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SEC Filings
All companies that sell securities in the United States must register with the Securities and Exchange Commission (SEC) and file reports on a regular basis.
These reports include company annual reports (10K, 10Q), news updates (8K), investor presentations (found in 8Ks), insider trades (form 4), ownership reports (13D, and 13G), and reports related to the specific securities sold, such as registration statements and prospectus. This page shows recent SEC filings related to Atheronova Inc
SEC Filings (Chronological Order)
Denne side giver en komplet, kronologisk liste over SEC-arkiveringer, eksklusive ejerskabsregistreringer, som vi leverer andre steder.
| February 12, 2016 |
AHROQ / Atheronova, Inc. / Empery Asset Management, LP - ATHERONOVA, INC. Passive Investment SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G/A Under the Securities Exchange Act of 1934 (Amendment No. 2)* AtheroNova, Inc. (Name of Issuer) Common Stock, $0.0001 par value (Title of Class of Securities) 047438304 (CUSIP Number) December 31, 2015 (Date of event which requires filing of this statement) Check the appropriate box to designate the rule pursuant to which this |
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| March 3, 2015 |
AtheroNova and its Subsidiary File for Chapter 11 Bankruptcy Protection ahro201503028k.htm Exhibit 99.1 FOR IMMEDIATE RELEASE AtheroNova and its Subsidiary File for Chapter 11 Bankruptcy Protection IRVINE, CA: March 3, 2015 – AtheroNova Inc. (OTCQB: AHRO) today announced that the Company and its subsidiary, AtheroNova Operations, Inc., filed voluntary petitions under Chapter 11 of the U.S. Bankruptcy Code in the U.S. Bankruptcy Court, Central District of California, S |
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| March 3, 2015 |
Financial Statements and Exhibits, Bankruptcy or Receivership 8-K 1 ahro201503028k.htm FORM 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report: (Date of earliest event reported) March 2, 2015 ATHERONOVA INC. (Exact name of registrant as specified in charter) Delaware (State or other Jurisdiction of Incorporation or Organizati |
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| February 19, 2015 |
AtheroNova Receives Additional Notices of Debt Acceleration EX-99.1 2 ex99-1.htm EXHIBIT 99.1 Exhibit 99.1 FOR IMMEDIATE RELEASE AtheroNova Receives Additional Notices of Debt Acceleration IRVINE, CA: February 19, 2015 – AtheroNova Inc. (OTCQB: AHRO) today announced that after its filing of a Current Report on Form 8-K disclosing that on February 12, 2015 it received a notice of acceleration from Europa International, Inc., the holder of a 2.5% Senior Secu |
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| February 19, 2015 |
Financial Statements and Exhibits, Other Events ahro201502198k.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report: (Date of earliest event reported) February 19, 2015 ATHERONOVA INC. (Exact name of registrant as specified in charter) Delaware (State or other Jurisdiction of Incorporation or Organization) 000-523 |
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| February 13, 2015 |
ahro201502128k.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report: (Date of earliest event reported) February 12, 2015 ATHERONOVA INC. (Exact name of registrant as specified in charter) Delaware (State or other Jurisdiction of Incorporation or Organization) 000-523 |
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| February 6, 2015 |
AHROQ / Atheronova, Inc. / ACT Capital Management, LLLP - SC 13G/A Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 3)* AtheroNova Inc. (Name of Issuer) Common Stock (Title of Class of Securities) 047438205 (CUSIP Number) December 31, 2014 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Schedul |
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| January 12, 2015 |
AHROQ / Atheronova, Inc. / Empery Asset Management, LP - ATHERONOVA, INC. Passive Investment SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G/A Under the Securities Exchange Act of 1934 (Amendment No. 1)* AtheroNova, Inc. (Name of Issuer) Common Stock, $0.0001 par value (Title of Class of Securities) 047438304 (CUSIP Number) December 31, 2014 (Date of event which requires filing of this statement) Check the appropriate box to designate the rule pursuant to which this |
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| December 23, 2014 |
AHROQ / Atheronova, Inc. / Empery Asset Management, LP - ATHERONOVA, INC. Passive Investment SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* AtheroNova, Inc. (Name of Issuer) Common Stock, $0.0001 par value (Title of Class of Securities) 047438304 (CUSIP Number) October 28, 2014 (Date of event which requires filing of this statement) Check the appropriate box to designate the rule pursuant to which this Sch |
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| December 9, 2014 |
8-K 1 ahro201412088k.htm FORM 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report: (Date of earliest event reported) December 3, 2014 ATHERONOVA INC. (Exact name of registrant as specified in charter) Delaware (State or other Jurisdiction of Incorporation or Organiz |
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| November 20, 2014 |
ahro201411198k.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report: (Date of earliest event reported) November 14, 2014 ATHERONOVA INC. (Exact name of registrant as specified in charter) Delaware (State or other Jurisdiction of Incorporation or Organization) 000-523 |
