Company: NEOV
Filing Date: 2025-11-10
Form Type: 10-Q
Source: 0001683168-25-008147
Chunk: 45

Company: NeoVolta Inc.
Filing Date: 2025-11-10
Form: 10-Q
Item: Part I, Item 8
Chunk 45
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 an exemption from registration as set forth in Section 4(a)(2) of the Securities Act.

ITEM 3.DEFAULTS UPON SENIOR SECURITIES 

None. 

ITEM 4.MINE SAFETY DISCLOSURES 

Not applicable.

ITEM 5.OTHER INFORMATION

During the period covered by
this Quarterly Report, none of the Company’s directors or executive officers has adopted or terminated a Rule 10b5-1 trading arrangement
or a non-Rule 10b5-1 trading arrangement (each as defined in Item 408 of Regulation S-K under the Securities Exchange Act of 1934, as
amended).

 18 

ITEM 6.EXHIBITS

    Exhibit No.
     
    Exhibit Description
  
    2.1+ 
     
    Asset Purchase Agreement dated October 1, 2025 by and among NeoVolta, Inc., Neubau Energy Inc. and the shareholders of Neubau Energy Inc. (incorporated by reference to exhibit 2.1 of the Company’s Form 8-K filed October 7, 2025) 
  
    3.1
     
    Amended and Restated Articles of Incorporation of NeoVolta, Inc. (incorporated by reference to exhibit 2.1 of the Company’s Form 1-A (file no. 024-10942)).
  
    3.2
     
    Second Amended and Restated Bylaws of NeoVolta, Inc. (incorporated by reference to exhibit 3.3 of the Company’s Form S-1 (file no. 333-264275)).
  
    10.1
     
    Employment Agreement dated October 1, 2025 between NeoVolta, Inc. and Amany Ibrahim (incorporated by reference to exhibit 10.1 of the Company’s Form 8-K filed October 7, 2025)
  
    10.2
     
    Employment Agreement dated October 1, 2025 between NeoVolta, Inc. and Thomas Enzendorfer (incorporated
    by reference to exhibit 10.2 of the Company’s Form 8-K filed October 7, 2025)
  
    31.1*
     
    Certification of Principal Executive Officer Pursuant to Section 302 of Sarbanes- Oxley Act of 2002
  
    31.2*
     
    Certification of Principal Financial Officer