SEC Filing Document

Company: BIOVENTRIX, INC.
Ticker: 
CIK: 1283259
Filing Type: DRS
Document Type: DRS
Date Filed: 2025-08-05
Accession Number: 0001641172-25-022123
Exchange: 
SIC Code: 3841
SIC Description: Surgical & Medical Instruments & Apparatus
URL: https://www.sec.gov/Archives/edgar/data/1283259/000164117225022123/filename1.htm

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shares of Series A-1 Preferred Stock are then subject to immediate mandatory conversion into Common Stock at a conversion rate equal to the greater of (A) the then effective conversion rate as calculated pursuant to Section 5 of the Certificate of Designations of Rights, Preferences and Privileges of Series A-1 Preferred Stock or (B) three times (3x) the original issue price of the Series A Preferred Stock divided by the price per share of the Common Stock issued in this offering. Item 16. Exhibits The following is a list of exhibits filed as a part of this registration statement: Exhibit Number Description of Document 1.1 Form of Underwriting Agreement* 3.1 Third Amended and Restated Certificate of Incorporation of BioVentrix, Inc. 3.2 Amendment No. 1 to Third Amended and Restated Certificate of Incorporation of BioVentrix, Inc. 3.3 Amendment No. 2 to Third Amended and Restated Certificate of Incorporation of BioVentrix, Inc.

3.4 Fourth
Amended and Restated Certificate of Incorporation of BioVentrix, Inc., effective upon the consummation of the offering.*

3.5 Bylaws of BioVentrix, Inc.

3.6 Certificate of Designations

3.8 Bioventrix - Certificate of Designations of the Series A-1 Preferred Stock

3.9 Certificate of Amendment of Certificate of Designations Series A-1 Preferred Stock

3.10 2nd Certificate of Correction of Certificate of Designation of Series A-1 Preferred Stock

3.11 Certificate
of First Amendment of Certificate of Designations of the Series A-1 Preferred Stock

3.12 Certificate of Second Amendment of Certificate of Designations of the Series A-1 Preferred Stock

3.13 Certificate of Correction to the Second Amendment of Certificate of Designations of the Series A-1 Preferred Stock

3.14 Certificate of Third Amendment of Certificate of Designations of the Series A-1 Preferred Stock

3.15 Bioventrix - DE Certificate of Designations of the Series B Preferred Stock

3.16 Bioventrix - Certificate of Designations of Series B Preferred Stock

3.17 Certificate of Correction of Certificate of Designation of the Series B Preferred Stock

4.1 Form
of Representative’s Warrant*

5.1 Opinion
of Ellenoff Grossman & Schole LLP*

10.1 Form
of Indemnification Agreement*

Equity Incentive Plan

Equity Incentive Plan*

10.4 Form of Employment Agreement*

14.1 Form
of Code of Ethics of BioVentrix, Inc.

21.1 List
of Subsidiaries

23.1 Consent
of M&K CPAS PLLC, Independent Registered Public Accounting Firm

23.2 Consent
of Ellenoff Grossman & Schole LLP (contained in Exhibit 5.1)*

24.1 Powers of Attorney (included on signature page to Registration Statement filed [●])

99.1 Form
of Audit Committee Charter

99.2 Form
of Compensation Committee Charter

99.3 Form
of Nominating and Corporate Governance Committee Charter

99.4 Consent
of Mark Ravich to be named as a director.

99.4 Consent
of [  ] to be named as a director.

99.4 Consent
of [  ] to be named as a director.

107 Filing
Fee Table*

*	Indicates
to be filed by amendment.

Item
17. Undertakings

The
undersigned registrant hereby undertakes:

file, during any period in which offers or sales are being made, a post-effective amendment to this registration statement:

include any prospectus required by section 10(a)(3) of the Securities Act of 1933;

reflect in the prospectus any facts or events arising after the effective date of the registration statement (or the most recent
post-effective amendment thereof) which, individually or in the aggregate, represent a fundamental change in the information set
forth in the registration statement. Notwithstanding the foregoing, any increase or decrease in volume of securities offered (if
the total dollar value of securities offered would not exceed that which was registered) and any deviation from the low or high end
of the estimated maximum offering range may be reflected in the form of prospectus filed with the Commission pursuant to Rule 424(b)
if, in the aggregate, the changes in volume and price represent no more than 20% change in the maximum aggregate offering price set
forth in the “Calculation of Filing Fee Tables” or “Calculation of Registration Fee” table, as applicable,
in the effective registration statement.

include any material information with respect to the plan of distribution not previously disclosed in the registration statement
or any material change to such information in the registration statement.