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| November 19, 2014 |
Atheronova FORM 10-Q (Quarterly Report) ahro2014093010q.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 10-Q ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2014 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number 000-52315 |
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| November 14, 2014 |
AHROQ / Atheronova, Inc. NT 10-Q - - FORM NT 10-Q ahro20141113nt10q.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 12b-25 OMB APPROVAL OMB Number: 3235-0058 Expires: Estimated average burden hours per response…2.50 SEC File Number: 000-52315 CUSIP Number: 047438 304 NOTIFICATION OF LATE FILING (Check one) Form 10-K Form 20-F Form 11-K XForm 10-Q Form 10-D Form N-SAR Form-CSR For period ended September 30, 2014 ☐Tra |
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| October 31, 2014 |
ATHERONOVA INC. WARRANT AGENCY AGREEMENT Exhibit 4.1 ATHERONOVA INC. WARRANT AGENCY AGREEMENT WARRANT AGENCY AGREEMENT (this “Warrant Agreement”) made as of October 31, 2014 (the “Issuance Date”), between AtheroNova Inc., a Delaware corporation, with offices at 2301 Dupont Drive, Suite 525, Irvine, CA 92612 (the “Company”), and Securities Transfer Corporation, with offices at 2591 Dallas Parkway, Suite 102, Frisco, Texas 75034 (“Warrant |
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| October 31, 2014 |
Entry into a Material Definitive Agreement, Financial Statements and Exhibits ahro201410308k.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): October 31, 2014 ATHERONOVA INC (Exact name of registrant as specified in its charter) Delaware (State or other jurisdiction of incorporation) 000-52315 20-1915083 |
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| October 29, 2014 |
ahro20140916s1a.htm Filed Pursuant to Rule 424(b)(4) Registration Nos. 333-194645 and 333-199628 4,000,000 Shares of Common Stock Warrants to Purchase 5,000,000 Shares of Common Stock We are offering 4,000,000 shares of our common stock and warrants to purchase up to an aggregate of 5,000,000 shares of our common stock pursuant to this prospectus. Each share of common stock is being sold together |
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| October 28, 2014 |
AHROQ / Atheronova, Inc. S-1MEF - - FORM S-1MEF ahro20141027s1mef.htm As filed with the Securities and Exchange Commission on October 28, 2014 Registration No. 333- UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form S-1 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 ATHERONOVA INC. (Exact name of registrant as specified in its charter) Delaware 2834 20-1915083 (State or Other Jurisdiction of Incorporation or O |
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| October 27, 2014 |
AHROQ / Atheronova, Inc. S-1/A - - FORM S-1/A ahro20140916s1a.htm As filed with the Securities and Exchange Commission on October 27, 2014 Registration No. 333- 194645 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 AMENDMENT NO. 5 TO FORM S-1 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 ATHERONOVA INC. (Exact name of registrant as specified in its charter) Delaware 2834 20-1915083 (State or other jurisdicti |
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| October 27, 2014 |
ATHERONOVA INC. FORM OF WARRANT AGENCY AGREEMENT ex4-5.htm Exhibit 4.5 ATHERONOVA INC. FORM OF WARRANT AGENCY AGREEMENT WARRANT AGENCY AGREEMENT (this “Warrant Agreement”) made as of [], 2014 (the “Issuance Date”), between Atheronova Inc., a Delaware corporation, with offices at 2301 Dupont Drive, Suite 525, Irvine, CA 92612 (“Company”), and Securities Transfer Corporation, with offices at 2591 Dallas Parkway, Suite 102, Frisco, Texas 75034 (“Wa |
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| October 24, 2014 |
AHROQ / Atheronova, Inc. S-1/A - - FORM S-1/A ahro20140916s1a.htm As filed with the Securities and Exchange Commission on October 24, 2014 Registration No. 333- 194645 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 AMENDMENT NO. 4 TO FORM S-1 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 ATHERONOVA INC. (Exact name of registrant as specified in its charter) Delaware 2834 20-1915083 (State or other jurisdicti |
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| October 24, 2014 |
ATHERONOVA INC. FORM OF WARRANT AGENCY AGREEMENT ex4-5.htm Exhibit 4.5 ATHERONOVA INC. FORM OF WARRANT AGENCY AGREEMENT WARRANT AGENCY AGREEMENT (this “Warrant Agreement”) made as of [], 2014 (the “Issuance Date”), between Atheronova Inc., a Delaware corporation, with offices at 2301 Dupont Drive, Suite 525, Irvine, CA 92612 (“Company”), and Securities Transfer Corporation, with offices at 2591 Dallas Parkway, Suite 102, Frisco, Texas 75034 (“Wa |
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| October 24, 2014 |
AHROQ / Atheronova, Inc. CORRESP - - ahro20141024bcorresp.htm AtheroNova, Inc. 2301 Dupont Drive, Suite 525 Irvine, CA 92612 October 24, 2014 SUBMITTED VIA EDGAR Securities and Exchange Commission Division of Corporation Finance 100 F Street, N.E. Washington, D.C. 20549 Attention: Johnny Gharib Re: AtheroNova, Inc. Request for Acceleration of Effective Date of the Registration Statement on Form S-1 (File No. 333-194645) Ladies and Ge |
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| October 24, 2014 |
AHROQ / Atheronova, Inc. CORRESP - - ahro20141024corresp.htm October 24, 2014 Securities and Exchange Commission 100 F. Street, NE Washington, D.C. 20549 Re: AtheroNova Inc. Registration Statement on Form S-1 File No. 333-194645 VIA EDGAR Ladies and Gentlemen: Pursuant to Rule 461 of the General Rules and Regulations of the U.S. Securities and Exchange Commission under the Securities Act of 1933, as amended, Aegis Capital Corp, and M |
