Item 5. Other Information
Item 5. Other Information
During our last fiscal quarter, no director or officer, as defined in Rule 16a-1(f), adopted or terminated a "Rule 10b5-1 trading arrangement" or a "non-Rule 10b5-1 trading arrangement," each as defined in Regulation S-K Item 408.
53
Table of Contents
Item 6. Exhibits
Incorporated by Reference Filed or
Furnished
Herewith
Exhibit No. Description Form File Number Exhibit Filing Date
3.1
Amended and Restated Certificate of Incorporation of the Registrant
10-K 001-37752 3.1 3/15/2018
3.2 Certificate of Amendment to the Company’s Amended and Restated Certificate of Incorporation
8-K 000-53290 3.1 3/19/2025
3.3 Amended and Restated Bylaws of Niagen Bioscience, Inc.
8-K 000-53290 3.1 3/19/2025
4.1 Form of Stock Certificate representing shares of the Registrant’s Common Stock
X
10.1
Amendment to Amended and Restated Executive Employment Agreement, dated February 25, 2025, by and between Robert Fried and the Registrant
8-K 001-37752 10.1 2/27/2025
10.2 Performance Stock Unit Award Agreement, dated February 25, 2025, by and between Robert Fried and the Registrant
8-K 001-37752 10.2 2/27/2025
10.3 Second Amendment to Lease Agreement, dated March 11, 2025, by and between ChromaDex Analytics, Inc. and 62 1625-1751 S. Fordham LLC and 64 1625-1751 S. Fordham LLC
X
10.4 Seventh Modification to Business Financing Agreement dated March 24, 2025 by and among Western Alliance Bank, Niagen Bioscience, Inc., ChromaDex Inc. and ChromaDex Analytics, Inc.
X
10.5 Niagen Bioscience, Inc. 2017 Equity Incentive Plan, as amended
X
10.6 Form of Stock Option Agreement under Niagen Bioscience, Inc. 2017 Equity Incentive Plan, as amended
X
10.7 Form of Restricted Stock Purchase Agreement under the Niagen Bioscience, Inc. 2017 Equity Incentive Plan, as amended
X
10.8 Amended and Restated Non-Employee Director Compensation Policy
X
10.9 Amended and Restated Incentive Compensation Recoupment Policy
X
31.1
Certification of the Chief Executive Officer pursuant to Rule 13a-14(A) of the Securities Exchange Act of 1934, as amended
X
31.2
Certification of the Chief Financial Officer pursuant to Rule 13a-14(A) of the Securities Exchange Act of 1934, as amended
X
32.1
Certification pursuant to 18 U.S.C. Section 1350 (as adopted pursuant to Section 906 of the Sarbanes−Oxley Act of 2002)
X
101.INS Inline XBRL Instance Document- the instance document does not appear in the Interactive Data File because its XBRL tags are embedded within the Inline XBRL 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
104 104 Cover Page Interactive Data File (formatted as Inline XBRL and contained in Exhibit 101)
54
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.
NIAGEN BIOSCIENCE, INC.
Date: May 7, 2025 /s/ OZAN PAMIR
Ozan Pamir
Chief Financial Officer
(principal financial officer and duly authorized on behalf of the registrant)
55