Nexalin Technology, Inc. 10-Q

Item 5. Other Information None. 36 Item 6. Exhibits Exhibits and Financial Statement Schedules. (a) Exhibits. Exhibit Number Description of Document 1.1** Underwriting Agreement dated as of September 15, 2022 between the Registrant and maxim Group LLC 3.1* Certificate of Incorporation, as amended and as currently in effect. 3.2* Amended and Restated Bylaws. 4.1* Form of Specimen stock certificate evidencing shares of common stock. 4.2*** Warrant Agreement between the Company and Continental Stock Transfer and Trust company as warrant agent dated as of September 16, 2022 4.3* Form of Warrant Certificate (filed as part of Exhibit 4.2) 5.1* Opinion of Warshaw Burstein, LLP as to legality of the shares. 10.1***** Joint Venture Agreement between the Company and Wider Come Limited dated as of May 31, 2023. 10.2 ***** Employment Agreement between the Company and Mark White dated as of July 1, 2023. 10.3 ***** Services Agreement between the Company and David Owens, M.D. dated as of July 1, 2023 . 10.4* Quality Assurance Agreement between the Company and Apical Instruments dated December 31, 2020. 10.5* Advisor Agreement with Leonard Osser dated as of December 22,2021. 10.6* Advisor Agreement with Tucker Anderson dated as of December 24, 2021. 10.7* Advisor Agreement with Gian Domenico Trombetta dated December 24, 2021. 10.8* Employment Agreement between the Company and Marilyn Elson dated as of January 11, 2022 10.9* Amendment and Deferral Agreement dated as of March 30, 2022 to Consulting Agreement between the Company and US Asian Consulting Group LLC 10.11***** Employment Agreement between the Company and Michael Nketiah dated as of July 1, 2023. 10.12* Form of Lock-Up Agreement. 10.13* Consulting Agreement dated as of May 9, 2018 as amended between the Company and US Asian Consulting Group, LLC, as amended on January 2, 2019 and March 4, 2021 10.14**** Amended and Restated Promissory Note in favor of Mark White dated as of January 1, 2023. 10.15* Distribution Authorization Agreement dated as of May 1, 2019 with Wider Come Limited. 23.1** Consent of Friedman LLP, independent registered public accounting firm. 23.2* Consent of Warshaw Burstein, LLP (included in Exhibit 5.1). 31.1***** Certification of the Chief Executive Officer pursuant to Rule 13a-14(a) or Rule 15d-14(a) of the Securities Exchange Act of 1934, as amended. 31.2***** Certification of the Chief Financial Officer pursuant to Rule 13a-14(a) or Rule 15d-14(a) of the Securities Exchange Act of 1934, as amended 32.1***** Certification of the Chief Executive Officer pursuant to 18 U.S.C. Section 1350, as adopted pursuant to Section 906 of the Sarbanes-Oxley Act of 2002. 32.2***** Certification of the Chief Financial Officer pursuant to 18 U.S.C. Section 1350, as adopted pursuant to Section 906 of the Sarbanes-Oxley Act of 2002 99.1* Code of Ethics 99.2* Audit Committee Charter 99.3* Compensation Committee Charter 99.4* Nominating and Corporate Governance Committee Charter * Previously filed as an exhibit to Form S-1 as declared effective by the SEC on September 15, 2022 (SEC File Number 333-261989). ** Previously filed as an exhibit to Form 8-K as filed with the SEC on September 20, 2022 *** Previously filed as an exhibit to Form 8-K/A as filed with the SEC on September 20, 2022. **** Previously filed as an exhibit to Form 10-Q as filed with the SEC on May 10, 2023. ***** Filed as an exhibit to this Form 10-Q. 37 SIGNATURES Pursuant to the requirements of the Securities Exchange Act of 1934, the Registrant has duly caused this Report on Form 10-Q to be signed on its behalf by the undersigned thereunto duly authorized on the 10 th day of August, 2023. NEXALIN TECHNOLOGY, INC. By: /s/ Mark White Mark White Chief Executive Officer Principal Executive Officer By: /s/ Marilyn Elson Marilyn Elson Chief Financial Officer Principal Accounting Officer 38