# EDGAR Filing Document

**Accession Number:** 0001837607
**File Stem:** 0001104659-25-058535
**Filing Date:** 2025-6
**Character Count:** 15908
**Document Hash:** 407a82581d00934c78172ce966054fff
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001104659-25-058535.hdr.sgml**: 20250611

**ACCESSION NUMBER**: 0001104659-25-058535

**CONFORMED SUBMISSION TYPE**: 10-Q/A

**PUBLIC DOCUMENT COUNT**: 14

**CONFORMED PERIOD OF REPORT**: 20250331

**FILED AS OF DATE**: 20250611

**DATE AS OF CHANGE**: 20250611

**FILER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** AEON Biopharma, Inc.
- **CENTRAL INDEX KEY:** 0001837607
- **STANDARD INDUSTRIAL CLASSIFICATION:** PHARMACEUTICAL PREPARATIONS [2834]
- **ORGANIZATION NAME:** 03 Life Sciences
- **EIN:** 853940478
- **STATE OF INCORPORATION:** DE
- **FISCAL YEAR END:** 1231

**FILING VALUES:**
- **FORM TYPE:** 10-Q/A
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 001-40021
- **FILM NUMBER:** 251039999

**BUSINESS ADDRESS:**
- **STREET 1:** 5 PARK PLAZA
- **STREET 2:** SUITE 1750
- **CITY:** IRVINE
- **STATE:** CA
- **ZIP:** 92614
- **BUSINESS PHONE:** (949) 354-6499

**MAIL ADDRESS:**
- **STREET 1:** 5 PARK PLAZA
- **STREET 2:** SUITE 1750
- **CITY:** IRVINE
- **STATE:** CA
- **ZIP:** 92614

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** Priveterra Acquisition Corp.
- **DATE OF NAME CHANGE:** 20201222

?xml version='1.0' encoding='ASCII'?

**UNITED STATES**

**SECURITIES AND EXCHANGE COMMISSION**

**Washington, D.C. 20549**

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**FORM 10-Q/A**

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**Amendment No. 1**

**(Mark One)**

**⌧ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934**

**For the quarterly period ended March 31, 2025**

**or**

**◻ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934**

**For the transition period from&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp; to&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;** 

**Commission File Number: 001-40021**

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**AEON Biopharma, Inc.**

**(Exact name of registrant as specified in its charter)**

------

---

| | |
|:---|:---|
| **Delaware** | **85-3940478** |
| **(State or other jurisdiction of**<br> **incorporation or organization)** | **(I.R.S. Employer**<br> **Identification Number)** |

---

**5 Park Plaza**

**Suite 1750**

**Irvine, CA 92614**

**(Address of Principal Executive Offices)**

**(949) 354-6499**

**(Registrant's telephone number)**

------

Indicate by check mark whether the registrant (1) has filed all reports required to be filed by Section 13 or 15(d) of the Securities Exchange Act of 1934 during the preceding 12 months (or for such shorter period that the registrant was required to file such reports), and (2) has been subject to such filing requirements for the past 90 days. Yes ⌧ No ¨

Indicate by check mark whether the registrant has submitted electronically every Interactive Data File required to be submitted pursuant to Rule 405 of Regulation S-T (§232.405 of this chapter) during the preceding 12 months (or for such shorter period that the registrant was required to submit such files). Yes ⌧ No ◻

Indicate by check mark whether the registrant is a large accelerated filer, an accelerated filer, a non-accelerated filer, a smaller reporting company, or an emerging growth company. See the definitions of "large accelerated filer," "accelerated filer," "smaller reporting company," and "emerging growth company" in Rule 12b-2 of the Exchange Act.

Large accelerated filer ¨ Accelerated filer ¨ <br>Non-accelerated filer ⌧ Smaller reporting company ⌧ Emerging growth company ⌧

If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. ◻

Indicate by check mark whether the registrant is a shell company (as defined in Rule 12b-2 of the Exchange Act). Yes ◻ No ⌧

Securities registered pursuant to Section 12(b) of the Act:

---

| | | |
|:---|:---|:---|
| **<u>Title of Each Class</u>** | **<u>Trading symbol</u>** | **<u>Name of Exchange on which registered</u>** |
| **Class A common stock, $0.0001 par value per share** | **AEON** | **NYSE American** |

---

As of May 7, 2025, there were 11,305,367 of the registrant's shares of Class A common stock, $0.0001 par value per share, outstanding.

