Company: PTHS
Filing Date: 2025-11-13
Form Type: 10-Q
Source: 0001753926-25-001764
Chunk: 159

Company: Pelthos Therapeutics Inc.
Filing Date: 2025-11-13
Form: 10-Q
Item: Part II, Item 1
Chunk 159
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 2,381,000 shares of Common Stock (after giving
effect to the Reverse Stock Split).

68

The
Securities Purchase Agreement also provides the PIPE Investors with customary rights, including participation rights in future
financings, anti-dilution protections, and registration rights pursuant to a Registration Rights Agreement entered into on the
Merger Closing Date. The Company is obligated to file a resale registration statement with the SEC covering the shares of Common Stock
issuable upon conversion of the Series A Preferred Stock.

The
offers and sales of the above securities were deemed to be exempt from registration under the Securities Act in reliance upon Section
4(a)(2) of the Securities Act or Regulation D promulgated thereunder, or Rule 701 promulgated under Section 3(b) of the Securities
Act, as transactions by an issuer not involving any public offering or pursuant to benefit plans and contracts relating to compensation
as provided under Rule 701. The recipients of the above securities represented their intentions to acquire the securities for investment
only and not with a view to or for sale in connection with any distribution thereof.

Item 3. Defaults Upon Senior Securities

None.

Item 4. Mine Safety Disclosures

Not applicable.

Item 5. Other Information

None.

Item 6. Exhibits

        Exhibit
        Number
     
    Description

    3.1
     
    Certificate of Amendment to Articles of Incorporation, filed with the Secretary of State of the State of Nevada on July 1, 2025 (Name Change Certificate of Amendment) (incorporated by reference to Exhibit 3.1 to the Registrant’s Current Report on Form 8-K, filed with the Commission on July 2, 2025)

    3.2
     
    Certificate
    of Amendment to Articles of Incorporation, filed with the Secretary of State of the State of Nevada on July 1, 2025 (Reverse
    Stock Split Certificate of Amendment) (incorporated by reference to Exhibit 3.2 to the Registrant’s Current Report on
    Form 8-K, filed with the Commission on July 2, 2025).

    3.3
     
    Certificate
    of Designations, Preferences and Rights of Series A Convertible Redeemable Preferred Stock, filed with the Secretary of State
    of the State of Nevada on July 1, 2025 (incorporated by reference to Exhibit 3.3 to