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| October 21, 2014 |
AHROQ / Atheronova, Inc. CORRESP - - ahro20141021corresp.htm AtheroNova, Inc. 2301 Dupont Drive, Suite 525 Irvine, CA 92612 October 21, 2014 SUBMITTED VIA EDGAR Securities and Exchange Commission Division of Corporation Finance 100 F Street, N.E. Washington, D.C. 20549 Attention: Johnny Gharib Re: AtheroNova, Inc. Request for Acceleration of Effective Date of the Registration Statement on Form S-1 (File No. 333-194645) Ladies and Gen |
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| October 16, 2014 |
Exhibit 1.1 UNDERWRITING AGREEMENT New York, New York [•], 2014 Aegis Capital Corp. As Representative of the several Underwriters named on Schedule 1 attached hereto 810 Seventh Avenue, 18th Floor New York, New York 10019 Ladies and Gentlemen: The undersigned, AtheroNova Inc., a corporation formed under the laws of the State of Delaware (collectively with its subsidiaries and affiliates, including |
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| October 16, 2014 |
AHROQ / Atheronova, Inc. S-1/A - - FORM S-1/A ahro20140916s1a.htm As filed with the Securities and Exchange Commission on October 16, 2014 Registration No. 333- 194645 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 AMENDMENT NO. 3 TO FORM S-1 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 ATHERONOVA INC. (Exact name of registrant as specified in its charter) Delaware 2834 20-1915083 (State or other jurisdicti |
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| October 9, 2014 |
AHROQ / Atheronova, Inc. S-1/A - - FORM S-1/A ahro20140916s1a.htm As filed with the Securities and Exchange Commission on October 9, 2014 Registration No. 333- 194645 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 AMENDMENT NO. 2 TO FORM S-1 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 ATHERONOVA INC. (Exact name of registrant as specified in its charter) Delaware 2834 20-1915083 (State or other jurisdictio |
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| October 9, 2014 |
AHROQ / Atheronova, Inc. CORRESP - - ahro20141008corresp.htm October 9, 2014 VIA EDGAR CORRESPONDENCE Securities and Exchange Commission Division of Corporation Finance 100 F Street, N.E. Washington, D.C. 20549 Attention: Johnny Gharib RE: Atheronova, Inc. Registration Statement on Form S-1 Filed March 18, 2014, As Amended September 19, 2014 File No. 333-194645 Ladies and Gentlemen: Atheronova, Inc. (the “Company,” “we” or “us”) here |
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| October 9, 2014 |
EX-1 2 ex1-1.htm EXHIBIT 1.1 Exhibit 1.1 UNDERWRITING AGREEMENT New York, New York [•], 2014 Aegis Capital Corp. As Representative of the several Underwriters named on Schedule 1 attached hereto 810 Seventh Avenue, 18th Floor New York, New York 10019 Ladies and Gentlemen: The undersigned, AtheroNova Inc., a corporation formed under the laws of the State of Delaware (collectively with its subsidiar |
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| October 9, 2014 |
ATHERONOVA INC. FORM OF WARRANT AGENCY AGREEMENT ex4-5.htm Exhibit 4.5 ATHERONOVA INC. FORM OF WARRANT AGENCY AGREEMENT WARRANT AGENCY AGREEMENT (this “Warrant Agreement”) made as of [], 2014 (the “Issuance Date”), between Atheronova Inc., a Delaware corporation, with offices at 2301 Dupont Drive, Suite 525, Irvine, CA 92612 (“Company”), and Securities Transfer Corporation, with offices at 2591 Dallas Parkway, Suite 102, Frisco, Texas 75034 (“Wa |
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| September 19, 2014 |
AHROQ / Atheronova, Inc. S-1/A - - FORM S-1/A S-1/A 1 ahro20140916s1a.htm FORM S-1/A As filed with the Securities and Exchange Commission on September 18, 2014 Registration No. 333- 194645 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 AMENDMENT NO. 1 TO FORM S-1 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 ATHERONOVA INC. (Exact name of registrant as specified in its charter) Delaware 2834 20-1915083 (Stat |
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| September 16, 2014 |
ex10-4.htm Exhibit 10.4 SECURITY AGREEMENT This SECURITY AGREEMENT, dated as of September 12, 2014 (this “Agreement”), is among AtheroNova Inc., a Delaware corporation (the “Company”), all of the Subsidiaries of the Company (such Subsidiaries, the “Guarantors”, and together with the Company, the “Debtors”), and the holders, each signatory hereto, of the Company’s 8% Senior Secured Convertible Note |
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| September 16, 2014 |
Exhibit 10.6 SUBSIDIARY GUARANTEE THIS SUBSIDIARY GUARANTEE, dated as of September 12, 2014 (this “Guarantee”), is made by each of the signatories hereto (together with any other entity that may become a party hereto as provided herein, the “Guarantors”, and together with the Company (as defined below), the “Debtors”), in favor of the purchasers (including such purchasers’ successors, transferees |
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| September 16, 2014 |
EX-10 2 ex10-1.htm EXHIBIT 10.1 Exhibit 10.1 SECURITIES PURCHASE AGREEMENT This Securities Purchase Agreement (this “Agreement”) is dated as of September 12, 2014 among AtheroNova Inc., a Delaware corporation (the “Company”), each purchaser identified on the signature pages hereto (each, including its successors and assigns, a “Purchaser” and collectively the “Purchasers”), and W-Net Fund I, L.P., |
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| September 16, 2014 |
