Genetics, Inc. 10-Q

Item 5. Other Information Trading Plans On June 5, 2026 , Dr. George Magrath , the Company’s Chief Executive Officer , adopted a Rule 10b5‑1 trading plan (as defined in Rule 10b5‑1(c) under the Securities Exchange Act of 1934) providing for the potential sale of up to 1,053,586 shares of the Company’s common stock. Pursuant to the trading plan, sales of shares may commence on or after September 4, 2026, and are scheduled to terminate on or prior to September 25, 2028 , subject to earlier termination in accordance with its terms. On April 30, 2026 , Rob Gagnon , the Company’s Chief Financial Officer , adopted a Rule 10b5‑1 trading plan (as defined in Rule 10b5‑1(c) under the Securities Exchange Act of 1934) providing for the potential sale of up to 536,589 shares of the Company’s common stock. Pursuant to the trading plan, sales of shares may commence on or after August 10, 2026, and are scheduled to terminate on or prior to August 28, 2028 , subject to earlier termination in accordance with its terms. 49 Table of Contents Opus Genetics, Inc. Form 10-Q On May 1, 2026 , Dr. Sally Tucker , the Company’s Chief Medical Officer , adopted a Rule 10b5‑1 trading plan (as defined in Rule 10b5‑1(c) under the Securities Exchange Act of 1934) providing for the potential sale of up to 232,869 shares of the Company’s common stock. Pursuant to the trading plan, sales of shares may commence on or after June 1, 2026, and are scheduled to terminate on or prior to May 31, 2028 , subject to earlier termination in accordance with its terms. Item 6. Exhibits EXHIBIT NUMBER DESCRIPTION OF DOCUMENT 3.1 Certificate of Amendment to the Restated Certificate of Incorporation of the Company, filed on April 20, 2026 (incorporated by reference to Exhibit 3.2 to the Quarterly Report on Form 10-Q filed on May 12, 2026). 4.1 Fifth Amendment to Ocuphire Pharma, Inc. 2021 Inducement Plan (incorporated by reference to Exhibit 4.10 to the Registration Statement on Form S-8, filed on May 14, 2026). 10.1 Note Purchase Agreement, dated as of April 2, 2026, by and among Opus Genetics, Inc., as Issuer, the other Obligors party thereto, the Purchasers party thereto, and OPCM SA LLC, as Purchaser Agent (incorporated by reference to Exhibit 10.1 to the Current Report on Form 8-K filed April 7, 2026). 10.2 Stock Purchase and Conversion Agreement, dated as of April 2, 2026, by and between Opus Genetics, Inc. and TPC Investments Solutions LP and TPC Investments Solutions Co-Invest LP (incorporated by reference to Exhibit 10.2 to the Current Report on Form 8-K filed April 7, 2026). 10.3 Waiver and Omnibus Amendment of Note Purchase Agreement and Stock Purchase and Conversion Agreement, dated as of April 13, 2026, by and among Opus Genetics, Inc., OpusTX, LLC, certain Purchasers party thereto, and OPCM SA LLC (incorporated by reference to Exhibit 10.5 to the Quarterly Report on Form 10-Q filed on May 12, 2026). 10.4# Amendment No. 2 to Consulting Agreement, dated as of April 10, 2026, by and between the Company and Jay S. Pepose, M.D. (incorporated by reference to Exhibit 10.6 to the Quarterly Report on Form 10-Q filed on May 12, 2026). 10.5# Form of Change in Control Bonus Agreement (incorporated by reference to Exhibit 10.1 to the Current Report on Form 8-K filed April 7, 2026). 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 and not filed. ** Indicates exhibits that are being filed herewith. # Indicates management contract or compensatory plan. 50 Table of Contents Opus Genetics, 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 6, 2026 Opus Genetics, Inc. By: /s/ George Magrath George Magrath Chief Executive Officer and Director (Principal Executive Officer) By: /s/ Robert Gagnon Robert Gagnon Chief Financial Officer (Principal Financial Officer and Accounting Officer) 51