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Exhibit Description
−Removed: Executive Employment Agreement by and between Spencer Brown and PDS Biotechnology Corporation, effective as of June 1, 2022.
−Removed: Amended and Restated Preclinical/Clinical Collaboration and License Agreement dated as of November 30, 2020 by and between PDS
−Removed: Biotechnology Corporation and Farmacore Biotechnology.
−Removed: First Amendment to Preclinical/Clinical Collaboration and License Agreement dated as of November 22, 2021 by and between PDS
−Removed: Biotechnology Corporation and Farmacore Biotechnology.
−Removed: PDS Biotechnology Corporation 2019 Inducement Plan, as amended (filed as Exhibit 10.1 to the Company’s Current Report on Form 8-K
−Removed: filed on May 18, 2022 and incorporated herein by reference).
−Removed: Certification of Principal Executive Officer Pursuant to Rules 13a-14(a) and 15d-14(a) under the Securities Exchange Act of 1934,
−Removed: as adopted pursuant to Section 302 of the Sarbanes-Oxley Act of 2002.
−Removed: Certification of Principal Financial Officer Pursuant to Rules 13a-14(a) and 15d-14(a) under the Securities Exchange Act of 1934,
−Removed: as adopted pursuant to Section 302 of the Sarbanes-Oxley Act of 2002.
+Added: Form of Warrant issued under the Venture Loan and Security Agreement, dated August 24, 2022.
+Added: Venture Loan and Security Agreement, dated August 24, 2022, by and among Horizon Technology Finance Corporation, as a lender and collateral agent, Powerscourt Investments XXV, LP, as a lender,
+Added: PDS Operating Corporation, as a guarantor, and PDS Biotechnology Corporation, as borrower.
+Added: At Market Issuance Sales Agreement dated August 24, 2022 by and between PDS Biotechnology Corporation, B.
+Added: Riley Securities, Inc., and BTIG, LLC (incorporated by reference to Exhibit 1.2 to the
+Added: Registration Statement on Form S-3 filed by PDS Biotechnology Corporation on August 24, 2022, Reg.
+Added: Certification of Principal Executive Officer Pursuant to Rules 13a-14(a) and 15d-14(a) under the Securities Exchange Act of 1934, as adopted pursuant to Section 302 of the Sarbanes-Oxley Act
+Added: Certification of Principal Financial Officer Pursuant to Rules 13a-14(a) and 15d-14(a) under the Securities Exchange Act of 1934, as adopted pursuant to Section 302 of the Sarbanes-Oxley Act
Certification of Principal Executive Officer Pursuant to 18 U.S.C.
−Removed: Section 1350, as adopted pursuant to Section 906 of the
−Removed: Sarbanes-Oxley Act of 2002 (furnished herewith).
+Added: Section 1350, as adopted pursuant to Section 906 of the Sarbanes-Oxley Act of 2002 (furnished herewith).
Certification of Principal Financial Officer Pursuant to 18 U.S.C.
−Removed: Section 1350, as adopted pursuant to Section 906 of the
−Removed: Sarbanes-Oxley Act of 2002 (furnished herewith).
+Added: Section 1350, as adopted pursuant to Section 906 of the Sarbanes-Oxley Act of 2002 (furnished herewith).
XBRL Instance Document (the instance document does not appear in the Interactive Data File because its XBRL tags are embedded within the Inline XBRL document)
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Filed herewith (unless otherwise noted as being furnished herewith)
−Removed: Indicates management contract or compensatory plan.
Certain portions of the Exhibit have been redacted pursuant to Item 601(b)(10)(iv) of Regulation S-K.
1 unchanged sentence
PDS Biotechnology Corporation
−Removed: August 8, 2022
+Added: November 14, 2022
/s/ Frank Bedu-Addo
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(Principal Executive Officer)
−Removed: August 8, 2022
+Added: November 14, 2022
/s/ Matthew Hill
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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.