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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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.

Compliance. The Company is, or at the Applicable Time and on the Closing Date and on any Option Closing Date will be, in material
compliance with the provisions of the Sarbanes-Oxley Act applicable to it, and has implemented or will implement such programs and taken
reasonable steps to ensure the Company’s future compliance (not later than the relevant statutory and regulatory deadlines therefor)
with all of the material provisions of the Sarbanes-Oxley Act then applicable to it.

Accounting Controls. Except as disclosed in the Registration Statement, the Pricing Disclosure Package and the Prospectus, the
Company and its Subsidiaries maintain systems of “internal control over financial reporting” (as defined under Rules 13a-15
and 15d-15 under the Exchange Act Regulations) that comply in all material respects with the requirements of the Exchange Act and have
been designed by, or under the supervision of, their respective principal executive and principal financial officers, or persons performing
similar functions, to provide reasonable assurance regarding the reliability of financial reporting and the preparation of financial
statements for external purposes in accordance with GAAP, including, but not limited to, internal accounting controls sufficient to provide
reasonable assurance that (i) transactions are executed in accordance with management’s general or specific authorizations; (ii)
transactions are recorded as necessary to permit preparation of financial statements in conformity with GAAP and to maintain asset accountability;
(iii) access to assets is permitted only in accordance with management’s general or specific authorization; and (iv) the recorded
accountability for assets is compared with the existing assets at reasonable intervals and appropriate action is taken with respect to
any differences. Except as disclosed in the Registration Statement, the Pricing Disclosure Package and the Prospectus, the Company is
not aware of any material weaknesses in its internal controls. To the Company’s knowledge, the Auditor and the Audit Committee
of the Board of Directors of the Company have been advised of: (i) all significant deficiencies and material weaknesses in the design
or operation of internal controls over financial reporting which are known to the Company’s management and that have adversely
affected or are reasonably likely to adversely affect the Company’s ability to record, process, summarize and report financial
information; and (ii) any fraud known to the Company’s management, whether or not material, that involves management or other employees
who have a significant role in the Company’s internal controls over financial reporting. Notwithstanding any provision above, nothing
in this Agreement requires the Company to comply with Section 404 of the Sarbanes-Oxley Act and the rules and regulations promulgated
in connection therewith as of an earlier date than it would otherwise be required to do so under applicable law.

No Investment Company Status. The Company and each of its Subsidiaries is not and, after giving effect to the Offering and the
application of the proceeds thereof, as described in the Registration Statement, the Pricing Disclosure Package and the Prospectus, will
not be, required to register as an “investment company,” as defined in the Investment Company Act of 1940, as amended.

No Labor Disputes. No labor dispute with the employees of the Company or any of its Subsidiaries exists or, to the knowledge of
the Company, is imminent.

Intellectual Property Rights. The Company and each of its Subsidiaries owns or possesses or has valid rights to use the domain
names (“Intellectual Property Rights”) necessary for the conduct of the business of the Company and its Subsidiaries
as now conducted or, otherwise, as disclosed in the Registration Statement, the Pricing Disclosure Package and the Prospectus. To the
knowledge of the Company, no action or use by the Company or any of its Subsidiaries necessary for the conduct of its business as currently
carried on and as described in the Registration Statement and the Prospectus will involve or give rise to any infringement of, or license
or similar fees for, any Intellectual Property Rights of others, except as described in the Registration Statement, the Pricing Disclosure
Package and the Prospectus. Neither the Company nor any of its Subsidiaries has received any notice alleging any such infringement, fee
or conflict with asserted Intellectual Property Rights of others. Except as would not reasonably be expected to result, individually
or in the aggregate, in a Material Adverse Change (A) to the knowledge of the Company, there is no infringement, misappropriation or
violation by third parties of any of the Intellectual Property Rights owned by the Company; (B) there is no pending or, to the knowledge
of the Company, threatened action, suit, proceeding or claim by others challenging the rights of the Company in or to any such Intellectual
Property Rights, and the Company is unaware of any facts which would form a reasonable basis for any such claim; (C) to the knowledge
of the Company, the Intellectual Property Rights owned by the Company and, to the knowledge of the Company, the Intellectual Property
Rights licensed to the Company have not been adjudged by a court of competent jurisdiction invalid or unenforceable, in whole or in part,
and there is no pending, to the knowledge of the Company, threatened action, suit, proceeding or claim by others challenging the validity
or scope of any such Intellectual Property Rights, and the Company is unaware of any facts which would form a reasonable basis for any
such claim; (D) there is no pending or, to the Company’s knowledge, threatened action, suit, proceeding or claim by others that
the Company infringes, misappropriates or otherwise violates any Intellectual Property Rights or other proprietary rights of others,
the Company has not received any written notice of such claim and the Company is unaware of any other facts which would form a reasonable
basis for any such claim; and (E) to the Company’s knowledge, no employee of the Company is in or has ever been in violation of
any term of any employment contract, patent disclosure agreement, invention assignment agreement, non-competition agreement, non-solicitation
agreement, nondisclosure agreement or any restrictive covenant to or with a former employer where the basis of such violation relates
to such employee’s employment with the Company, or actions undertaken by the employee while employed with the Company. To the Company’s
knowledge, all material technical information developed by and belonging to the Company which has not been patented has been kept confidential.
The Company is not a party to or bound by any options, licenses or agreements with respect to the Intellectual Property Rights of any
other person or entity that are required to be set forth in the Registration Statement, the Pricing Disclosure Package and the Prospectus
and are not described therein. The Registration Statement, the Pricing Disclosure Package and the Prospectus contain in all material
respects the same description of the matters set forth in the preceding sentence. None of the technology employed by the Company has
been obtained or is knowingly being used by the Company in violation of any contractual obligation binding on the Company or, to the
Company’s knowledge, any of its officers, directors or employees, or otherwise in violation of the rights of any persons.