Anteris Technologies Global Corp.
For the period ended Sep 30, 2026. Filed Nov 10, 2026.
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A company's report for each of its first three quarters. The financial statements are not audited. It shows how the business has moved since the last annual report, and what management says changed.
Sep 30, 2026 · Filed Nov 10, 2026
Extracted filing text, with the paragraph anchors used by the comparison.
See the whole filing, with its images and exhibitsContents
Item 6. Exhibits
Item 6.
Exhibits
The exhibits listed in the Exhibit Index below are filed, furnished, or incorporated by reference as part of this Quarterly Report on Form 10-Q.
Exhibit Index
| Exhibit Number · Description · Incorporated by Reference · Filed | |||||
|---|---|---|---|---|---|
| Form · Date · Number · Herewith | |||||
| 2.1 † | Scheme Implementation Deed, dated August 13, 2024, by and between Anteris Technologies Global Corp. and Anteris Technologies Ltd | S-1 | 11/22/2024 | 2.1 | |
| 3.1 | Second Amended and Restated Certificate of Incorporation of Anteris Technologies Global Corp. | 8-K | 12/16/2024 | 3.1 | |
| 3.2 | Amended and Restated Bylaws of Anteris Technologies Global Corp. | 8-K | 12/16/2024 | 3.2 | |
| 4.1 | Reference is made to Exhibits 3.1 and 3.2 | ||||
| 4.2 | Form of Common Stock Warrant | 10-Q | 11/12/2025 | 4.2 | |
| 4.3 | Form of Confirmation Letter (containing the terms of the CDI Warrants) | 10-Q | 11/12/2025 | 4.3 | |
| 10.1 | Employment Agreement, between Anteris Technologies Global Corp. and Brent Moen, dated September 4, 2026. | 8-K | 9/08/2026 | 10.1 | |
| 10.2 | First Amendment to Supply & Quality Agreement, between Anteris Aus Operations Pty Ltd and Harvey Industries Group Pty Ltd, dated September 22, 2026. | 8-K | 9/23/2026 | 10.1 | |
| 10.3# | Deed of Extension and Variation of Lease, dated August 11, 2026, by and between Giacomel Pty Ltd, Anteris Aus Operations Pty Ltd and Anteris Technologies Pty Ltd | X | |||
| 10.4 | Form of Option Award Adjustment Notice (Director) (IPO – 2024) | X | |||
| 10.5 | Form of Option Award Adjustment Notice (Employee) (IPO – 2024) | X | |||
| 10.6 | Form of Share Price Performance Plan (SPP) Unit Adjustment Notice (IPO – 2024) | X | |||
| 10.7 | Form of Notice of Contingent Grant and Restricted Stock Unit Agreement (Non-Employee Director – Australia) (December 2024) | X | |||
| 10.8 | Notice of Contingent Grant and Restricted Stock Unit Agreement, dated December 16, 2024, by and between Anteris Technologies Global Corp. and John Seaberg | X | |||
| 10.9 | Notice of Contingent Grant and Restricted Stock Unit Agreement, dated December 16, 2024, by and between Anteris Technologies Global Corp. and Wayne Paterson | X | |||
| 10.10 | Notice of Contingent Grant and Restricted Stock Unit Agreement, dated December 16, 2024, by and between Anteris Technologies Global Corp. and David St Denis | X | |||
| 10.11 | Notice of Grant and Restricted Stock Unit Agreement, dated December 16, 2024, by and between Anteris Technologies Global Corp. and Matthew McDonnell | X | |||
| 10.12 | Form of Notice of Contingent Grant and Restricted Stock Unit Agreement (New Non-Employee Director – US) | X | |||
| 10.13 | Notice of Grant and Restricted Stock Unit Agreement, dated December 3, 2025, by and between Anteris Technologies Global Corp. and Stephen Denaro | X | |||
| 10.14 | Form of Notice of Grant and Restricted Stock Unit Agreement (Non-Employee Director – US) | X | |||
| 10.15 | Notice of Contingent Grant and Restricted Stock Unit Agreement, dated March 4, 2026, by and between Anteris Technologies Global Corp. and Wayne Paterson | X | |||
| 10.16 | Notice of Contingent Grant and Restricted Stock Unit Agreement, dated March 4, 2026, by and between Anteris Technologies Global Corp. and David St Denis | X | |||
