Item 5. Other Information
ITEM 5. OTHER
INFORMATION
None.
ITEM 6. EXHIBITS
Incorporated by Reference
Exhibit
Number
Description
Form
Exhibit
Filing
Date
3.1
Articles
of Incorporation of the Company, effective as of November 4, 2021
S-1
3.1
3/31/2022
3.2
Bylaws
of the Company currently in effect
S-1
3.2
3/31/2022
4.1
Form
of the Company’s common stock certificate
S-1
4.1
3/31/2022
4.2
Form
of Underwriters Warrant
S-1
4.4
3/31/2022
4.3
Form
of Senior Secured Note issued to bridge loan investors
S-1
4.5
3/31/2022
4.4
Description
of Securities Registered Under Section 12 of the Securities Exchange Act of 1934
-
-
-
10.11†
Amended
and Restated Employment Agreement between John Yozamp and Expion360 Inc., dated January 26, 2023
8-K
10.1
2/01/2023
42
10.12†
Amended
and Restated Employment Agreement between Brian Schaffner and Expion360 Inc., dated January 26, 2023
8-K
10.1
2/01/2023
10.13†
Amended
and Restated Employment Agreement between Paul Shoun and Expion360 Inc., dated January 26, 2023
8-K
10.1
2/01/2023
10.14†
Amended
and Restated Employment Agreement between Greg Aydelott and Expion360 Inc., dated January 26, 2023
8-K
10.1
2/01/2023
31.1
Certification
of Principal Executive Officer pursuant to Rule 13a-14(a) and 15d-14(a) under the Exchange Act, as adopted pursuant to Section 302
of the Sarbanes-Oxley Act of 2002.
-
-
-
31.2
Certification
of Principal Financial Officer pursuant to Rule 13a-14(a) and 15d-14(a) under the Exchange Act, 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
XBRL
Instance Document.
-
-
-
101.SCH
XBRL
Taxonomy Extension Schema Document.
-
-
-
101.CAL
XBRL
Taxonomy Extension Calculation Linkbase Document.
-
-
-
101.DEF
XBRL
Taxonomy Extension Definition Linkbase Document.
-
-
-
101.LAB
XBRL
Taxonomy Extension Label Linkbase Document.
-
-
-
101.PRE
XBRL
Taxonomy Extension Presentation Linkbase Document.
-
-
-
104
Cover
Page Interactive Data File (formatted as Inline XBRL and included in Exhibit 101).
-
-
-
† Indicates
a management contract or compensatory plan or arrangement.
#
This
certification is deemed not filed for purpose of Section 18 of 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 or the Exchange Act.
43
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.
Date: May
11, 2023
By:
/s/
Brian Schaffner
Brian Schaffner
Chief Executive Officer
Date: May
11, 2023
By:
/s/
Greg Aydelott
Greg Aydelott
Chief Financial Officer
44
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.