Item 5. Other Information
Item 5.
OTHER INFORMATION.
Not applicable.
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Item 6.
EXHIBITS
Exhibit No.
Description
4.1
Form of Warrant Issued September 3, 2021 (Incorporated by reference to the Form 8-K filed with the SEC on September 13, 2021).
4.2
Form of Future Advance Convertible Promissory Note Issued September 3, 2021 (Incorporated by reference to the Form 8-K filed with the SEC on September 13, 2021).
10.1
Form of Securities Purchase Agreement Entered into September 3, 2021 (Incorporated by reference to the Form 8-K filed with the SEC on September 13, 2021).
10.2
Form of Subordination Agreement Entered into September 3, 2021 (Incorporated by reference to the Form 8-K filed with the SEC on September 13, 2021).
10.3
Form of Registration Rights Agreement Entered into September 3, 2021 (Incorporated by reference to the Form 8-K filed with the SEC on September 13, 2021).
10.4
Form of Security Agreement (Incorporated by reference to the Form 8-K filed with the SEC on September 13, 2021).
10.5
Future Receivables Agreement by and between GCF Resources, LLC and SANUWAVE Health, Inc. dated September 27, 2021 (Incorporated by reference to Exhibit 10.3 filed with the Form 10-Q
for the quarter ended March 31, 2021 filed with the SEC on December 13, 2021).
10.6*
Form of Registration Rights Agreement Entered into September 27, 2021.
10.7*
Form of Warrant Issued September 27, 2021 and December 22, 2021.
31.1*
Rule 13a-14(a)/15d-14(a) Certification of the Principal Executive Officer.
31.2*
Rule 13a-14(a)/15d-14(a) Certification of the Chief Financial Officer.
32.1**
Section 1350 Certification of the Principal Executive Officer.
32.2**
Section 1350 Certification of the Chief Financial Officer.
101.INS*
XBRL Instance.
101.SCH*
XBRL Taxonomy Extension Schema.
101.CAL*
XBRL Taxonomy Extension Calculation.
101.DEF*
XBRL Taxonomy Extension Definition.
101.LAB*
XBRL Taxonomy Extension Labels.
101.PRE*
XBRL Taxonomy Extension Presentation.
* Filed herewith.
** Furnished herewith.
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Exhibit No.
Description
10.1*
Promissory Note by and between SANUWAVE Health, Inc. and Northeast Bank, dated February 20, 2021.
10.2*
Factoring Agreement by and between SANUWAVE Health, Inc. and Goodman Capital Finance dated June 17, 2021.
10.3*
Future Receivables Agreement by and between GCF Resources LLC and SANUWAVE Health, Inc. dated September 27, 2021.
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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.
SANUWAVE HEALTH, INC.
Dated: February 28, 2022
By:
/s/ Kevin A. Richardson, II
Name: Kevin A. Richardson, II
Title: Chief Executive Officer
Pursuant to the requirements of the Securities Exchange Act of 1934, this report has been signed below by the following persons on behalf of the registrant and in the capacities
and on the dates indicated:
Signatures
Capacity
Date
By: /s/ Kevin A. Richardson, II
Name: Kevin A. Richardson, II
Chief Executive Officer and Chairman of the Board of Directors
(principal executive officer)
February 28, 2022
By: /s/ Lisa E. Sundstrom
Name: Lisa E. Sundstrom
Chief Financial Officer (principal financial and accounting officer)
February 28, 2022
Text extracted from the filing as submitted to EDGAR. Formatting, tables and exhibits are simplified for reading; the original document is authoritative for anything you rely on.