| 10.17 | Notice of Grant and Restricted Stock Unit Agreement, dated March 4, 2026, by and between Anteris Technologies Global Corp. and Matthew McDonnell | X | |||
| 10.18 | Anteris Technologies Global Corp. Non-Employee Director Compensation Policy (As Amended and Restated Effective September 12, 2026) | X | |||
| Exhibit Number | Description | Incorporated by Reference | Filed | |
| Form | Date | Number | Herewith | |
| 10.19 | Notice of Contingent Grant and Nonqualified Stock Option Agreement, dated September 13, 2026, by and between Anteris Technologies Global Corp. and Wayne Paterson | X | ||
| 10.20 | Notice of Contingent Grant and Nonqualified Stock Option Agreement, dated September 13, 2026, by and between Anteris Technologies Global Corp. and David St Denis | X | ||
| 10.21 | Form of Notice of Contingent Grant and Performance-Based Restricted Stock Unit Agreement for Wayne Paterson and David St Denis | X | ||
| 10.22 | Form of Notice of Grant of Nonqualified Stock Option Agreement for Brent Moen | X | ||
| 10.23 | Notice of Grant of Nonqualified Stock Option Agreement for Matthew McDonnell | X | ||
| 31.1 | Certification of Principal Executive Officer Pursuant to Rules 13a-14(a) and 15d-14(a) under the Securities Exchange Act of 1934, as Adopted Pursuant to Section 302 of the Sarbanes-Oxley Act of 2002 | X | ||
| 31.2 | Certification of Principal Financial Officer Pursuant to Rules 13a-14(a) and 15d-14(a) under the Securities Exchange Act of 1934, as Adopted Pursuant to Section 302 of the Sarbanes-Oxley Act of 2002 | X | ||
| 32.1* | Certification of Principal Executive Officer and Principal 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 | Inline XBRL Instance Document - the instance document does not appear in the Interactive Data File because its XBRL tags are embedded within the Inline XBRL document. | X | ||
| 101.SCH | Inline XBRL Taxonomy Extension Schema Document. | X | ||
| 101.CAL | Inline XBRL Taxonomy Extension Calculation Linkbase Document. | X | ||
| 101.DEF | Inline XBRL Taxonomy Extension Definition Linkbase Document. | X | ||
| 101.LAB | Inline XBRL Taxonomy Extension Label Linkbase Document. | X | ||
| 101.PRE | Inline XBRL Taxonomy Extension Presentation Linkbase Document | X | ||
| 104 | Cover Page Interactive Data File (embedded within the Inline XBRL Document and contained in Exhibit 101) | X | ||
This certification attached as Exhibit 32.1 that accompanies this Form 10-Q, is deemed furnished and not filed with the U.S. Securities and Exchange Commission (the “SEC”) and is not to be incorporated by reference into any filing of the Registrant under the Securities Act of 1933, as amended, or the Securities Exchange Act of 1934, as amended, whether made before or after the date of this Form 10-Q, irrespective of any general incorporation language contained in such filing.
†
Certain information in this exhibit has been redacted pursuant to Item 601(a)(6) of Regulation S-K.
Certain identified information has been excluded from this exhibit pursuant to Rule 601(b)(10) of Regulation S-K because it is both (i) not material and (ii) is the type of information that the registrant treats as private or confidential.
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, in the City of Eagan, State of Minnesota, on the 10 th day of November, 2026.
| Anteris Technologies Global Corp. | ||
| By: | /s/ Wayne Paterson | |
| Name: | Wayne Paterson | |
| Title: | Vice Chairman and Chief Executive Officer (Principal Executive Officer) | |
| By: | /s/ Brent Moen | |
| Name: | Brent Moen | |
| Title: | Chief Financial Officer (Principal Financial Officer and Principal Accounting Officer) |
The text of this filing, as the company filed it with the SEC, without its images or exhibits. This is not investment advice.