Qualigen Therapeutics Inc
For the period ended Sep 30, 2024. Filed Nov 14, 2024.
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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, 2024 · Filed Nov 14, 2024
FFR$0.91+1.9%Stored close · as of Nov 9, 2026
Extracted filing text, with the paragraph anchors used by the comparison.
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Item 6. Exhibits
| Incorporated by Reference | |||||
|---|---|---|---|---|---|
| Exhibit No. | Description | Form | File No. | Exhibit | Filing Date |
| 2.1 | Contingent Value Rights Agreement, dated May 22, 2020, among the Company, John Beck in the capacity of CVR Holders’ Representative and Andrew J. Ritter in his capacity as a consultant to the Company. | 8-K | 001-37428 | 2.4 | 5/29/2020 |
| 3.1 | Amended and Restated Certificate of Incorporation | 8-K | 001-37428 | 3.1 | 7/1/2015 |
| 3.2 | Certificate of Amendment to the Amended and Restated Certificate of Incorporation | 8-K | 001-37428 | 3.1 | 9/15/2017 |
| 3.3 | Certificate of Amendment to the Amended and Restated Certificate of Incorporation | 8-K | 001-37428 | 3.1 | 3/22/2018 |
| 3.4 | Certificate of Amendment to the Amended and Restated Certificate of Incorporation | 8-K | 001-37428 | 3.1 | 11/1/2024 |
| 3.5 | Certificate of Designation of Preferences, Rights and Limitations of Series Alpha Preferred Stock of the Company, filed with the Delaware Secretary of State on May 20, 2020 | 8-K | 001-37428 | 3.1 | 5/29/2020 |
| 3.6 | Certificate of Amendment to the Certificate of Incorporation of the Company, filed with the Delaware Secretary of State on May 22, 2020 [reverse stock split] | 8-K | 001-37428 | 3.2 | 5/29/2020 |
| 3.7 | Certificate of Merger, filed with the Delaware Secretary of State on May 22, 2020 | 8-K | 001-37428 | 3.3 | 5/29/2020 |
| 3.8 | Certificate of Amendment to the Certificate of Incorporation of the Company, filed with the Delaware Secretary of State on May 22, 2020 [name change] | 8-K | 001-37428 | 3.4 | 5/29/2020 |
| 3.9 | Amended and Restated Bylaws of the Company, through August 10, 2021 | 10-Q | 001-37428 | 3.1 | 8/13/2021 |
| 3.10 | Certificate of Amendment to the Amended and Restated Certificate of Incorporation, as amended | 8-K | 001-37428 | 3.1 | 11/22/2022 |
| 4.1 | Warrant, issued by the Company in favor of Alpha Capital Anstalt, dated May 22, 2020 | 8-K | 001-37428 | 10.13 | 5/29/2020 |
| 4.2 | Form of Warrant, issued by the Company in favor of GreenBlock Capital LLC and its designees, dated May 22, 2020 [post-Merger] | 8-K | 001-37428 | 10.10 | 5/29/2020 |
| 4.3 | Common Stock Purchase Warrant in favor of Alpha Capital Anstalt, dated July 10, 2020 | 8-K | 001-37428 | 10.2 | 7/10/2020 |
| 4.4 | Common Stock Purchase Warrant in favor of Alpha Capital Anstalt, dated August 4, 2020 | 8-K | 001-37428 | 10.3 | 8/4/2020 |
| 4.5 | “Two-Year” Common Stock Purchase Warrant for 1,348,314 shares in favor of Alpha Capital Anstalt, dated December 18, 2020 | 8-K | 001-37428 | 10.3 | 12/18/2020 |
| 4.6 | “Deferred” Common Stock Purchase Warrant for 842,696 shares in favor of Alpha Capital Anstalt, dated December 18, 2020 | 8-K | 001-37428 | 10.4 | 12/18/2020 |
| 4.7 | Form of liability classified Warrant to Purchase Common Stock | 10-K | 001-37428 | 4.13 | 3/31/2021 |
| 4.8 | Form of “service provider” compensatory equity classified Warrant | 10-K | 001-37428 | 4.14 | 3/31/2021 |
| 4.9 | Description of Common Stock | 10-K/A | 001-37428 | 4.9 | 7/7/2023 |
| 4.10 | Amended and Restated Common Stock Purchase Warrant to GreenBlock Capital LLC, dated April 25, 2022 | 10-Q | 001-37428 | 4.15 | 5/13/2022 |
| 4.11 | Amended and Restated Common Stock Purchase Warrant to Christopher Nelson, dated April 25, 2022 | 10-Q | 001-37428 | 4.16 | 5/13/2022 |
| 4.12 | Common Stock Purchase Warrant for 2,500,000 shares in favor of Alpha Capital Anstalt, dated December 22, 2022 | 8-K | 001-37428 | 4.1 | 12/22/2022 |
| 4.13 | Common Stock Purchase Warrant for 900,016 shares in favor of Alpha Capital Anstalt, dated February 27, 2024 | 8-K | 001-37428 | 10.3 | 2/27/2024 |
| 4.14 | Form of Pre-Funded Warrant | 8-K | 001-37428 | 4.1 | 9/9/2024 |
| 4.15 | Form of Placement Agent Warrant | 8-K | 001-37428 | 4.2 | 9/9/2024 |
| 10.1 | Securities Purchase Agreement dated July 5, 2024 | 8-K | 001-37428 | 10.1 | 7/11/2024 |
| 10.2 | Securities Purchase Agreement dated July 5, 2024. (Incorporated by reference to Exhibit 10.1 of the Company’s Current Report on Form 8-K filed July 11, 2024.) | 8-K | 001-37428 | 10.1 | 7/15/2024 |
| 10.3 | Senior Note dated June 8, 2024. | 8-K | 001-37428 | 10.2 | 7/15/2024 |
| 10.4 | Promissory Note, dated July 12, 2024, issued by Qualigen Therapeutics, Inc. to Marizyme, Inc. | 8-K | 001-37428 | 10.1 | 7/18/2024 |
| 10.5 | Placement Agent Agreement | 8-K | 001-37428 | 10.1 | 9/9/2024 |
| 31.1* | Certificate of principal executive officer pursuant to Rule 13a-14(a)/15d-14(a), as adopted pursuant to Section 302 of the Sarbanes-Oxley Act of 2002 | ||||
| 32.1* | Certificate of principal executive officer and principal financial officer pursuant to 18 U.S.C. § 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 or furnished herewith.
- Indicates management contract or compensatory plan or arrangement.
XBRL (Extensible Business Reporting Language) information is furnished and not filed herewith, is not a part of a registration statement or Prospectus for purposes of sections 11 or 12 of the Securities Act of 1933, is deemed not filed for purposes of section 18 of the Securities Exchange Act of 1934, and otherwise is not subject to liability under these sections.
SIGNATURES
Pursuant to the requirements of the Securities Exchange Act of 1934, as amended, the Registrant has duly caused this report to be signed on its behalf by the undersigned thereunto duly authorized.
| November 14, 2024 | QUALIGEN THERAPEUTICS, INC. | |
|---|---|---|
| By: | /s/ Kevin A. Richardson | |
| Name: | Kevin A. Richardson | |
| Title: | Interim Chief Executive Officer and Chief Financial Officer |
The text of this filing, as the company filed it with the SEC, without its images or exhibits. This is not investment advice.