ahro201409158k.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report: (Date of earliest event reported) September 12, 2014 ATHERONOVA INC. (Exact name of registrant as specified in charter) Delaware (State or other Jurisdiction of Incorporation or Organization) 000-52 |
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| September 16, 2014 |
ATHERONOVA INC. [FORM OF] 8% SENIOR SECURED CONVERTIBLE NOTE ex10-2.htm Exhibit 10.2 THIS 8% SENIOR SECURED CONVERTIBLE NOTE (THIS “NOTE”) HAS NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE “SECURITIES ACT”), OR THE SECURITIES LAWS OF ANY STATE, AND HAS BEEN ACQUIRED FOR INVESTMENT AND NOT WITH A VIEW TO, OR IN CONNECTION WITH, THE SALE OR DISTRIBUTION THEREOF. NO SUCH SALE OR DISPOSITION MAY BE EFFECTED WITHOUT AN EFFECTIVE REGISTRAT |
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| September 16, 2014 |
ATHERONOVA INC. [FORM OF] COMMON STOCK PURCHASE WARRANT Exhibit 10.3 NEITHER THIS SECURITY NOR THE SECURITIES FOR WHICH THIS SECURITY IS EXERCISABLE HAVE BEEN REGISTERED WITH THE SECURITIES AND EXCHANGE COMMISSION OR THE SECURITIES COMMISSION OF ANY STATE IN RELIANCE UPON AN EXEMPTION FROM REGISTRATION UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE “SECURITIES ACT”), AND, ACCORDINGLY, MAY NOT BE OFFERED OR SOLD EXCEPT PURSUANT TO AN EFFECTIVE REGIST |
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| September 16, 2014 |
INTELLECTUAL PROPERTY SECURITY AGREEMENT ex10-5.htm Exhibit 10.5 INTELLECTUAL PROPERTY SECURITY AGREEMENT This INTELLECTUAL PROPERTY SECURITY AGREEMENT (this “Agreement”), dated as of September 12, 2014, is made by AtheroNova Inc., a Delaware corporation (the “Company”), and all of the Subsidiaries of the Company (such Subsidiaries, the “Guarantors”, and together with the Company, the “Grantors”), in favor of the holders of the Company’s |
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| August 5, 2014 |
MANAGEMENT CONSULTING AGREEMENT ex10-1.htm Exhibit 10.1 MANAGEMENT CONSULTING AGREEMENT This Non-Exclusive MANAGEMENT CONSULTING AGREEMENT (the ?Agreement?) is entered into this 7th day of May, 2014 (the ?Signing Date?) and is effective as of April 28, 2014 (the ?Commencement Date?), between ATHERONOVA INC., a Delaware corporation (the ?Company?) and THOMAS GARDNER (the ?Consultant?). WHEREAS, the Board of Directors of the Compa |
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| August 5, 2014 |
CERTIFICATE OF AMENDMENT AMENDED AND RESTATED CERTIFICATE OF INCORPORATION ATHERONOVA INC. EX-3 2 ex3-1.htm EXHIBIT 3.1 Exhibit 3.1 CERTIFICATE OF AMENDMENT OF AMENDED AND RESTATED CERTIFICATE OF INCORPORATION OF ATHERONOVA INC. AtheroNova Inc. (the “Corporation”), a corporation organized and existing under and by virtue of the General Corporation Law of the State of Delaware, does hereby certify that: FIRST. Pursuant to the Unanimous Written Consent of the Board of Directors of the Cor |
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| August 5, 2014 |
EX-10 4 ex10-2.htm EXHIBIT 10.2 Exhibit 10.2 EMPLOYMENT AGREEMENT This EMPLOYMENT AGREEMENT (the “Agreement”) is entered into this 7th day of May, 2014 (the “Signing Date”) and is effective as of April 28, 2014 (the “Commencement Date”) between ATHERONOVA, INC., a Delaware corporation (the “Company”) and MARK SELAWSKI (the “Executive”). WHEREAS, the Board of Directors of the Company (the “Board”) |
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| August 5, 2014 |
Atheronova FORM 10-Q (Quarterly Report) ahro2014063010q.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 10-Q ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2014 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number 000-52315 Athe |
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| May 16, 2014 |
Unregistered Sales of Equity Securities ahro201405158k.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report: (Date of earliest event reported) May 13, 2014 ATHERONOVA INC. (Exact name of registrant as specified in charter) Delaware (State or other Jurisdiction of Incorporation or Organization) 000-52315 (C |
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| May 14, 2014 |
ATHERONOVA INC. COMMON STOCK PURCHASE WARRANT EX-10 3 ex10-2.htm EXHIBIT 10.2 Exhibit 10.2 NEITHER THIS SECURITY NOR THE SECURITIES FOR WHICH THIS SECURITY IS EXERCISABLE HAVE BEEN REGISTERED WITH THE SECURITIES AND EXCHANGE COMMISSION OR THE SECURITIES COMMISSION OF ANY STATE IN RELIANCE UPON AN EXEMPTION FROM REGISTRATION UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE “SECURITIES ACT”), AND, ACCORDINGLY, MAY NOT BE OFFERED OR SOLD EXCEPT |
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| May 14, 2014 |
ex10-1.htm Exhibit 10.3 SECURITY AGREEMENT This SECURITY AGREEMENT, dated as of January , 2014 (this ?Agreement?), is among AtheroNova Inc., a Delaware corporation (the ?Company?), all of the Subsidiaries of the Company (such Subsidiaries, the ?Guarantors?, and together with the Company, the ?Debtors?), and the holders, each signatory hereto, of the Company?s 6% Senior Secured Convertible Notes is |
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| May 14, 2014 |
ATHERONOVA INC. 6% SENIOR SECURED CONVERTIBLE NOTE ex10-1.htm Exhibit 10.1 THIS 6% SENIOR SECURED CONVERTIBLE NOTE (THIS ?NOTE?) HAS NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE ?SECURITIES ACT?), OR THE SECURITIES LAWS OF ANY STATE, AND HAS BEEN ACQUIRED FOR INVESTMENT AND NOT WITH A VIEW TO, OR IN CONNECTION WITH, THE SALE OR DISTRIBUTION THEREOF. NO SUCH SALE OR DISPOSITION MAY BE EFFECTED WITHOUT AN EFFECTIVE REGISTRAT |
