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Item 5. Other Information

2020-08-06 compared with 2020-05-18 · 51 added, 95 removed, 12 unchanged (92% of the section changed)

1 unchanged sentence

Description of Exhibits

and Plan of Merger, dated as of May 21, 2008, by and among Cody

Resources, Inc., CDI Acquisition, Inc.

and ChromaDex, Inc., as

amended on June 10, 2008 (incorporated by reference to, and filed

as Exhibit 2.1 to the Registrant’s Current Report on Form 8-K

Agreement and Plan of Merger, dated as of May 21, 2008, by and among Cody Resources, Inc., CDI Acquisition, Inc.

and ChromaDex, Inc., as amended on June 10, 2008 (incorporated by reference to, and filed as Exhibit 2.1 to the Registrant’s Current Report on Form 8-K (File No.

333-140056) filed with the Commission on June 24, 2008) (1)

Purchase Agreement, dated as of August 21, 2017, by and among

Covance Laboratories Inc., ChromaDex, Inc., ChromaDex Analytics,

Inc., and ChromaDex Corporation (incorporated by reference from,

and filed as Exhibit 2.2 to the Company’s Quarterly Report on

Form 10-Q (File No.

001-37752) filed with the Commission on

November 9, 2017)*

to Asset Purchase Agreement, dated as of September 5, 2017, by and

among Covance Laboratories Inc., ChromaDex, Inc., ChromaDex

Analytics, Inc., and ChromaDex Corporation (incorporated by

reference from, and filed as Exhibit 2.2 to the Company’s

Quarterly Report on Form 10-Q (File No.

001-37752) filed with the

Commission on November 9, 2017)

and Restated Certificate of Incorporation of the Registrant

(incorporated by reference to, and filed as Exhibit 3.1 to the

Registrant’s Annual Report on Form 10-K (File No.

Asset Purchase Agreement, dated as of August 21, 2017, by and among Covance Laboratories Inc., ChromaDex, Inc., ChromaDex Analytics, Inc., and ChromaDex Corporation (incorporated by reference from, and filed as Exhibit 2.2 to the Company’s Quarterly Report on Form 10-Q (File No.

001-37752) filed with the Commission on November 9, 2017)*

Amendment to Asset Purchase Agreement, dated as of September 5, 2017, by and among Covance Laboratories Inc., ChromaDex, Inc., ChromaDex Analytics, Inc., and ChromaDex Corporation (incorporated by reference from, and filed as Exhibit 2.2 to the Company’s Quarterly Report on Form 10-Q (File No.

001-37752) filed with the Commission on November 9, 2017)

Amended and Restated Certificate of Incorporation of the Registrant (incorporated by reference to, and filed as Exhibit 3.1 to the Registrant’s Annual Report on Form 10-K (File No.

001-37752) filed with the Commission on March 15, 2018)

of the Registrant (incorporated by reference to, and filed as

Exhibit 3.2 to the Registrant’s Current Report on Form 8-K

Bylaws of the Registrant (incorporated by reference to, and filed as Exhibit 3.2 to the Registrant’s Current Report on Form 8-K (File No.

333-140056) filed with the Commission on June 24, 2008)

of Amendment to the Amended and Restated Certificate of

Incorporation of the Registrant (incorporated by reference to, and

filed as Exhibit 3.1 to the Registrant’s Current Report on

Form 8-K (File No.

Certificate of Amendment to the Amended and Restated Certificate of Incorporation of the Registrant (incorporated by reference to, and filed as Exhibit 3.1 to the Registrant’s Current Report on Form 8-K (File No.

000-53290) filed with the Commission on April 12, 2016)

to Bylaws of the Registrant (incorporated by reference to, and

filed as Exhibit 3.1 to the Registrant’s Current Report on

Form 8-K (File No.

Amendment to Bylaws of the Registrant (incorporated by reference to, and filed as Exhibit 3.1 to the Registrant’s Current Report on Form 8-K (File No.

