SEC Filing Document

Company: BIOVENTRIX, INC.
Ticker: 
CIK: 1283259
Filing Type: S-1/A
Document Type: EX-1.1
Date Filed: 2026-03-18
Accession Number: 0001493152-26-010642
Exchange: 
SIC Code: 3841
SIC Description: Surgical & Medical Instruments & Apparatus
URL: https://www.sec.gov/Archives/edgar/data/1283259/000149315226010642/ex1-1.htm

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will not be able (i) to renew the existing insurance coverage as and when such policies expire or (ii) to obtain comparable coverage from similar institutions as may be necessary or appropriate to conduct its business as now conducted and at a cost that would not reasonably be expected to result in a Material Adverse Change. Transactions Affecting Disclosure to FINRA. Finder’s Fees. Except as described in the Registration Statement, the Pricing Disclosure Package and the Prospectus, there are no claims, payments, arrangements, agreements or understandings relating to the payment of a finder’s, consulting or origination fee by the Company or any Insider with respect to the sale of the Public Shares, the Representative’s Warrants or the Representative Warrant Shares hereunder or any other arrangements, agreements or understandings of the Company or, to the Company’s knowledge, any of its stockholders that may affect the Underwriters’ compensation, as determined by FINRA.

Payments Within Twelve (12) Months. Except as described in the Registration Statement, the Pricing Disclosure Package and the
Prospectus, the Company has not made any direct or indirect payments (in cash, securities or otherwise) to: (i) any person, as a finder’s
fee, consulting fee or otherwise, in consideration of such person raising capital for the Company or introducing to the Company persons
who raised or provided capital to the Company; (ii) any FINRA member; or (iii) any person or entity that has any direct or indirect affiliation
or association with any FINRA member, within the twelve (12) months prior to the Effective Date, other than the payment to the Underwriters
as provided hereunder in connection with the Offering.

Use of Proceeds. None of the net proceeds of the Offering will be paid by the Company to any participating FINRA member or its
affiliates, except as specifically authorized herein.

FINRA Affiliation. Except as described in the Registration Statement, the Pricing Disclosure Package and the Prospectus, to the
Company’s knowledge, there is no (i) officer or director of the Company, (ii) beneficial owner of 10% or more of any class of the
Company’s securities or (iii) beneficial owner of the Company’s unregistered equity securities which were acquired during
the 180-day period immediately preceding the filing of the Registration Statement, that is an affiliate or associated person of a FINRA
member participating in the Offering (as determined in accordance with the rules and regulations of FINRA).

Information. To the Company’s knowledge, all information provided by the Company in its FINRA questionnaire to Representative
Counsel specifically for use by Representative Counsel in connection with its Public Offering System filings (and related disclosure)
with FINRA is true, correct and complete in all material respects.

Foreign Corrupt Practices Act. None of the Company or its Subsidiaries, or to the Company’s knowledge, any director, officer,
agent, employee or affiliate of the Company and its Subsidiaries or any other person acting on behalf of the Company and its Subsidiaries,
has, directly or indirectly, given or agreed to give any money, gift or similar benefit (other than legal price concessions to customers
in the ordinary course of business) to any customer, supplier, employee or agent of a customer or supplier, or official or employee of
any governmental agency or instrumentality of any government (domestic or foreign) or any political party or candidate for office (domestic
or foreign) or other person who was, is, or may be in a position to help or hinder the business of the Company (or assist it in connection
with any actual or proposed transaction) that (i) might subject the Company to any damage or penalty in any civil, criminal or governmental
litigation or proceeding, (ii) if not given in the past, might have had a Material Adverse Change or (iii) if not continued in the future,
might adversely affect the assets, business, operations or prospects of the Company. The Company has taken reasonable steps to ensure
that its accounting controls and procedures are sufficient to cause the Company to comply in all material respects with the Foreign Corrupt
Practices Act of 1977, as amended.