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| May 14, 2014 |
Atheronova FORM 10-Q (Quarterly Report) ahro2014033110q.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 10-Q ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2014 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number 000-52315 Ath |
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| May 13, 2014 |
ahro201405078k.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report: (Date of earliest event reported) May 7, 2014 ATHERONOVA INC. (Exact name of registrant as specified in charter) Delaware (State or other Jurisdiction of Incorporation or Organization) 000-52315 (Co |
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| April 22, 2014 |
ahro201404218k.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report: (Date of earliest event reported) April 16, 2014 ATHERONOVA INC. (Exact name of registrant as specified in charter) Delaware (State or other Jurisdiction of Incorporation or Organization) 000-52315 |
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| April 22, 2014 |
ATHERONOVA 1-FOR-10 REVERSE STOCK SPLIT EFFECTIVE ahro201404218k.htm Exhibit 99.1 ATHERONOVA 1-FOR-10 REVERSE STOCK SPLIT EFFECTIVE IRVINE, CA: April 22, 2014 – AtheroNova Inc. (OTCBB: AHRO), a biotech company focused on the research and development of compounds to safely regress atherosclerotic plaque and improve lipid profiles in humans, today announced that the reverse stock split approved by the Company’s stockholders at last week’s annual st |
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| April 4, 2014 |
ahro201404048k.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report: (Date of earliest event reported) March 31, 2014 ATHERONOVA INC. (Exact name of registrant as specified in charter) Delaware (State or other Jurisdiction of Incorporation or Organization) 000-52315 |
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| March 25, 2014 |
DEF 14A 1 ahro20140324def14a.htm FORM DEF 14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the registrant ☑ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, For Use ☑ Definitive Proxy Statement of the |
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| March 24, 2014 |
ahro20140321corresp.htm March 24, 2014 VIA EDGAR CORRESPONDENCE Securities and Exchange Commission Division of Corporation Finance 100 F Street, N.E. Washington, D.C. 20549 Attention: Johnny Gharib RE: AtheroNova Inc. Preliminary Proxy Statement on Schedule 14A Filed on March 14, 2014 File No. 000-52315 Ladies and Gentlemen: AtheroNova Inc. (the “Company,” “we” or “us”) hereby respectfully submits |
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| March 18, 2014 |
Registration Statement - FORM S-1 ahro20140314s1.htm As filed with the Securities and Exchange Commission on March 17, 2014 Registration No. 333- UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form S-1 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 ATHERONOVA INC. (Exact name of registrant as specified in its charter) Delaware 2834 20-1915083 (State or other jurisdiction of (Primary Standard Indus |
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| March 14, 2014 |
ahro20140314pre14a.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the registrant ☑ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☑ Preliminary Proxy Statement ☐ Confidential, For Use ☐ Definitive Proxy Statement of the Commission Only ☐ Defin |
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| February 19, 2014 |
ahro201402198ka.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K/A AMENDMENT NO. 1 CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report: (Date of earliest event reported) January 14, 2014 ATHERONOVA INC. (Exact name of registrant as specified in charter) Delaware (State or other Jurisdiction of Incorporation or Org |
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| February 13, 2014 |
AHRO / / ACT Capital Management, LLLP - SC 13G/A Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 2)* AtheroNova Inc. (Name of Issuer) Common Stock (Title of Class of Securities) 047438205 (CUSIP Number) December 31, 2013 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Schedul |
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| January 21, 2014 |
ahro201401218k.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report: (Date of earliest event reported) January 14, 2014 ATHERONOVA INC. (Exact name of registrant as specified in charter) Delaware (State or other Jurisdiction of Incorporation or Organization) 000-5231 |
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| September 11, 2013 |
AHROQ / Atheronova, Inc. / Zadini Giorgio C. - SCHEDULE 13D/A Activist Investment zadinig20130910sc13da.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 5)* AtheroNova Inc. (Name of Issuer) Common Stock, par value $0.0001 per share (Title of Class of Securities) 047438 205 (CUSIP Number) Giorgio Zadini c/o AtheroNova Inc. 2301 Dupont Drive, Suite 525 Irvine, California 92612 (949) 4 |
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| August 13, 2013 |
Exhibit 99.1 |
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| August 13, 2013 |
Financial Statements and Exhibits, Other Events - FORM 8-K ahro201308138k.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report: (Date of earliest event reported) August 13, 2013 ATHERONOVA INC. (Exact name of registrant as specified in charter) Delaware (State or other Jurisdiction of Incorporation or Organization) 000-52315 |
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| July 18, 2013 |