**EXPLANATORY NOTE**

AEON Biopharma, Inc. (the "Company") is filing this Amendment No. 1 on Form 10-Q/A (this "Amendment") to amend the Company's Quarterly Report on Form 10-Q for the quarterly period ended March 31, 2025 (the "Original Filing"), which was originally filed with the U.S. Securities and Exchange Commission (the "SEC") on May 14, 2025 (the "Original Filing Date"). The sole purpose of this Amendment is to supplement the Exhibits contained in Item 6 of Part II of the Original Filing to include Exhibit 3.2.1, the Company's Amendment to its Amended and Restated Bylaws, which was inadvertently omitted in the Original Filing.

This Amendment is an exhibit-only filing. Except as described above, no changes have been made to the Original Filing and this Amendment does not modify, amend, or update in any way any of the financial or other information contained in the Original Filing. This Amendment does not reflect events that may have occurred subsequent to the Original Filing Date. Accordingly, this Amendment should be read in conjunction with the Original Filing and the Company's other filings with the SEC.

Pursuant to Rule 12b-15 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), currently dated certifications are filed herewith as exhibits to this Amendment pursuant to Rule 13a-14(a) or 15d-14(a) of the Exchange Act under Item 6 of Part II hereof. Because no financial statements have been included in this Amendment and this Amendment does not contain any disclosure with respect to Items 307 and 308 of Regulation S-K, paragraphs 3, 4, and 5 of the certifications have been omitted. Similarly, because no financial statements have been included in this Amendment, certifications pursuant to Section 906 of the Sarbanes-Oxley Act of 2002 have been omitted.