001-37752) filed with the Commission on July 19, 2016)

Stock Certificate representing shares of the Registrant’s

Common Stock (incorporated by reference to, and filed as Exhibit

4.1 to the Registrant’s Annual Report on Form 10-K (File No.

Form of Stock Certificate representing shares of the Registrant’s Common Stock (incorporated by reference to, and filed as Exhibit 4.1 to the Registrant’s Annual Report on Form 10-K (File No.

000-53290) filed with the Commission on April 3, 2009)

Investor’s

Rights Agreement, effective as of December 31, 2005, by and between

The University of Mississippi Research Foundation and the

Registrant (incorporated by reference to, and filed as Exhibit 4.1

to the Registrant’s Current Report on Form 8-K (File No.

Investor’s Rights Agreement, effective as of December 31, 2005, by and between The University of Mississippi Research Foundation and the Registrant (incorporated by reference to, and filed as Exhibit 4.1 to the Registrant’s Current Report on Form 8-K (File No.

333-140056) filed with the Commission on June 24, 2008)

Agreement effective as of December 31, 2005, by and among the

Registrant, Frank Louis Jaksch, Snr.

& Maria Jaksch, Trustees

of the Jaksch Family Trust, Margery Germain, Lauren Germain, Emily

Germain, Lucie Germain, Frank Louis Jaksch, Jr., and the University

of Mississippi Research Foundation (incorporated by reference to,

and filed as Exhibit 4.2 to the Registrant’s Current Report

on Form 8-K (File No.

Tag-Along Agreement effective as of December 31, 2005, by and among the Registrant, Frank Louis Jaksch, Snr.

& Maria Jaksch, Trustees of the Jaksch Family Trust, Margery Germain, Lauren Germain, Emily Germain, Lucie Germain, Frank Louis Jaksch, Jr., and the University of Mississippi Research Foundation (incorporated by reference to, and filed as Exhibit 4.2 to the Registrant’s Current Report on Form 8-K (File No.

333-140056) filed with the Commission on June 24, 2008)

Stock Certificate representing shares of the Registrant’s

Common Stock effective as of January 1, 2016 (incorporated by

reference to, and filed as Exhibit 4.4 to the Registrant’s

Annual Report on Form 10-K (File No.

001-37752) filed with the

Commission on March 17, 2016)

Stock Certificate representing shares of the Registrant’s

Common Stock effective as of December 10, 2018 (incorporated by

reference to, and filed as Exhibit 4.5 to the Registrant’s

Annual Report on Form 10-K (File No.

001-37752) filed with the

Commission on March 7, 2019)

Agreement, dated January 10, 2020, by and among ChromaDex

Corporation and Lisa Bratkovich ❖

Certification of the Chief Executive Officer pursuant to Rule

13a-14(A) of the Securities Exchange Act of 1934, as

amended ❖

Certification of the Chief Financial Officer pursuant to Rule

13a-14(A) of the Securities Exchange Act of 1934, as

amended ❖

Form of Stock Certificate representing shares of the Registrant’s Common Stock effective as of January 1, 2016 (incorporated by reference to, and filed as Exhibit 4.4 to the Registrant’s Annual Report on Form 10-K (File No.

001-37752) filed with the Commission on March 17, 2016)

Form of Stock Certificate representing shares of the Registrant’s Common Stock effective as of December 10, 2018 (incorporated by reference to, and filed as Exhibit 4.5 to the Registrant’s Annual Report on Form 10-K (File No.

