Item 5. Other Information
ITEM 5. OTHER INFORMATION
Not applicable.
ITEM 6. EXHIBITS
See “Index to Exhibits” for a description of our exhibits.
30
Index to Exhibits
Exhibit No.
Description
3.1
Certificate of Incorporation of AquaMed Technologies, Inc. (incorporated
by reference to Exhibit 3.1 to Form S-1, filed with the SEC on January 9, 2019).
3.2
Certificate of Amendment to Certificate of Incorporation of AquaMed
Technologies, Inc. (incorporated by reference to Exhibit 3.2 to Form S-1, filed with the SEC on January 9, 2019).
3.3
Amended and Restated Certificate of Incorporation of AquaMed Technologies, Inc.
(incorporated by reference to Exhibit 3.3 to Amendment No. 1 to Form S-1, filed with the SEC on March 11, 2019).
3.4
Certificate of Amendment to the Amended and Restated Certificate of
Incorporation of AquaMed Technologies, Inc. (incorporated by reference to Exhibit 3.1 to the Current Report on Form 8-K,
filed with the SEC on November 14, 2019)
3.5
Certificate of Amendment to the Amended and Restated Certificate of
Incorporation of NexGel, Inc. (incorporated by reference to Exhibit 3.1 to the Current Report on Form 8-K, filed with the
SEC on May 29, 2020)
3.6
Amended and Restated Bylaws of AquaMed Technologies, Inc. (incorporated
by reference to Exhibit 3.5 to Amendment No. 1 to Form S-1, filed with the SEC on March 11, 2019).
4.1
12% Senior Secured Promissory Note, dated March 11, 2021, issued to
Auctus Fund, LLC (incorporated by reference to Exhibit 4.1 to the Current Report on Form 8-K filed with the SEC on March 17, 2021)
4.2
First Common Stock Purchase Warrant, Dated March 11, 2021, issued to
Auctus Fund, LLC (incorporated by reference to Exhibit 4.2 to the Current Report on Form 8-K filed with the SEC on March 17, 2021)
4.3
Second Common Stock Purchase Warrant, Dated March 11, 2021, issued
to Auctus Fund, LLC (incorporated by reference to Exhibit 4.3 to the Current Report on Form 8-K filed with the SEC on March 17, 2021)
10.1
Securities Purchase Agreement, dated March 11, 2021, between NexGel, Inc. and Aucuts Fund, LLC
(incorporated by reference to Exhibit 10.1 to the Current Report on Form 8-K filed with the SEC on March 17, 2021)
10.2
Security Agreement, dated March 11, 2021, between NexGel, Inc. and Aucuts Fund, LLC (incorporated
by reference to Exhibit 10.2 to the Current Report on Form 8-K filed with the SEC on March 17, 2021)
10.3
Registration Rights Agreement, dated March 11, 2021, between NexGel, Inc. and Aucuts Fund, LLC
(incorporated by reference to Exhibit 10.3 to the Current Report on Form 8-K filed with the SEC on March 17, 2021)
31.1*
Certification of Chief
Executive Officer Pursuant to Section 302 of Sarbanes-Oxley Act of 2002.
31.2*
Certification of Chief
Financial Officer Pursuant to Section 302 of Sarbanes-Oxley Act of 2002.
32.1*
Certification of Chief
Executive Officer Pursuant to Section 18 U.S.C. Section 1350, as Adopted Pursuant to Section 906 of the Sarbanes-Oxley
Act of 2002.
32.2*
Certification of Chief
Financial Officer Pursuant to Section 18 U.S.C. Section 1350, as Adopted Pursuant to Section 906 of the Sarbanes-Oxley
Act of 2002.
101*
The following materials
from the Company’s Quarterly Report on Form 10-Q for the fiscal quarter March 31, 2021, formatted in XBRL (eXtensible
Business Reporting Language), (i) Balance Sheets, (ii) Statements of Operations, (iii) Statements of Stockholders’
Equity, (iv) Statements of Cash Flows, and (v) Notes to the Financial Statements.
*
Filed herewith.
**
Certain exhibits and schedules have been omitted and the Company agrees to furnish supplementary to the Securities and Exchange Commission a copy of any omitted exhibits upon request.
31
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.
NEXGEL, INC.
Date: May 17, 2021
By:
/s/ Adam Levy
Name:
Adam Levy
Title:
Chief Executive Officer
(Principal Executive Officer)
By:
/s/ Adam Levy
Name:
Adam Levy
Title:
Interim Chief Financial Officer
(Interim Principal Financial Officer)
32
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.