Phio Pharmaceuticals Corp. 10-Q

ITEM 5. OTHER INFORMATION None. 21 ITEM 6. EXHIBITS EXHIBIT INDEX Incorporated by Reference Herein Exhibit Number Description Form Date 3.1 Amended and Restated Certificate of Incorporation of Phio Pharmaceuticals Corp. Current Report on Form 8-K (File No. 001-36304) November 19, 2018 3.2 Certificate of Amendment to the Amendment and Restated Certificate of Incorporation of Phio Pharmaceuticals Corp. Current Report on Form 8-K (File No. 001-36304) January 14, 2020 3.3 Certificate of Amendment to the Amendment and Restated Certificate of Incorporation of Phio Pharmaceuticals Corp. Current Report on Form 8-K (File No. 001-36304) January 25, 2023 3.4 Certificate of Designation of Series D Preferred Stock, dated November 16, 2022. Current Report on Form 8-K (File No. 001-36304) November 16, 2022 4.1 Form of Series A Common Stock Warrant, dated April 20, 2023. Current Report on Form 8-K (File No. 001-36304) April 20, 2023 4.2 Form of Series B Common Stock Warrant, dated April 20, 2023. Current Report on Form 8-K (File No. 001-36304) April 20, 2023 4.3 Form of Existing Warrant Amendment, dated April 28, 2023. Current Report on Form 8-K (File No. 001-36304) April 20, 2023 4.4 Form of Series A Common Stock Warrant, dated June 2, 2023. Current Report on Form 8-K (File No. 001-36304) June 2, 2023 4.5 Form of Series B Common Stock Warrant, dated June 2, 2023. Current Report on Form 8-K (File No. 001-36304) June 2, 2023 4.6 Form of Pre-funded Common Stock Warrant, dated June 2, 2023. Current Report on Form 8-K (File No. 001-36304) June 2, 2023 10.1 Form of Securities Purchase Agreement, dated April 18, 2023, by and between the Company and each of the Purchasers signatory thereto. Current Report on Form 8-K (File No. 001-36304) April 20, 2023 10.2 Form of Securities Purchase Agreement, dated May 31, 2023, by and between the Company and each of the Purchasers signatory thereto (Registered Direct Offering). Current Report on Form 8-K (File No. 001-36304) June 2, 2023 10.3 Form of Securities Purchase Agreement, dated May 31, 2023, by and between the Company and each of the Purchasers signatory thereto (PIPE Private Placement). Current Report on Form 8-K (File No. 001-36304) June 2, 2023 10.4 Form of Registration Rights Agreement, dated May 31, 2023, by and between the Company and each of the Purchasers signatory thereto. Current Report on Form 8-K (File No. 001-36304) June 2, 2023 31.1 Sarbanes-Oxley Act Section 302 Certification of Principal Executive Officer and Principal Financial Officer . * 32.1 Sarbanes-Oxley Act Section 906 Certification of Principal Executive Officer and Principal Financial Officer. ** 101.INS Inline XBRL Instance 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 Label Linkbase Document.* 101.PRE Inline XBRL Taxonomy Extension Presentation Linkbase Document.* 104 The cover page for this report, formatted in Inline XBRL (included in Exhibit 101).* * Filed herewith. ** Furnished herewith and not deemed “filed” for purposes of Section 18 of the Exchange Act or otherwise subject to the liability of that Section or incorporated by reference into any filing under the Securities Act or the Exchange Act. 22 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. Phio Pharmaceuticals Corp. By: /s/ Robert J. Bitterman Robert J. Bitterman President and Chief Executive Officer (as Principal Executive and Financial Officer) Date: August 10, 2023 23