**PART II — OTHER INFORMATION**

**Item 6. Exhibits**

---

| | |
|:---|:---|
| **Exhibit<br> No.** | **Description** |
| [2.1\*](https://www.sec.gov/Archives/edgar/data/1837607/000110465922126489/tm2232428d1_ex2-1.htm) | [Business Combination Agreement, dated as of December 12, 2022, by and among Priveterra Acquisition Corp., Priveterra Merger Sub, Inc. and AEON Biopharma, Inc. (incorporated by reference to Exhibit 2.1 to the Form 8-K filed by Priveterra Acquisition Corp. with the SEC on December 13, 2022)](https://www.sec.gov/Archives/edgar/data/1837607/000110465922126489/tm2232428d1_ex2-1.htm) |
| [2.1(a)\*](https://www.sec.gov/Archives/edgar/data/1837607/000110465923053387/tm2314221d1_ex2-1.htm) | [Amendment No. 1 to Business Combination Agreement, dated as of April 27, 2023, by and among Priveterra Acquisition Corp., AEON Biopharma, Inc. and Priveterra Merger Sub, Inc. (incorporated by reference to Exhibit 2.1 to the Form 8-K filed by Priveterra Acquisition Corp. with the SEC on May 1, 2023)](https://www.sec.gov/Archives/edgar/data/1837607/000110465923053387/tm2314221d1_ex2-1.htm) |
| [3.1](https://www.sec.gov/Archives/edgar/data/1837607/000110465923084851/tm2314948d1_ex3-1.htm) | [Third Amended and Restated Certificate of Incorporation of AEON Biopharma, Inc. (incorporated by reference to Exhibit 3.1 to the Form 8-K filed by the Company with the SEC on July 27, 2023)](https://www.sec.gov/Archives/edgar/data/1837607/000110465923084851/tm2314948d1_ex3-1.htm) |
| [3.1.1](https://www.sec.gov/Archives/edgar/data/1837607/000183760725000013/aeon-20250224xex3d1.htm) | [Certificate of Amendment of Third Amended and Restated Certificate of Incorporation of AEON Biopharma, Inc. (incorporated by reference to Exhibit 3.1 to the Form 8-K filed by the Company with the SEC on February 24, 2025)](https://www.sec.gov/Archives/edgar/data/1837607/000183760725000013/aeon-20250224xex3d1.htm) |
| [3.2](https://www.sec.gov/Archives/edgar/data/1837607/000110465923084851/tm2314948d1_ex3-2.htm) | [Amended and Restated Bylaws of AEON Biopharma, Inc. (incorporated by reference to Exhibit 3.2 to the Form 8-K filed by the Company with the SEC on July 27, 2023)](https://www.sec.gov/Archives/edgar/data/1837607/000110465923084851/tm2314948d1_ex3-2.htm) |
| [3.2.1](https://www.sec.gov/Archives/edgar/data/1837607/000110465924130805/tm2431750d1_ex3-1.htm) | [Amendment to Amended and Restated Bylaws of AEON Biopharma, Inc. (incorporated by reference to Exhibit 3.1 to Form 8-K filed by the Company with the SEC on December 20, 2024)](https://www.sec.gov/Archives/edgar/data/1837607/000110465924130805/tm2431750d1_ex3-1.htm) |
| [4.1](https://www.sec.gov/Archives/edgar/data/1837607/000110465921021987/tm2039147d12_ex4-1.htm) | [Warrant Agreement, dated as of February 8, 2021, by and between Priveterra Acquisition Corp. and Continental Stock Transfer & Trust Company (incorporated by reference to Exhibit 4.1 to the Form 10-K filed by Priveterra Acquisition Corp. with the SEC on March 28, 2022)](https://www.sec.gov/Archives/edgar/data/1837607/000110465921021987/tm2039147d12_ex4-1.htm) |
| [4.2](https://www.sec.gov/Archives/edgar/data/1837607/000110465921021987/tm2039147d12_ex4-1.htm) | [Specimen Warrant Certificate (incorporated by reference to Exhibit 4.2 to the Form 10-K filed by Priveterra Acquisition Corp. with the SEC on March 29, 2024)](https://www.sec.gov/Archives/edgar/data/1837607/000110465921021987/tm2039147d12_ex4-1.htm) |
| [4.3](https://www.sec.gov/Archives/edgar/data/1837607/000183760724000008/aeon-20240324xex4d1.htm) | [Senior Secured Convertible Note, dated as of March 24, 2024, by and among AEON Biopharma, Inc., Daewoong Pharmaceutical Co., LTD. and AEON Biopharma Sub, Inc. (incorporated by reference to Exhibit 4.1 to the Form 8-K filed by the Company with the SEC on March 28, 2024)](https://www.sec.gov/Archives/edgar/data/1837607/000183760724000008/aeon-20240324xex4d1.htm) |
| [4.4](https://www.sec.gov/Archives/edgar/data/1837607/000183760724000033/aeon-20240412xex4d1.htm) | [Senior Secured Convertible Note, dated as of April 12, 2024, by and among AEON Biopharma, Inc., Daewoong Pharmaceutical Co., LTD. and AEON Biopharma Sub, Inc. (incorporated by reference to Exhibit 4.1 to the Form 8-K filed by the Company with the SEC on April 17, 2024)](https://www.sec.gov/Archives/edgar/data/1837607/000183760724000033/aeon-20240412xex4d1.htm) |
| [4.6](https://www.sec.gov/Archives/edgar/data/1837607/000110465925001665/tm2432042d4_ex4-1.htm) | [Form of Series A Warrant (incorporated by reference to Exhibit 4.1 to the Form 10-K filed by the Company with the SEC on January 7, 2025)](https://www.sec.gov/Archives/edgar/data/1837607/000110465925001665/tm2432042d4_ex4-1.htm) |
| [4.7](https://www.sec.gov/Archives/edgar/data/1837607/000110465925001665/tm2432042d4_ex4-2.htm) | [Form of Series B Warrant (incorporated by reference to Exhibit 4.2 to the Form 10-K filed by the Company with the SEC on January 7, 2025)](https://www.sec.gov/Archives/edgar/data/1837607/000110465925001665/tm2432042d4_ex4-2.htm) |
| [10.1](https://www.sec.gov/Archives/edgar/data/1837607/000183760725000030/aeon-20250419xex10.htm) | [Employment Agreement, by and between AEON Biopharma, Inc. and Robert Bancroft (incorporated by reference to Exhibit 10.1 to the Form 8-K filed by the Company with the SEC on April 21, 2025)](https://www.sec.gov/Archives/edgar/data/1837607/000183760725000030/aeon-20250419xex10.htm) |
| [31.1†](tm2517714d1_ex31-1.htm) | [Certification of Principal Executive Officer Pursuant to Section 302 of the Sarbanes-Oxley Act of 2002](tm2517714d1_ex31-1.htm) |
| [31.2†](tm2517714d1_ex31-2.htm) | [Certification of Principal Financial Officer Pursuant to Section 302 of the Sarbanes-Oxley Act of 2002](tm2517714d1_ex31-2.htm) |
| [32.1](https://www.sec.gov/Archives/edgar/data/1837607/000183760725000050/aeon-20250331xex32d1.htm) | [Certification of Principal Executive Officer Pursuant to 18 U.S.C. Section 1350, as adopted pursuant to Section 906 of the Sarbanes-Oxley Act of 2002 (furnished with the registrant's quarterly report on Form 10-Q for the quarter ended March 31, 2025)](https://www.sec.gov/Archives/edgar/data/1837607/000183760725000050/aeon-20250331xex32d1.htm) |
| [32.2](https://www.sec.gov/Archives/edgar/data/1837607/000183760725000050/aeon-20250331xex32d2.htm) | [Certification of Principal Financial Officer Pursuant to 18 U.S.C. Section 1350, as adopted pursuant to Section 906 of the Sarbanes-Oxley Act of 2002 (furnished with the registrant's quarterly report on Form 10-Q for the quarter ended March 31, 2025)](https://www.sec.gov/Archives/edgar/data/1837607/000183760725000050/aeon-20250331xex32d2.htm) |
| 101.INS† | XBRL Instance Document - the instance document does not appear in the Interactive Data File because its XBRL tags are embedded within the Inline XBRL document |
| 101.SCH† | XBRL Taxonomy Extension Schema Document |
| 101.CAL† | XBRL Taxonomy Extension Calculation Linkbase Document |
| 101.DEF† | XBRL Taxonomy Extension Definition Linkbase Document |
| 101.LAB† | XBRL Taxonomy Extension Label Linkbase Document |
| 101.PRE† | XBRL Taxonomy Extension Presentation Linkbase Document |
| 104† | Cover Page Interactive Data File (formatted in Inline XBRL and contained in Exhibit 101) |