001-37752) filed with the Commission on March 7, 2019)

Registration Rights Agreement, dated as of May 9, 2019, by and among the Registrant and the parties thereto (incorporated by reference to Exhibit 99.2 to the Registrant’s Current Report on Form 8-K filed with the SEC on May 10, 2019)

Registration Rights Agreement, dated as of August 15, 2019, by and among the Registrant and the parties thereto (incorporated by reference to Exhibit 99.1 to the Registrant’s Current Report on Form 8-K filed with the SEC on August 15, 2019)

Registration Rights Agreement, dated as of April 27, 2020, by and among the Registrant and the parties thereto (incorporated by reference to Exhibit 99.2 to the Registrant’s Current Report on Form 8-K filed with the SEC on April 29, 2020)

Securities Purchase Agreement, dated April 27, 2020, by and among ChromaDex Corporation and Winsave Resources Limited and Pioneer Step Holdings Limited (incorporated by reference to, and filed as Exhibit 99.1 to the Registrant’s Current Report on Form 8-K (File No.

001-37752) filed with the Commission on April 29, 2020)

At Market Issuance Sales Agreement, dated as of June 12, 2020, by and among ChromaDex Corporation, B.

Riley FBR, Inc.

and Raymond James & Associates, Inc.

(incorporated by reference to, and filed as Exhibit 1.2 to the Registrant’s Registration Statement on Form S-3 (File No.

333-239144) filed with the Commission on June 12, 2020)

ChromaDex Corporation 2017 Equity Incentive Plan, as amended (incorporated by reference to, and filed as Exhibit 99.1 to the Registrant’s Current Report on Form 8-K (File No.

001-37752) filed with the Commission on June 22, 2020)+

Certification of the Chief Executive Officer pursuant to Rule 13a-14(A) of the Securities Exchange Act of 1934, as amended❖

Certification of the Chief Financial Officer pursuant to Rule 13a-14(A) of the Securities Exchange Act of 1934, as amended❖

Certification pursuant to 18 U.S.C.

Section 1350 (as adopted

pursuant to Section 906 of the Sarbanes−Oxley Act of

2002) ❖

Instance Document

Taxonomy Extension Schema Document

Taxonomy Extension Calculation Linkbase Document

Taxonomy Extension Definition Linkbase Document

Taxonomy Extension Label Linkbase Document

Taxonomy Extension Presentation Linkbase Document

Plan and related

Forms were assumed by ChromaDex Corporation pursuant to Agreement

and Planof Merger, dated as of May 21, 2008, among ChromaDex

Corporation (formerly Cody Resources,Inc.), CDI Acquisition, Inc.

Section 1350 (as adopted pursuant to Section 906 of the Sarbanes−Oxley Act of 2002)❖

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

Inline XBRL Taxonomy Extension Schema Document

Inline XBRL Taxonomy Extension Calculation Linkbase Document

Inline XBRL Taxonomy Extension Definition Linkbase Document

Inline XBRL Taxonomy Extension Label Linkbase Document

Inline XBRL Taxonomy Extension Presentation Linkbase Document

104 Cover Page Interactive Data File (formatted as Inline XBRL and contained in Exhibit 101)

__________________

❖ Filed herewith.

(1) Plan and related Forms were assumed by ChromaDex Corporation pursuant to Agreement and Plan of Merger, dated as of May 21, 2008, among ChromaDex Corporation (formerly Cody Resources, Inc.), CDI Acquisition, Inc.

and ChromaDex, Inc.

This Exhibit has

been granted confidential treatment and has been filed separately

with theCommission.

The confidential portions of this Exhibit have

been omitted and are marked by anasterisk.

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.

Date:            

May 18, 2020    

Chief Financial

(principal financial and accounting officer and duly authorized on

behalf of the registrant)

* This Exhibit has been granted confidential treatment and has been filed separately with the Commission.

The confidential portions of this Exhibit have been omitted and are marked by an asterisk.

+ Indicates management contract or compensatory plan or arrangement.

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.

CHROMADEX CORPORATION

August 6, 2020 By:

Chief Financial Officer

(principal financial and accounting officer and duly authorized on behalf of the registrant)

Compared sentence by sentence after normalising whitespace, quotation marks, case and digits, so re-formatting and restated figures do not read as changed language. Wording changes appear as one removal and one addition. The current filing and the prior one are authoritative.

What changed 10-Q

Item 5. Other Information