Compliance with Sanctions. Neither the Company nor any of its Subsidiaries nor, to the knowledge of the Company, any director,
officer, employee, agent, affiliate or other person associated with or acting on behalf of the Company or any of its Subsidiaries is
currently the subject or the target of any sanctions administered or enforced by the U.S. government (including, without limitation,
the Office of Foreign Assets Control of the U.S. Department of the Treasury (“OFAC”) or the U.S. Department of State
and including, without limitation, the designation as a “specially designated national” or “blocked person”),
the United Nations Security Council (“UNSC”), the European Union, HM Treasury (“HMT”), or other
relevant sanctions authority (collectively, “Sanctions”), nor is the Company, any of its Subsidiaries located, organized
or resident in a country or territory that is the subject or target of Sanctions, including, without limitation, the Crimea Region and
the non-government controlled areas of the Zaporizhzhia and Kherson Regions of Ukraine, the so-called Luhansk People’s Republic
or any other Covered Region of Ukraine identified pursuant to Executive Order 14065, Cuba, Iran, North Korea, and Syria (each, a “Sanctioned
Country”); and the Company will not directly or indirectly use the proceeds of the Offering hereunder, or lend, contribute
or otherwise make available such proceeds to any Subsidiary, joint venture partner or other person or entity (A) to fund or facilitate
any activities of or business with any person that, at the time of such funding or facilitation, is the subject or target of Sanctions,
(B) to fund or facilitate any activities of or business in any Sanctioned Country or (C) in any other manner that will result in a violation
by any person (including any person participating in the transaction, whether as underwriter, initial purchaser, advisor, investor or
otherwise) of Sanctions. For the past ten years, the Company and its Subsidiaries have not knowingly engaged in, and are not now knowingly
engaged in any dealings or transactions with any person that at the time of the dealing or transaction is or was the subject or the target
of Sanctions or with any Sanctioned Country.

Money Laundering Laws. The operations of the Company and its Subsidiaries are and have been conducted at all times in compliance
with applicable financial recordkeeping and reporting requirements of the Currency and Foreign Transactions Reporting Act of 1970, as
amended, the money laundering statutes of all applicable jurisdictions, the rules and regulations thereunder and any related or similar
rules, regulations or guidelines, issued, administered or enforced by any Governmental Entity (collectively, the “Money Laundering
Laws”); and no action, suit or proceeding by or before any Governmental Entity involving the Company with respect to the Money
Laundering Laws is pending or, to the knowledge of the Company, threatened.

Officers’ Certificate. Any certificate signed by any duly authorized officer of the Company and delivered to you or to Representative
Counsel shall be deemed a representation and warranty by the Company to the Underwriters as to the matters covered thereby.

Lock-Up Agreements. Schedule 3 hereto contains a complete and accurate list of the Company’s officers, directors
and holders of record of the Company’s outstanding shares of Common Stock (collectively, the “Lock-Up Parties”).
The Company has caused each of the Lock-Up Parties to deliver to the Representative an executed Lock-Up Agreement, in the form attached
hereto as Exhibit A (the “Lock-Up Agreement”), prior to the execution of this Agreement.

Related Party Transactions. There are no business relationships or related party transactions involving the Company or any other
person required to be described in the Registration Statement, the Pricing Disclosure Package and the Prospectus that have not been described
as required by the Securities Act.

Board of Directors. The Board of Directors of the Company is comprised of the persons set forth under the heading of the Pricing
Prospectus and the Prospectus captioned “Management.” The qualifications of the persons serving as board members and the
overall composition of the board comply with the Exchange Act, the Exchange Act Regulations, the Sarbanes-Oxley Act of 2002 and the rules
promulgated thereunder (the “Sarbanes-Oxley Act”) applicable to the Company and the listing rules of the Exchange.
At least one member of the Audit Committee of the Board of Directors of the Company qualifies as an “audit committee financial
expert,” as such term is defined under Regulation S-K and the listing rules of the Exchange. In addition, at least a majority of
the persons serving on the Board of Directors qualify as “independent,” as defined under the listing rules of the Exchange.

Sarbanes-Oxley Compliance.

Disclosure Controls. The Company has taken all necessary actions to ensure that, in the time periods required, the Company will
comply with Rule 13a-15 or 15d-15, as applicable, under the Exchange Act Regulations, and such controls and procedures are effective
to ensure that all material information concerning the Company will be made known on a timely basis to the individuals responsible for
the preparation of the Company’s Exchange Act filings and other public disclosure documents.