Item 5. Other Information
Item 5. Other Information.
On November 9, 2022, the Company agreed to amend (the “Warrant Amendment”) the following three warrants to purchase common stock issued to Dr. Halden S. Shane, TOMI’s Chief Executive Officer and chairman of the board, to extend their expiration dates: (i) Warrant to purchase 437,500 shares of Common Stock at an exercise price of $0.96 dated December 22, 2017 (the “2017 Warrant”); (ii) Warrant to purchase 31,250 shares of Common Stock at an exercise price of $0.64 dated November 19, 2018 (the “2018 Warrant”); and (iii) Warrant to purchase 125,000 shares of Common Stock at an exercise price of $0.80 dated January 26, 2019 (the “2019 Warrant”). The Warrant Amendment extended the expiration dates for (i) the 2017 Warrant from December 22, 2022, to December 22, 2032, (ii) the 2018 Warrant from November 19, 2023, to November 19, 2033, and (iii) the 2019 Warrant from January 26, 2024, to January 26, 2034. On the same date, the Warrant Amendment was considered, approved and adopted by a disinterested majority of TOMI’s board of directors.
Item 6. Exhibits.
The documents listed in the Exhibit Index of this Form 10-Q are incorporated herein by reference.
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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.
TOMI ENVIRONMENTAL SOLUTIONS, INC.
Date: November 10, 2022 By: /s/ Halden S. Shane
Halden S. Shane
Chief Executive Officer
(Principal Executive Officer)
Date: November 10, 2022 By: /s/ Nick Jennings
Nick Jennings
Chief Financial Officer
(Principal Financial Officer and Principal Accounting Officer)
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EXHIBIT INDEX
Incorporated by Reference
Filed
Herewith
Exhibit Number
Exhibit Description
Form
File No.
Exhibit
Filing
Date
31.1
Certification of Halden S. Shane, Chief Executive Officer, pursuant to Rule 13a-14(a)/15d-14(a), as adopted pursuant to Section 302 of the Sarbanes-Oxley Act of 2002.
X
31.2
Certification of Nick Jennings, Chief Financial Officer, pursuant to Rule 13a-14(a)/15d-14(a), as adopted pursuant to Section 302 of the Sarbanes-Oxley Act of 2002.
X
32.1#
Certification of Halden S. Shane, Chief Executive Officer, pursuant to 18 U.S.C. Section 1350, as adopted pursuant to Section 906 of the Sarbanes-Oxley Act of 2002.
X
32.2#
Certification of Nick Jennings, Chief Financial Officer, pursuant to 18 U.S.C. Section 1350, as adopted pursuant to Section 906 of the Sarbanes-Oxley Act of 2002.
X
101.INS
XBRL Instance Document.
X
101.SCH
XBRL Taxonomy Extension Schema Document.
X
101.CAL
XBRL Taxonomy Extension Calculation Linkbase Document.
X
101.DEF
XBRL Taxonomy Extension Definition Linkbase Document.
X
101.LAB
XBRL Taxonomy Extension Labels Linkbase Document.
X
101.PRE
XBRL Taxonomy Extension Presentation Linkbase Document.
X
# This certification is deemed not filed for purposes of Section 18 of the Securities Exchange Act of 1934, as amended, or the Exchange Act, or otherwise subject to the liability of that section, nor shall it be deemed incorporated by reference into any filing under the Securities Act of 1933, or the Exchange Act.
50
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.