Profusa, Inc. 10-Q

Item 5. Other Information. During the period covered by this Quarterly Report, none of the Company’s directors or executive officers have adopted or terminated a Rule 10b5-1 trading arrangement or a non-Rule 10b5-1 trading arrangement (each as defined in Item 408 of Regulation S-K under the Securities Exchange Act of 1934, as amended). 61 Item 6. Exhibits The following exhibits are filed as part of, or incorporated by reference into, this Quarterly Report on Form 10-Q. No. Description of Exhibit 4.1 Form of Commitment Warrant (incorporated by reference to the Current Report on Form 8-K filed with the SEC on July 28, 2025) 10.1 Senior Secured Convertible Promissory Note, dated July 11, 2025, by and between New Profusa and the Holder party thereto (incorporated by reference to the Current Report on Form 8-K filed with the SEC on July 18, 2025) 10.2 Form of PIPE Lock-Up Agreement, dated as of July 11, 2025, by and among Ascent and those certain holders party thereto (incorporated by reference to the Current Report on Form 8-K filed with the SEC on July 18, 2025) 10.3 Form of PIPE Registration Rights Agreement, dated as of July 11, 2025, by and among New Profusa and the PIPE Investors (incorporated by reference to the Current Report on Form 8-K filed with the SEC on July 18, 2025) 10.4 Security Agreement, dated as of July 11, 2025, by and among New Profusa, Profusa and Ascent, as collateral agent (incorporated by reference to the Current Report on Form 8-K filed with the SEC on July 18, 2025) 10.5 Guaranty, dated as of July 11, 2025, by and among New Profusa, Profusa and its subsidiaries (incorporated by reference to the Current Report on Form 8-K filed with the SEC on July 18, 2025) 10.6 Securities Purchase Agreement, dated July 28, 2025, by and between Profusa, Inc. and Ascent Partners Fund LLC (incorporated by reference to the Current Report on Form 8-K filed with the SEC on July 28, 2025) 10.7 Registration Rights Agreement, dated July 28, 2025, by and between Profusa, Inc. and Ascent Partners Fund LLC (incorporated by reference to the Current Report on Form 8-K filed with the SEC on July 28, 2025) 10.8 Sponsor Lock-Up Agreement, dated as of July 11, 2025, by and between NorthView Sponsor I, LLC and NorthView Acquisition Corp. (incorporated by reference to the Current Report on Form 8-K filed with the SEC on August 15, 2025) 10.9 Form of Stockholder Lock-Up Agreement, dated as of July 11, 2025, by and among the Company and stockholders of Legacy Profusa (incorporated by reference to the Current Report on Form 8-K filed with the SEC on August 15, 2025) 10.10 Amendment No. 1, dated August 25, 2025, to the Securities Purchase Agreement, dated February 11, 2025, by and among Profusa, Inc. and Ascent Partners Fund LLC (incorporated by reference to the Current Report on Form 8-K filed with the SEC on August 26, 2025) 10.11 Amendment No. 1, dated August 25, 2025, to the Senior Secured Convertible Promissory Note issued by Profusa, Inc. on February 11, 2025, for the benefit of Ascent Partners Fund LLC (incorporated by reference to the Current Report on Form 8-K filed with the SEC on August 26, 2025) 10.12 Form of Amended Senior Secured Convertible Promissory Note (incorporated by reference to the Current Report on Form 8-K filed with the SEC on August 26, 2025) 10.13 Account Control Agreement, dated as of September 29, 2025, by and among the Company, Ascent Partners Fund LLC, BitGo Prime LLC, and BitGo Trust Company, Inc. (incorporated by reference to the Current Report on Form 8-K filed with the SEC on October 8, 2025) 31.1 Certification of Principal Executive Officer Pursuant to Securities Exchange Act Rules 13a-14(a), as adopted Pursuant to Section 302 of the Sarbanes-Oxley Act of 2002 31.2 Certification of Principal Financial Officer Pursuant to Securities Exchange Act Rules 13a-14(a), as adopted Pursuant to Section 302 of the Sarbanes-Oxley Act of 2002 32.1* Certification of Principal 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 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 Inline 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) 101.SCH Inline XBRL Taxonomy Extension Schema Document 101.CAL Inline XBRL Taxonomy Extension Calculation Linkbase Document 101.DEF Inline XBRL Taxonomy Extension Definition Linkbase Document 101.LAB Inline XBRL Taxonomy Extension Labels Linkbase Document 101.PRE Inline XBRL Taxonomy Extension Presentation Linkbase Document 104 Cover Page Interactive Data File (formatted as Inline XBRL and contained in Exhibit 101) * These certifications are furnished to the SEC pursuant to Section 906 of the Sarbanes-Oxley Act of 2002 and are deemed not filed for purposes of Section 18 of the Securities Exchange Act of 1934, as amended, nor shall they be deemed incorporated by reference in any filing under the Securities Act of 1933, except as shall be expressly set forth by specific reference in such filing. 62 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. PROFUSA, INC. Date: November 19, 2025 By: /s/ Ben Hwang Name: Ben Hwang Title: Chief Executive Officer By: /s/ Fred Knechtel Name: Fred Knechtel Title: Chief Financial Officer 63