2.	That,
for the purpose of determining any liability under the Securities Act of 1933, each such post-effective amendment shall be deemed
to be a new registration statement relating to the securities offered therein, and the offering of such securities at that time shall
be deemed to be the initial bona fide offering thereof.

remove from registration by means of a post-effective amendment any of the securities being registered which remain unsold at the
termination of the offering.

4.	That,
for the purpose of determining liability under the Securities Act of 1933 to any purchaser:

the registrant is relying on Rule 430B, each prospectus required to be filed pursuant to Rule 424(b)(2), (b)(5), or (b)(7) as part
of a registration statement in reliance on Rule 430B relating to an offering made pursuant to Rule 415(a)(1)(i), (vii), or (x) for
the purpose of providing the information required by section 10(a) of the Securities Act of 1933 shall be deemed to be part of and
included in the registration statement as of the earlier of the date such form of prospectus is first used after effectiveness or
the date of the first contract of sale of securities in the offering described in the prospectus. As provided in Rule 430B, for liability
purposes of the issuer and any person that is at that date an underwriter, such date shall be deemed to be a new effective date of
the registration statement relating to the securities in the registration statement to which that prospectus relates, and the offering
of such securities at that time shall be deemed to be the initial bona fide offering thereof. Provided, however, that no statement
made in a registration statement or prospectus that is part of the registration statement or made in a document incorporated or deemed
incorporated by reference into the registration statement or prospectus that is part of the registration statement will, as to a
purchaser with a time of contract of sale prior to such effective date, supersede or modify any statement that was made in the registration
statement or prospectus that was part of the registration statement or made in any such document immediately prior to such effective
date.

5.	That,
for the purpose of determining liability of the registrant under the Securities Act of 1933 to any purchaser in the initial distribution
of the securities:

a.	The
undersigned registrant undertakes that in a primary offering of securities of the undersigned registrant pursuant to this registration
statement, regardless of the underwriting method used to sell the securities to the purchaser, if the securities are offered or sold
to such purchaser by means of any of the following communications, the undersigned registrant will be a seller to the purchaser and
will be considered to offer or sell such securities to such purchaser:

i.	Any
preliminary prospectus or prospectus of the undersigned registrant relating to the offering required to be filed pursuant to Rule

ii.	Any
free writing prospectus relating to the offering prepared by or on behalf of the undersigned registrant or used or referred to by
the undersigned registrant;

iii.	The
portion of any other free writing prospectus relating to the offering containing material information about the undersigned registrant
or its securities provided by or on behalf of the undersigned registrant; and

iv.	Any
other communication that is an offer in the offering made by the undersigned registrant to the purchaser.

6.	Insofar
as indemnification for liabilities arising under the Securities Act of 1933 may be permitted to directors, officers and controlling
persons of the registrant pursuant to the foregoing provisions, or otherwise, the registrant has been advised that in the opinion
of the Securities and Exchange Commission such indemnification is against public policy as expressed in the Act and is, therefore,
unenforceable. In the event that a claim for indemnification against such liabilities (other than the payment by the registrant of
expenses incurred or paid by a director, officer or controlling person of the registrant in the successful defense of any action,
suit or proceeding) is asserted by such director, officer or controlling person in connection with the securities being registered,
the registrant will, unless in the opinion of its counsel the matter has been settled by controlling precedent, submit to a court
of appropriate jurisdiction the question whether such indemnification by it is against public policy as expressed in the Act and
will be governed by the final adjudication of such issue.

7.	The
undersigned registrant hereby undertakes that:

a.	For
purposes of determining any liability under the Securities Act of 1933, the information omitted from the form of prospectus filed
as part of this registration statement in reliance upon Rule 430A and contained in a form of prospectus filed by the registrant pursuant
to Rule 424(b) (1) or (4) or 497(h) under the Securities Act shall be deemed to be part of this registration statement as of the
time it was declared effective.