Company: LBRX
Filing Date: 2025-07-23
Form Type: DRS/A
Source: 0000950123-25-006557
Chunk: 377

Company: LB PHARMACEUTICALS INC
Filing Date: 2025-07-23
Form: DRS/A
Chunk 377
---
b) the sale

II-2

of the Company. Maxim Group LLC acted as placement agent for the Notes Offering and received a commission of up to 10.0% of the gross proceeds from the Notes Offering and certain warrants which were ultimately replaced with the Maxim Warrants. In addition, all of the convertible notes outstanding at the time were automatically converted into shares of our Series C preferred stock upon the closing of our Series C Offering. None of the foregoing transactions, other than the Series B Offering and the Notes Offering, involved any underwriters, underwriting discounts or commissions, or any public offering. Unless otherwise specified above, we believe these transactions were exempt from registration under the Securities Act in reliance on Section 4(a)(2) of the Securities Act (and Regulation D or Regulation S 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 under benefit plans and contracts relating to compensation as provided under Rule 701. The recipients of the securities in each of these transactions 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, and appropriate legends were placed on the share certificates issued in these transactions. All recipients had adequate access, through their relationships with us, to information about us. The sales of these securities were made without any general solicitation or advertising. Item 16. Exhibits and Financial Statement Schedules. (a) Exhibits. The exhibits listed below are filed as part of this registration statement.

| Exhibit 
 No.     |     | Description                                                                                                                                    |
| 1.1*    |     | Form of Underwriting Agreement                                                                                                                 |
| 3.1**   |     | Amended and Restated Certificate of Incorporation of the Registrant, as currently in effect                                                    |
| 3.2*    |     | Form of Amended and Restated Certificate of Incorporation of the Registrant, to be effective immediately prior to the closing of this offering |
| 3.3**   |     | Amended and Restated Bylaws of the Registrant, as currently in effect                                                                          |
| 3.4*    |     | Form of Amended and Restated Bylaws of the Registrant, to be effective immediately prior to the closing of this offering                       |
| 4.1*    |     | Form of Common Stock Certificate                                                                                                               |
| 4.2†**