Company: VLDXW
Filing Date: 2025-08-06
Form Type: 10-Q
Source: 0001641172-25-022448
Chunk: 93

Company: Velo3D, Inc.
Filing Date: 2025-08-06
Form: 10-Q
Item: Part I, Item 1
Chunk 93
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 designed to assist our compliance with applicable U.S. and international anti-corruption
and trade control laws and regulations, including the FCPA, the Bribery Act and trade controls and sanctions programs administered by
OFAC, the DDTC and BIS, and have trained our employees to comply with these laws and regulations. However, there can be no assurance
that all of our employees, consultants, agents or other associated persons will not take actions in violation of our policies and these
laws and regulations. Additionally, there can be no assurance that our policies and procedures will effectively prevent us from violating
these regulations in every transaction in which we may engage or provide a defense to any alleged violation. In particular, we may be
held liable for the actions that our joint venture partners take inside or outside of the United States, even though our partners may
not be subject to these laws. Such a violation, even if our policies prohibit it, could have an adverse effect on our reputation, business,
financial condition and results of operations. In addition, various state and municipal governments, universities and other investors
maintain prohibitions or restrictions on investments in companies that do business with sanctioned countries, persons and entities, which
could adversely affect our reputation, business, financial condition and results of operations.

Item
2. Unregistered Sales of Equity Securities and Use of Proceeds

None.

Item
3. Defaults Upon Senior Securities

Not
applicable.

Item
4. Mine Safety Disclosures

Not
applicable.

Item
5. Other Information

During
the three months ended June 30, 2025, no director or Section 16 officer of the Company adopted or terminated a “Rule 10b5-1 trading
arrangement” or “non-Rule 10b5-1 trading arrangement,” as each term is defined in Item 408(a) of Regulation S-K.

50

Item
6. Exhibits

    Exhibit
    Number
     
    Description
  
    3.1
     
    Certificate of Incorporation of Velo3D, Inc. (incorporated by reference to Exhibit 3.1 to the Company’s Current Report on Form 8-K filed on October 5, 2021)
  
    3.1.1
     
    Certificate of Amendment to the Certificate of Incorporation of Velo3D, Inc. (incorporated by reference to Exhibit 3.1 to the Company’s Current Report on Form 8-K filed on