Catheter Precision, Inc. 10-Q

ITEM 5. OTHER INFORMATION During the three months ended June 30, 2025 , no director or officer, as defined in Rule 16a - 1 (f) under the Securities Exchange Act of 1934, as amended, of the Company adopted or terminated a "Rule 10b5 - 1 trading arrangement" or "non-Rule 10b5 - 1 trading arrangement," as each term is defined in Item 408 (a) of Regulation S-K. 44 Table of Contents ITEM 6. EXHIBITS Exhibit Incorporated by Reference Number Description Form File No. Exhibit Filing Date 2.1* Asset Purchase Agreement dated April 22, 2025 by and between the Company and Cardionomic (assignment for the benefit of creditors), LLC 3.1.1 Amended and Restated Certificate of Incorporation of the Registrant. 8-K 001-38677 3.1 10/1/2018 3.1.2 Certificate of Amendment to Amended and Restated Certificate of Incorporation of the Registrant. (effective 11/16/20) 8-K 001-38677 3.1 11/17/2020 3.1.3 Certificate of Amendment to Amended and Restated Certificate of Incorporation of the Registrant. (effective 09/30/22) 8-K 001-38677 3.1 9/20/2022 3.1. 3A Certificate of Amendment to Amended and Restated Certificate of Incorporation of the Registrant. (filed 08/01/23, effective 08/17/23) 8-K 001-38677 3.1 8/4/2023 3.1. 3B Certificate of Amendment to Amended and Restated Certificate of Incorporation of the Registrant (filed 07/11/2024, effective 07/15/2024) 8-K 001-38677 3.1 7/12/2024 3.1.3C Certificate of Amendment to Amended and Restated Certificate of Incorporation of the Registrant (effective 1/13/2025) 10-K 001-38677 3.1 3/31/2025 3.1.4 Certificate of Designation of Series X Convertible Preferred Stock. 8-K 001-38677 3.1 1/13/2023 3.1.5 Certificate of Designation of Series A Preferred Stock. 8-K 001-38677 3.2 1/13/2023 3.1.6 Certificate of Designation of Series B Preferred Stock. 8-K 001-38677 3.1 5/13/2025 3.2.1 Amended and Restated Bylaws of the Registrant. 8-K 001-38677 3.2 10/1/2018 3.2.2 Amendment to Amended and Restated Bylaws of the Registrant. 8-K 001-38677 3.1 8/17/2022 4.1 Specimen common stock certificate of the Registrant. S-1 333-226191 4.1 7/16/2018 45 Table of Contents 4.10 Form of Series B Warrant offered in February 2022. S-1/A 333-262195 4.9 2/3/2022 4.11 Form of Series C Warrant issued in July 2022 8-K 001-38677 4.1 7/22/2022 4.12 Warrant Agency Agreement, dated February 8, 2022, by and between the Registrant and American Stock & Trust Company LLC. 8-K 001-38677 4.4 2/9/2022 4.12.1 Amendment No. 1, dated July 22, 2022, to February 8, 2022 Warrant Agency Agreement by and between the Company and American Stock Transfer & Trust Company, LLC. 10-Q 001-38677 4.7 8/15/2022 4.17 Form of Series I common stock Warrant issued September 2024 8-K 001-38677 4.2 9/6/2024 4.18 Form of Series J common stock Warrant issued September 2024 8-K 001-38677 4.3 9/6/2024 4.20 Form of Series K Warrant issued October 2024 8-K 001-38677 4.1 10/25/2024 4.21 Form of Placement Agent Warrant offered in October 2024 8-K/A 001-38677 4.2 11/4/2024 4.22 Form of Underwriters' Warrant offered in September 2024 S-1 333-279930 4.17 6/26/2024 4.23 Form of Warrant Agency Agreement dated as of September 3, 2024 entered into by and between the Registrant and Equiniti Trust Company, LLC 8-K 001-38677 4.5 9/6/2024 4.24 Form of Series L Warrant offered in May 2025. 8-K 001-38677 4.1 5/13/2025 10.1* Amendment to Investment Banking Agreement dated as of April 16, 2025 entered into by and between the Company and Ladenburg Thalmann & Co. Inc. 10.2 At the Market Offering Agreement dated as of May 19, 2025 entered into by and between the Company and Ladenburg Thalmann & Co. Inc. 8-K 001-38677 10.1 5/19/2025 10.3 Securities Purchase Agreement dated May 12, 2025 8-K 001-38677 10.1 5/13/2025 10.4 Registration Rights Agreement dated May 12, 2025 8-K 001-38677 10.2 5/13/2025 10.5 Assignment Agreement dated May 12, 2025 8-K 001-38677 10.3 5/13/2025 10.6* Investment Banking Agreement dated February 11, 2025 entered into by and between the Company and Ladenburg Thalmann & Co. Inc. 46 Table of Contents 31.1* Certification of Principal Executive Officer pursuant to Exchange Act Rules 13a-14(a) and 15d-14(a), as adopted pursuant to Section 302 of the Sarbanes-Oxley Act of 2002. 31.2* Certification of Principal Financial Officer pursuant to Exchange Act Rules 13a-14(a) and 15d-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 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* Cover Page Interactive Data File (embedded within the Inline XBRL document). * Filed herewith. @ The information in this exhibit is furnished and deemed not filed with the Securities and Exchange Commission for purposes of section 18 of the Exchange Act of 1934, as amended (Exchange Act), and is not to be incorporated by reference into any filing of Catheter Precision, Inc. under the Securities Act of 1933, as amended (Securities Act), or the Exchange Act, whether made before or after the date hereof, regardless of any general incorporation language in such filing. 47 Table of Contents 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. CATHETER PRECISION, INC. (Registrant) Date: August 11, 2025 By: /s/ David A. Jenkins David A. Jenkins Executive Chairman of the Board and Chief Executive Officer (Principal Executive Officer) Date: August 11, 2025 By: /s/ Philip Anderson Philip Anderson Chief Financial Officer (Principal Financial and Accounting Officer) 48