Item 5. Other Information
ITEM
5. OTHER INFORMATION.
None.
ITEM
6. EXHIBITS.
3.1
Certificate
of Amendment to Amended and Restated Articles of Incorporation, as amended, of Sigma Labs, Inc. (filed as Exhibit 3.1 to the
Company’s Current Report on Form 8-K filed on April 2, 2020 and incorporated herein by reference).
3.2
Certificate
of Amendment to Amended and Restated Articles of Incorporation, as amended,
of Sigma Labs, Inc. (filed as Exhibit 3.1 to the Company’s Current Report on Form 8-K filed June 19, 2020 and
incorporated herein by reference).
4.1
Form
of Pre-Funded Warrant (filed as Exhibit 10.2 to the Company’s Current Report on Form 8-K filed April 3, 2020, and incorporated
herein by reference).
4.2
Form
of Common Stock Purchase Warrants (filed as Exhibit 10.3 to the Company’s Current Report on Form 8-K filed April 3,
2020, and incorporated herein by reference).
4.3
Form
of Placement Warrant (filed as Exhibit 4.1 to the Company’s Current Report on Form 8-K filed April 7, 2020, and incorporated
herein by reference).
10.1
Securities
Purchase Agreement, dated as of April 2, 2020, between the Company and Purchasers (filed as Exhibit 10.1 to the Company’s
Current Report on Form 8-K filed April 3, 2020, and incorporated herein by reference).
10.2
Placement
Agency Agreement dated as of April 2, 2020 between the Company and Dawson James (filed as Exhibit 10.4 to the Company’s
Current Report on Form 8-K filed April 3, 2020, and incorporated herein by reference).
10.3
Consulting
Agreement, dated as of May 1, 2020, between Sigma Labs, Inc. and John Rice (filed as Exhibit 10.1 to the Company’s Current
Report on Form 8-K filed May 4, 2020, and incorporated herein by reference).
10.4
Sigma
Labs, Inc. 2013 Equity Incentive Plan, as Amended (filed as Exhibit 10.1 to the Company’s Current Report on Form 8-K filed
June 19, 2020 and incorporated herein by reference).*
10.5
Sigma
Labs, Inc. 2020 Stock Appreciation Rights Plan (filed as Exhibit 10.1 to the Company’s Current Report on Form 8-K filed
June 29, 2020 and incorporated herein by reference).*
10.6
Form
of Stock Appreciation Rights Agreement (Employees; 2020 Stock Appreciation Rights Plan) (filed as Exhibit 10.2 to the Company’s
Current Report on Form 8-K filed June 29, 2020 and incorporated herein by reference).*
10.7
Form
of Stock Appreciation Rights Agreement (Non-employee Directors; 2020 Stock Appreciation Rights Plan) (filed as Exhibit 10.3
to the Company’s Current Report on Form 8-K filed June 29, 2020 and incorporated herein by reference).
31.1
Rule
13a-14(a) Certification of Principal Executive Officer, as adopted pursuant to Section 302 of the Sarbanes-Oxley Act of 2002.**
31.2
Rule
13a-14(a) Certification of Principal Financial Officer, as adopted pursuant to Section 302 of the Sarbanes-Oxley Act of 2002.**
32.1
Certification
of Principal Executive Officer and Principal Financial Officer pursuant to 18 U.S.C. Section 1350, as adopted pursuant to
Section 906 of the Sarbanes-Oxley Act of 2002.***
101.INS
XBRL
Instance Document.
101.SCH
XBRL
Schema Document.
101.CAL
XBRL
Calculation Linkbase Document.
101.DEF
XBRL
Definition Linkbase Document.
101.LAB
XBRL
Labels Linkbase Document.
101.PRE
XBRL
Presentation Linkbase Document.
*
Indicates a management contract or compensatory plan or arrangement.
**
Filed herewith.
***
Furnished herewith and not “filed” for purposes of Section 18 of the Securities Exchange Act of 1934, as amended.
19
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.
SIGMA
LABS, INC.
July
23, 2020
By:
/s/
Mark K Ruport
Mark
K. Ruport
President
and Chief Executive Officer (Principal Executive Officer)
July
23, 2020
By:
/s/
Frank Orzechowski
Frank
Orzechowski
Chief
Financial Officer and Treasurer (Principal Financial and Accounting Officer)
20
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.