Item 5. Other Information
Item 5. Other Information
Rule 10b5-1 Trading
Plans - Directors and Section 16 Officers
During the three months
ended March 31, 2026, none of the Company’s directors or Section 16 officers adopted or terminated any contract,
instruction or written plan for the purchase or sale of Company securities that was intended to satisfy the affirmative defense conditions
of Rule 10b5-1(c) of the Exchange Act or any “non-Rule 10b5-1 trading arrangement”.
39
NeuroOne Medical Technologies Corporation
Form 10-Q
Item 6. Exhibits
Exhibit No.
Document
3.1
Certificate of Incorporation of NeuroOne Medical Technologies Corporation (incorporated by reference to Exhibit 3.4 on the Registrant’s Current Report on Form 8-K filed on June 29, 2017).
3.2
Certificate of Amendment to Amended and Restated Certificate of Incorporation of NeuroOne Medical Technologies Corporation (incorporated by reference to Exhibit 3.1 on the Registrant’s Current Report on Form 8-K filed on March 31, 2021).
3.3
Certificate of Amendment to Amended and Restated Certificate of Incorporation of NeuroOne Medical Technologies Corporation (incorporated by reference to Exhibit 3.1 on the Registrant’s Current Report on Form 8-K filed on April 14, 2026).
3.4
Amended and Restated Bylaws of NeuroOne Medical Technologies Corporation (incorporated by reference to Exhibit 3.1 on the Registrant’s Current Report on Form 8-K filed on June 21, 2024).
10.1
First Amendment to NeuroOne Medical Technologies Corporation 2025 Equity Incentive Plan (incorporated by reference to Exhibit 10.1 on the Registrant’s Current Report on Form 8-K filed on April 3, 2026).
10.2
Third
Amendment to NeuroOne Medical Technologies Corporation 2021 Inducement Plan (incorporated by reference to Exhibit 10.2 to the Registrant’s
Quarterly Report on Form 10-Q filed on May 12, 2026).
10.3
Third
Amendment to Offer Letter between Christopher Volker and the Registrant, dated April 28, 2026 (incorporated by reference to Exhibit
10.3 to the Registrant’s Quarterly Report on Form 10-Q filed on May 12, 2026).
10.4
Transition and Release Agreement, by and between the Company and Ronald McClurg, dated April 28, 2026 (incorporated by reference to Exhibit 10.1 on the Registrant’s Current Report on Form 8-K filed on April 30, 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 pursuant to Section 906 of the Sarbanes-Oxley Act of 2002.
32.2**
Certification
of 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)
*
Filed herewith.
**
Documents are furnished
and not filed.
40
NeuroOne Medical Technologies Corporation
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: June 12, 2026
NeuroOne Medical Technologies Corporation
By:
/s/
David Rosa
David Rosa
Chief Executive Officer
(Principal Executive Officer)
By:
/s/ Ronald
McClurg
Ronald McClurg
Chief Financial Officer
(Principal Financial Officer and Principal Accounting
Officer)
41
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.