Catheter Precision, Inc. 10-Q

ITEM 5. OTHER INFORMATION None. 49 Table of Contents ITEM 6. EXHIBITS Exhibit Incorporated by Reference Number Description Form File No. Exhibit Filing Date 2.2 Amended and Restated Agreement and Plan of Merger, dated January 9, 2023, by and among the Registrant, certain subsidiaries, and Catheter Precision, Inc. 8-K 001-38677 2.1 1/13/2023 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 3.1.4 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 3.2.1 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 4.2 Description of Capital Stock. 10-K 001-38677 4.2 3/28/2023 4.3 Form of warrant issued in May 2020. 8-K 001-38677 4.1 5/22/2020 4.4 Form of pre-funded warrant issued in May 2020. 8-K 001-38677 4.2 5/22/2020 4.5 Form of placement agent warrant issued in May 2020. 8-K 001-38677 4.3 5/22/2020 50 Table of Contents Exhibit Incorporated by Reference Number Description Form File No. Exhibit Filing Date 4.6 Form of warrant offered in July 2020. S-1 333-239887 4.3 7/16/2020 4.7 Form of pre-funded warrant issued in July 2020. S-1 333-239887 4.4 7/16/2020 4.8 Form of placement agent warrant offered in July 2020. S-1 333-239887 4.5 7/16/2020 4.9 [omitted.] 4.10 Form of Series B Warrant offered in February 2022. S-1/A 333-262195 4.9 2/3/2022 4.11 [omitted.] S-1/A 333-262195 4.10 2/3/2022 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 4.13 Form of Series E Warrant offered in January 2023. 8-K 001-38677 4.1 1/13/2023 4.14 Form of Series F Warrant issued in March 2023. 8-K 001-38677 4.2 1/13/2023 4.15 Form of Series G Warrant issued in March 2023. 8-K 001-38677 4.3 1/13/2023 10.1 [omitted.] 10.10.1 Amendment to Change in Control and Severance Agreement, dated as of January 9, 2023, by and between Ra Medical Systems, Inc. and Jonathan Will McGuire. 8-K 001-38677 10.6 1/13/2023 10.16.1 Notice of Suspension of Corporate Integrity Agreement, dated January 11, 2023. 10-K 001-38677 10.16.1 3/28/2023 51 Table of Contents Exhibit Incorporated by Reference Number Description Form File No. Exhibit Filing Date 10.20 Form of Amended and Restated Support Agreement, dated January 9, 2023, by and among the Company, Catheter Precision, Inc. and directors, officers and certain shareholders of the Company. 8-K 001-38677 10.1 1/13/2023 10.21 Form of Lock-Up Agreement, dated January 9, 2023, by and among the Company; Catheter Precision, Inc.; directors, officers, and certain stockholders of the Company; and certain stockholders of Catheter. 8-K 001-38677 10.2 1/13/2023 10.24 Securities Purchase Agreement, dated January 9, 2023, by and among the Company and Armistice Master Fund Ltd. (“January 2023 SPA”). 8-K 001-38677 10.4 1/13/2023 - Ex. A to January 2023 SPA (form of Certificate of Designation of Series A Convertible Preferred Stock). 8-K 001-38677 3.2 1/13/2023 - Ex. B to January 2023 SPA (form of Registration Rights Agreement). 8-K 001-38677 10.5 1/13/2023 - Ex. C to January 2023 SPA (form of Series F Warrant). 8-K 001-38677 4.2 1/13/2023 - Ex. D to January 2023 SPA (form of Series G Warrant). 8-K 001-38677 4.3 1/13/2023 10.25 Registration Rights Agreement, dated January 9, 2023. 8-K 001-38677 10.5 1/13/2023 10.26 Warrant Inducement Offer Letter, dated January 9, 2023. 8-K 001-38677 10.3 1/13/2023 10.27.1 Debt Settlement Agreement and Release including certain royalty rights with David A. Jenkins, dated January 9, 2023. 10-K 001-38677 10.27.1 3/28/23 52 Table of Contents Exhibit Incorporated by Reference Number Description Form File No. Exhibit Filing Date 10.27.2 Debt Settlement Agreement and Release including certain royalty rights with Daniel C. Stanzione, Sr. Irrevocable Trust Dated December 31, 2007, dated January 9, 2023. 10-K 001-38677 10.27.2 3/28/23 10.27.3 Debt Settlement Agreement and Release including certain royalty rights with Fatboy Capital, L.P., dated January 9, 2023. 10-K 001-38677 10.27.3 3/28/23 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* Certifications 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* Certifications 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 Ra Medical Systems, 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. 53 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. RA MEDICAL SYSTEMS, INC. (Registrant) Date: June 2, 2023 By; /s/ David A. Jenkins Executive Chairman of the Board and Interim Chief Executive Officer (Principal Executive Officer) Date: June 2, 2023 By: /s/ Steve K. Passey Steve K. Passey Chief Financial Officer (Principal Financial and Accounting Officer) 54