EX-4 2 ahro20130717s8ex4-5.htm EXHIBIT 4.5 EXHIBIT 4.5 ATHERONOVA inc. NON-QUALIFIED STOCK OPTION AGREEMENT ATHERONOVA INC. Notice Of NON-QUALIFIED STOCK OPTION Grant You have been granted the following Non-qualified Stock Options (“Options”) to purchase Common Stock of AtheroNova Inc. (the “Company”): Name of Optionee: Joan Shaw Total Number of Shares Granted: 300,000 Exercise Price Per Share: $0 |
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| July 18, 2013 |
ahro20130717s8.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM S-8 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 ATHERONOVA INC. (Exact Name of Registrant as Specified in Its Charter) Delaware (State or Other Jurisdiction of Incorporation or Organization) 20-1915083 (I.R.S. Employer Identification No.) 2301 Dupont Drive, Suite 525, Irvine, CA (Address of |
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| July 18, 2013 |
EX-4 3 ahro20130717s8ex4-6.htm EXHIBIT 4.6 EXHIBIT 4.6 ATHERONOVA inc. NON-QUALIFIED STOCK OPTION AGREEMENT ATHERONOVA inc. Notice Of NON-QUALIFIED STOCK OPTION Grant You have been granted the following Non-qualified Stock Options (“Options”) to purchase Common Stock of AtheroNova Inc. (the “Company”): Name of Optionee: Mark Wedel Total Number of Shares Granted: 500,000 Exercise Price Per Share: $ |
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| July 11, 2013 |
Financial Statements and Exhibits, Other Events 8-K 1 ahro201307118k.htm FORM 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report: (Date of earliest event reported) July 9, 2013 ATHERONOVA INC. (Exact name of registrant as specified in charter) Delaware (State or other Jurisdiction of Incorporation or Organizatio |
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| July 11, 2013 |
Exhibit 99.1 |
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| June 25, 2013 |
Submission of Matters to a Vote of Security Holders - FORM 8-K ahro201306248k.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report: (Date of earliest event reported) June 19, 2013 ATHERONOVA INC. (Exact name of registrant as specified in charter) Delaware (State or other Jurisdiction of Incorporation or Organization) 000-52315 ( |
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| June 21, 2013 |
AHROQ / Atheronova, Inc. / EUROPA INTERNATIONAL INC - SCHEDULE 13D/A Activist Investment europa20130620sc13d.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13D (AMENDMENT NO. 1)* Under the Securities Exchange Act of 1934 AtheroNova Inc. (Name of Issuer) Common Stock, par value $0.0001 per share (Title of Class of Securities) 047438 106 (CUSIP Number) Europa International, Inc. c/o Knoll Capital Management, L.P. 1114 Avenue of the Americas, 45th Fl |
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| May 9, 2013 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the registrant þ Filed by a Party other than the Registrant o Check the appropriate box: o Preliminary Proxy Statement o Confidential, For Use þ Definitive Proxy Statement of the Commission Only o Definitive Additional Materi |
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| May 8, 2013 |
Louis Wharton Partner Direct Voice 818.444.4509 Direct Fax 818.444.6309 E-Mail [email protected] May 8, 2013 VIA EDGAR Securities and Exchange Commission Division of Corporation Finance 100 F Street, NE Washington, D.C. 20549 Re: AtheroNova Inc. Responses to Staff Comments of April 25, 2013 with respect to: Item 4.02 Form 8-K Filed March 29, 2013 File No. 000-52315 Ladies and Gentlemen: |
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| May 8, 2013 |
ahro201305088ka.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K/A AMENDMENT NO. 1 CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report: (Date of earliest event reported) March 21, 2013 ATHERONOVA INC. (Exact name of registrant as specified in charter) Delaware (State or other Jurisdiction of Incorporation or Organ |
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| April 17, 2013 |
AHROQ / Atheronova, Inc. / EUROPA INTERNATIONAL INC - SCHEDULE 13D Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13D (AMENDMENT NO. )* Under the Securities Exchange Act of 1934 AtheroNova Inc. (Name of Issuer) Common Stock, par value $0.0001 per share (Title of Class of Securities) 047438 106 (CUSIP Number) Europa International, Inc. c/o Knoll Capital Management, L.P. 1114 Avenue of the Americas, 45th Floor New York, NY 10036 21 |
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| April 15, 2013 |
Louis Wharton Partner Direct Voice Direct Fax 818.444.4509 818.444.6309 E-Mail [email protected] April 15, 2013 VIA EDGAR Securities and Exchange Commission Division of Corporation Finance 100 F Street, NE Washington, D.C. 20549 Re: AtheroNova Inc. Responses to Staff Comments of April 9, 2013 with respect to: Item 4.02 Form 8-K Filed March 29, 2013 File No. 000-52315 Ladies and Gentlemen |
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| April 9, 2013 |
AHROQ / Atheronova, Inc. / ACT Capital Management, LLLP - SC 13G/A Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1)* AtheroNova Inc. (Name of Issuer) Common Stock (Title of Class of Securities) 047438205 (CUSIP Number) March 21, 2013 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Schedule i |
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| March 29, 2013 |
ahro201303288k.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report: (Date of earliest event reported) March 21, 2013 ATHERONOVA INC. (Exact name of registrant as specified in charter) Delaware (State or other Jurisdiction of Incorporation or Organization) 000-52315 |
