ANNUAL REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934
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TRANSITION REPORT PURSUANT TO SECTION 13 OR 15 (d) OF THE SECURITIES EXCHANGE ACT OF 1934
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(State or other jurisdiction of incorporation or organization)
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(I.R.S. Employer Identification No.)
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Title of each class
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Trading Symbol
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Name of each exchange on which registered
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Large accelerated filer
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☐ |
Accelerated filer
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☐ |
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Smaller reporting company
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Emerging growth company
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ITEM 15.
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EXHIBITS
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Exhibit No.
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Description
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Amended and Restated Certificate of Incorporation of the Registrant, as amended.
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Certification of CEO as Required by Rule 13a-14(a) or Rule 15d-14(a).
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Certification of CFO as Required by Rule 13a-14(a) or Rule 15d-14(a).
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104
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Cover Page Interactive Data File (formatted as inline XBRL and contained in Exhibit 101).
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FIRST WAVE BIOPHARMA, INC.
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May 10, 2022
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By: |
/s/ James Sapirstein
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Name: James Sapirstein
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Title: President and Chief Executive Officer
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1. |
I have reviewed this Amendment No. 1 to the Annual Report on Form 10-K/A of the Company; and
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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.
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Date: May 10, 2022
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/s/ James Sapirstein
James Sapirstein
Chief Executive Officer
(Principal Executive Officer)
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1. |
I have reviewed this Amendment No. 1 to the Annual Report on Form 10-K/A of the Company; and
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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.
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Date: May 10, 2022
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/s/ Sarah Romano
Sarah Romano
Chief Financial Officer
(Principal Financial and Accounting Officer)
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