What changed in this filing

/stocks — the workspaceLOADING

Item 5. Other Information

2023-11-13 compared with 2023-08-10 · 49 added, 49 removed, 5 unchanged (95% of the section changed)

Other Information

Exhibits and Financial Statement Schedules.

and Financial Statement Schedules.

(a) Exhibits.

Exhibit Number

Description of Document

Underwriting Agreement dated as of September 15, 2022 between the Registrant and maxim Group LLC

Certificate of Incorporation, as amended and as currently in effect.

Amended and Restated Bylaws.

Form of Specimen stock certificate evidencing shares of common stock.

Warrant Agreement between the Company and Continental Stock Transfer and Trust company as warrant agent dated as of September 16, 2022

Form of Warrant Certificate (filed as part of Exhibit 4.2)

Opinion of Warshaw Burstein, LLP as to legality of the shares.

Joint Venture Agreement between the Company and Wider Come Limited dated as of May 31, 2023.

Employment Agreement between the Company and Mark White dated as of July 1, 2023.

Agreement dated as of September 15, 2022 between the Registrant and maxim Group LLC

of Incorporation, as amended and as currently in effect.

and Restated Bylaws.

of Specimen stock certificate evidencing shares of common stock.

Agreement between the Company and Continental Stock Transfer and Trust company as warrant agent dated as of September 16, 2022

of Warrant Certificate (filed as part of Exhibit 4.2)

of Warshaw Burstein, LLP as to legality of the shares.

Venture Agreement between the Company and Wider Come Limited dated as of May 31, 2023.

Agreement between the Company and Mark White dated as of July 1, 2023.

Agreement between the Company and David Owens, M.D.

dated as of July 1, 2023.

Quality Assurance Agreement between the Company and Apical Instruments dated December 31, 2020.

Advisor Agreement with Leonard Osser dated as of December 22,2021.

Advisor Agreement with Tucker Anderson dated as of December 24, 2021.

Advisor Agreement with Gian Domenico Trombetta dated December 24, 2021.

Employment Agreement between the Company and Marilyn Elson dated as of January 11, 2022

Amendment and Deferral Agreement dated as of March 30, 2022 to Consulting Agreement between the Company and US Asian Consulting Group LLC

Employment Agreement between the Company and Michael Nketiah dated as of July 1, 2023.

Form of Lock-Up Agreement.

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

Amended and Restated Promissory Note in favor of Mark White dated as of January 1, 2023.

Distribution Authorization Agreement dated as of May 1, 2019 with Wider Come Limited.

Consent of Friedman LLP, independent registered public accounting firm.

Consent of Warshaw Burstein, LLP (included in Exhibit 5.1).

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.

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

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.

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

Code of Ethics

Audit Committee Charter

Compensation Committee Charter

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.

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.

Assurance Agreement between the Company and Apical Instruments dated December 31, 2020.

Agreement with Leonard Osser dated as of December 22,2021.

Agreement with Tucker Anderson dated as of December 24, 2021.

Agreement with Gian Domenico Trombetta dated December 24, 2021.

Agreement between the Company and Marilyn Elson dated as of January 11, 2022

and Deferral Agreement dated as of March 30, 2022 to Consulting Agreement between the Company and US Asian Consulting Group

Agreement between the Company and Michael Nketiah dated as of July 1, 2023.

of Lock-Up Agreement.

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

and Restated Promissory Note in favor of Mark White dated as of January 1, 2023.

Authorization Agreement dated as of May 1, 2019 with Wider Come Limited.

of Friedman LLP, independent registered public accounting firm.

of Warshaw Burstein, LLP (included in Exhibit 5.1).

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

Certification

of the Chief Executive Officer pursuant to 18 U.S.C.

Section 1350, as adopted pursuant to Section 906 of the Sarbanes-Oxley

Committee Charter

and Corporate Governance Committee Charter

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.

***** Previously

filed as an exhibit to Form 10-Q as filed with the SEC on August 10, 2023.

as an exhibit to this Form 10-Q.

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 13th day of November, 2023.

TECHNOLOGY, INC.

/s/ Mark White

Chief Executive Officer

Principal Executive Officer

/s/ Marilyn Elson

Marilyn Elson

Chief Financial Officer

Principal Accounting Officer

Executive Officer

Financial Officer

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