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| March 21, 2013 |
AHROQ / Atheronova, Inc. / Zadini Giorgio C. - SCHEDULE 13D/A (AMENDMENT NO. 4) Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 4)* AtheroNova Inc. (Name of Issuer) Common Stock, par value $0.0001 per share (Title of Class of Securities) 047438 205 (CUSIP Number) Giorgio Zadini c/o AtheroNova Inc. 2301 Dupont Drive, Suite 525 Irvine, California 92612 (949) 476-1100 (Name, Address and |
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| March 21, 2013 |
AHROQ / Atheronova, Inc. / Gardner Thomas W - SC 13D/A Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13D/A Under the Securities Exchange Act of 1934 (Amendment No. 3)* AtheroNova Inc. (Name of Issuer) Common Stock, par value $0.0001 per share (Title of Class of Securities) 047438 205 (CUSIP Number) Thomas W. Gardner c/o AtheroNova Inc. 2301 Dupont Drive, Suite 525 Irvine, California 92612 (949) 476-1100 (Name, Addres |
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| March 21, 2013 |
AHROQ / Atheronova, Inc. / Ratiner Boris - SC 13D/A Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 2)* AtheroNova Inc. (Name of Issuer) Common Stock, par value $0.0001 per share (Title of Class of Securities) 047438 205 (CUSIP Number) Boris Ratiner c/o AtheroNova Inc. 2301 Dupont Drive, Suite 525 Irvine, California 92612 (949) 476-1100 (Name, Address and |
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| February 1, 2013 |
AHROQ / Atheronova, Inc. / ACT Capital Management, LLLP - SC 13G Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* AtheroNova Inc. (Name of Issuer) Common Stock (Title of Class of Securities) 047438205 (CUSIP Number) December 31, 2012 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Schedule |
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| January 23, 2013 |
Exhibit 99.1 |
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| January 23, 2013 |
Regulation FD Disclosure, Financial Statements and Exhibits 8-K 1 ahro8k-012313.htm FORM 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report: (Date of earliest event reported) January 23, 2013 ATHERONOVA INC. (Exact name of registrant as specified in charter) Delaware (State or other Jurisdiction of Incorporation or Organiza |
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| December 6, 2012 |
FIRST AMENDMENT TO EMPLOYMENT AGREEMENT Exhibit 10.1 FIRST AMENDMENT TO EMPLOYMENT AGREEMENT This First Amendment to Employment Agreement (this “Amendment”) is dated December 4, 2012 and is effective as of August 29, 2012, and amends that certain Employment Agreement (the “Agreement”) dated August 30, 2010, between AtheroNova Inc. (the “Company”) and Mark Selawski (the “Executive”). Capitalized terms used herein without definition shall |
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| December 6, 2012 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report: (Date of earliest event reported) December 4, 2012 ATHERONOVA INC. (Exact name of registrant as specified in charter) Delaware (State or other Jurisdiction of Incorporation or Organization) 000-52315 (Commission File |
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| November 29, 2012 |
AHROQ / Atheronova, Inc. / Filiberto Zadini Estate - SCHEDULE 13D/A Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13D/A Under the Securities Exchange Act of 1934 (Amendment No. 3)* AtheroNova Inc. (Name of Issuer) Common Stock, par value $0.0001 per share (Title of Class of Securities) 047438 205 (CUSIP Number) Filiberto Zadini Estate c/o Edsall Arrieta LLP 751 Daily Drive, Suite 325 Camarillo, California 93010 (805) 484-9002 (Na |
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| November 29, 2012 |
AHROQ / Atheronova, Inc. / Zadini Giorgio C. - SCHEDULE 13D/A Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 3)* AtheroNova Inc. (Name of Issuer) Common Stock, par value $0.0001 per share (Title of Class of Securities) 047438 205 (CUSIP Number) Giorgio Zadini c/o AtheroNova Inc. 2301 Dupont Drive, Suite 525 Irvine, California 92612 (949) 476-1100 (Name, Address and |
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| November 19, 2012 |
Financial Statements and Exhibits, Other Events - FORM 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report: (Date of earliest event reported) November 15, 2012 ATHERONOVA INC. (Exact name of registrant as specified in charter) Delaware (State or other Jurisdiction of Incorporation or Organization) 000-52315 (Commission File |
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| November 19, 2012 |
Exhibit 99.1 FOR IMMEDIATE RELEASE AtheroNova Receives Notice of Issuance for Its US Patent 8,304,383 Dissolution of Arterial Plaque Using Hyodeoxycholic Acid IRVINE, CA: November 15, 2012 – AtheroNova Inc. (OTCBB: AHRO), a biotech company focused on the research and development of compounds to safely regress atherosclerotic plaque and to improve lipid profiles in humans, today announced that it h |
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| November 8, 2012 |
AtheroNova Names New Director Fred Knoll of Knoll Capital Management Joins the Board of Directors Exhibit 99.1 AtheroNova Names New Director Fred Knoll of Knoll Capital Management Joins the Board of Directors IRVINE, Calif., Nov. 7, 2012 /PRNewswire/ - AtheroNova Inc. (AHRO), a biotech company focused on the research and development of compounds to safely regress atherosclerotic plaque and improve lipid profiles in humans, today announced that Fred Knoll, the principal and portfolio manager of |
