Company: HCWB
Filing Date: 2025-05-15
Form Type: 8-K
Source: 0000950170-25-072700
Chunk: 1

Company: HCW Biologics Inc.
Filing Date: 2025-05-15
Form: 8-K
Item: Item 1.01
Chunk 1
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arrants Amendment Agreement, on May 15, 2025.

On May 13, 2025, the Company entered into a placement agency agreement (the “ Placement Agency Agreement”) with Maxim Group LLC (“ Maxim” or the “ Placement Agent”) pursuant to which the Company engaged the Placement Agent as the exclusive placement agent in connection with the Offering. The Company agreed to pay the Placement Agent a cash fee equal to 7.0% of gross proceeds from the sale of Shares, Pre-Funded Warrants and Common Stock Warrants to the Purchaser. The Company also agreed to reimburse the Placement Agent for out-of-pocket expenses, including the reasonable legal fees of its counsel not to exceed $85,000. The Placement Agency Agreement also contains representations, warranties, indemnification and other provisions customary for transactions of this nature.

The foregoing descriptions of the Placement Agency Agreement, SPA, Existing Warrants Amendment Agreement, Common Stock Warrant, Pre-Funded Warrant and Amended Warrant filed as Exhibits 10.1, 10.2, 10.3, 4.1, 4.2 and 4.3 respectively to this Current Report on Form 8-K do not purport to be complete and are qualified in their entirety by the full text of each respective document.