ZEVRA THERAPEUTICS, INC. 10-Q

Item 5. Other Information   None.   103 Table of Contents   Item 6. Exhibits   The following is a list of exhibits filed as part of this Form 10-Q (the SEC file number for all items incorporated by reference herein from reports on Forms 10-K, 10-Q, and 8-K is 001-36913) :   Exhibit  No.   Description 3.1   Amended and Restated Certificate of Incorporation of KemPharm, Inc. (incorporated herein by reference to the Registrant ’s Current Report on Form 8-K as filed with the SEC on April 21, 2015). 3.1.1   Certificate of Amendment of Amended and Restated Certificate of Incorporation of the Registrant, effective as of December 23, 2020 (incorporated herein by reference to Registrant's Current Report on Form 8-K as filed with the SEC on December 23, 2020). 3.1.2   Certificate of Elimination of Series A Convertible Preferred Stock of KemPharm, Inc. (incorporated herein by reference to the Registrant's Current Report on Form 8-K as filed with the SEC on June 23, 2021). 3.1.3   Certificate of Elimination of Series B-1 Convertible Preferred Stock of KemPharm, Inc. (incorporated herein by reference to the Registrant's Current Report on Form 8-K as filed with the SEC on June 23, 2021). 3.1.4   Certificate of Elimination of Series B-2 Convertible Preferred Stock of KemPharm, Inc. (incorporated herein by reference to the Registrant's Current Report on Form 8-K as filed with the SEC on June 23, 2021). 3.2   Amended and Restated Bylaws, as currently in effect, of KemPharm, Inc. (incorporated herein by reference to the Registrant's Current Report on Form 8-K as filed with the SEC on July 17, 2020). 4.1   Reference is made to Exhibit 3.1 , Exhibit 3.1.1  and  Exhibit 3.2  hereof. 4.2   Form of Inducement Warrant (incorporated herein by reference to the Registrant's Current Report on Form 8-K as filed with the SEC on June 23, 2021). 10.1*+   Amendment No. 1 to Collaboration and License Agreement, effective as of April 8, 2021, by and between the Company and Commave Therapeutics SA. 10.2   Form of Inducement Letter   (incorporated herein by reference to the Registrant's Current Report on Form 8-K as filed with the SEC on June 23, 2021). 10.3   Equity Distribution Agreement, dated July 2, 2021, by and among the Company, JMP Securities LLC and RBC Capital Markets, LLC (incorporated herein by reference to the Registrant's Current Report on Form 8-K as filed with the SEC on July 2, 2021). 10.4*#   Amended and Restated 2014 Equity Incentive Plan. 10.5*#   2021 Employee Stock Purchase Plan. 31.1*   Certification of the Principal Executive Officer pursuant to Rule 13a-14(a) or Rule 15d-14(a) of the Securities Exchange Act of 1934, as amended. 31.2*   Certification of the Principal Financial Officer pursuant to Rule 13a-14(a) or Rule 15d-14(a) of the Securities Exchange Act of 1934, as amended. 32.1*   Certification of the Principal Executive Officer pursuant to Rule 13a-14(b) of the Securities Exchange Act of 1934, as amended, and  18. U.S.C. Section 1350, as adopted pursuant to Section 906 of the Sarbanes-Oxley Act of 2002. (1) 32.2*   Certification of the Principal Financial  Officer pursuant to Rule 13a-14(b) of the Securities Exchange Act of 1934, as amended, and 18. U.S.C. Section 1350, as adopted pursuant to Section 906 of the Sarbanes-Oxley Act of 2002. (1) 101.INS**   Inline XBRL Instance Document (the Instance Document does not appear in the Interactive Data File because its XBRL (2) 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 (formatted as Inline XBRL and combined in Exhibit 101.1)   * Filed herewith ** Attached as Exhibit 101 to this Quarterly Report on Form 10-Q for the quarter ended June 30, 2021, formatted in XBRL (Extensible Business Reporting Language): (i) Unaudited Condensed Balance Sheets, (ii) Unaudited Condensed Statements of Operations, (iii) Unaudited Condensed Statements of Changes in Stockholders' Deficit, (iv) Unaudited Condensed Statements of Cash Flows, and (v) Notes to Unaudited Condensed Financial Statements, tagged as blocks of text and including detailed tags. + Pursuant to Item 601(b)(10) of Regulation S-K, certain confidential portions of this exhibit have been omitted by means of marking such portions with asterisks [***] as the identified confidential portions (i) are not material and (ii) the Registrant customarily and actually treats that information as private or confidential. # Indicates management contract or compensatory plan. (1) This certification accompanies the Quarterly Report on Form 10-Q to which it relates, is not deemed filed with the SEC and is not to be incorporated by reference into any filing of the Registrant under the Securities Act or the Exchange Act (whether made before or after the date of the Quarterly Report on Form 10-Q), irrespective of any general incorporation language contained in such filing. (2) These interactive data files shall not be deemed filed for purposes of Section 11 or 12 of the Securities Act of 1933, as amended, or Section 18 of the Securities Exchange Act of 1934, as amended, or otherwise subject to liability under those sections.   104 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.     KemPharm, Inc.     Date:       August 13, 2021 By: /s/ Travis C. Mickle     Travis C. Mickle, Ph.D.     President and Chief Executive Officer (Principal Executive Officer)       Date:       August 13, 2021 By: /s/ R. LaDuane Clifton     R. LaDuane Clifton, CPA     Chief Financial Officer, Secretary and Treasurer (Principal Financial Officer)   105