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† Filed herewith.

\* The annexes, schedules, and certain exhibits to this Exhibit have been omitted pursuant to Item 601(a)(5) of Regulation S-K. The Company hereby agrees to furnish supplementally a copy of any omitted annex, schedule or exhibit to the SEC upon request.

**SIGNATURES**

Pursuant to the requirements of the Securities Exchange Act of 1934, the Registrant has duly caused this report to be signed on its behalf by the undersigned thereunto duly authorized.

Date: June 11, 2025

---

| | |
|:---|:---|
| **AEON BIOPHARMA, INC.** | **AEON BIOPHARMA, INC.** |
| By: | /s/ Robert Bancroft |
| Name: | Robert Bancroft |
| Title: | President and Chief Executive Officer |
|  | (Principal Executive Officer) |
| By: | /s/ Jennifer Sy |
| Name: | Jennifer Sy |
| Title: | Chief Accounting Officer |
|  | (Principal Financial and Accounting Officer) |

---

## Exhibit 31.1

**Exhibit 31.1**

**CERTIFICATION PURSUANT TO**

**RULES 13a-14(a) AND 15d-14(a) UNDER THE SECURITIES EXCHANGE ACT OF 1934, AS ADOPTED PURSUANT TO SECTION 302 OF THE SARBANES-OXLEY ACT OF 2002**

I, Robert Bancroft, certify that:

1. I have reviewed this Amendment No. 1 to the Quarterly Report
on Form 10-Q of AEON Biopharma, Inc.;

2. Based on my knowledge, this report does not contain any untrue
statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under
which such statements were made, not misleading with respect to the period covered by this report.

---

| | | |
|:---|:---|:---|
| Date: June 11, 2025 | By: | /s/ Robert Bancroft |
|  |  | **Robert Bancroft** |
|  |  | **President and Chief Executive Officer** <br> **(Principal Executive Officer)**<br>|

---

## Exhibit 31.2

**Exhibit 31.2**

**CERTIFICATION PURSUANT TO**

**RULES 13a-14(a) AND 15d-14(a) UNDER THE SECURITIES EXCHANGE ACT OF 1934, AS ADOPTED PURSUANT TO SECTION 302 OF THE SARBANES-OXLEY ACT OF 2002**

I, Jennifer Sy, certify that:

1. I have reviewed this Amendment No. 1 to the Quarterly Report
on Form 10-Q of AEON Biopharma, Inc.;

2. Based on my knowledge, this report does not contain any untrue
statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under
which such statements were made, not misleading with respect to the period covered by this report.

---

| | | |
|:---|:---|:---|
| Date: June 11, 2025 | By: | /s/ Jennifer Sy |
|  |  | **Jennifer Sy** |
|  |  | **Chief Accounting Officer<br> (Principal Financial and Accounting Officer)**  |

---