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| November 8, 2012 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report: (Date of earliest event reported) November 6, 2012 ATHERONOVA INC. (Exact name of registrant as specified in charter) Delaware (State or other Jurisdiction of Incorporation or Organization) 000-52315 (Commission File |
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| October 17, 2012 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report: (Date of earliest event reported) October 11, 2012 ATHERONOVA INC. (Exact name of registrant as specified in charter) Delaware (State or other Jurisdiction of Incorporation or Organization) 000-52315 (Commission File |
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| October 5, 2012 |
ATHERONOVA INC. COMMON STOCK PURCHASE WARRANT EX-10.2 3 ex10-2.htm EXHIBIT 10.2 Exhibit 10.2 THIS WARRANT AND ANY SHARES ACQUIRED UPON THE EXERCISE OF THIS WARRANT HAVE NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED, AND MAY NOT BE TRANSFERRED, SOLD OR OTHERWISE DISPOSED OF EXCEPT PURSUANT TO AN EFFECTIVE REGISTRATION STATEMENT UNDER SAID ACT OR AN OPINION OF COUNSEL SATISFACTORY TO THE COMPANY THAT REGISTRATION IS NOT REQUI |
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| October 5, 2012 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report: (Date of earliest event reported) October 1, 2012 ATHERONOVA INC. (Exact name of registrant as specified in charter) Delaware (State or other Jurisdiction of Incorporation or Organization) 000-52315 (Commission File N |
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| October 5, 2012 |
EX-10.1 2 ex10-1.htm EXHIBIT 10.1 Exhibit 10.1 Subscription Agreement AtheroNova Inc. 2301 Dupont Drive Suite 525 Irvine, CA 92612 Ladies and Gentlemen: The undersigned (the “Investor”) hereby confirms and agrees with you as follows: 1. The subscription terms set forth herein (this “Subscription Agreement”) are made as of the date set forth below between AtheroNova Inc., a Delaware corporation (th |
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| September 11, 2012 |
Exhibit 99.1 |
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| September 11, 2012 |
Regulation FD Disclosure, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report: (Date of earliest event reported) September 11, 2012 ATHERONOVA INC. (Exact name of registrant as specified in charter) Delaware (State or other Jurisdiction of Incorporation or Organization) 000-52315 (Commission Fil |
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| July 11, 2012 |
Financial Statements and Exhibits, Other Events - FORM 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report: (Date of earliest event reported) July 9, 2012 ATHERONOVA INC. (Exact name of registrant as specified in charter) Delaware (State or other Jurisdiction of Incorporation or Organization) 000-52315 (Commission File Numb |
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| July 11, 2012 |
Exhibit 99.1 FOR IMMEDIATE RELEASE AtheroNova Receives Notice of Allowance for Its US Patent Application 12/024,908 Dissolution of Arterial Plaque Using Hyodeoxycholic Acid IRVINE, CA: July 9, 2012 – AtheroNova Inc. (OTCBB: AHRO), a biotech company focused on the research and development of compounds to regress atherosclerotic plaque, announced that it has received a Notice of Allowance for its pa |
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| June 20, 2012 |
Exhibit 10.3 EXECUTION VERSION NEITHER THIS SECURITY NOR THE SECURITIES FOR WHICH THIS SECURITY IS EXERCISABLE HAVE BEEN REGISTERED WITH THE SECURITIES AND EXCHANGE COMMISSION OR THE SECURITIES COMMISSION OF ANY STATE IN RELIANCE UPON AN EXEMPTION FROM REGISTRATION UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE “SECURITIES ACT”), AND, ACCORDINGLY, MAY NOT BE OFFERED OR SOLD EXCEPT PURSUANT TO A |
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| June 20, 2012 |
AMENDMENT AND EXCHANGE AGREEMENT Exhibit 10.1 AMENDMENT AND EXCHANGE AGREEMENT THIS AMENDMENT AND EXCHANGE AGREEMENT (this “Agreement”), dated as of June 15, 2012, is by and between AtheroNova Inc., a Delaware corporation formerly known as Trist Holdings, Inc. (the “Company”), and (the “Investor”). WHEREAS: A. The Company, the Investor and certain other investors (the “Other Investors”, and collectively with the Investor, the “In |
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| June 20, 2012 |
Exhibit 10.4 OFFICE LEASE Between TR DUPONT CENTRE LLC, Landlord, and ATHERO NOVA, INC., Tenant Dated: June -, 2012 2201 and 2301 Dupont Drive, Irvine, California 92612 TABLE OF CONTENTS Page ARTICLE 1 GRANT OF LEASE: PREMISES; BUILDING; COMMON AREAS; REAL PROPERTY; PROJECT 3 1.1. Lease of Premises. 3 1.2. Real Property; Project. 3 1.3. Common Areas. 4 1.4. Landlord's Use and Operation of the Buil |
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| June 20, 2012 |
Entry into a Material Definitive Agreement, Financial Statements and Exhibits - FORM 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report: (Date of earliest event reported) June 15, 2012 ATHERONOVA INC. (Exact name of registrant as specified in charter) Delaware (State or other Jurisdiction of Incorporation or Organization) 000-52315 (Commission File Num |
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| June 20, 2012 |
ATHERONOVA INC. SECOND AMENDED AND RESTATED 2.5% SENIOR SECURED CONVERTIBLE NOTE Exhibit 10.2 EXECUTION VERSION NEITHER THIS SECURITY NOR THE SECURITIES INTO WHICH THIS SECURITY IS CONVERTIBLE HAVE BEEN REGISTERED WITH THE SECURITIES AND EXCHANGE COMMISSION OR THE SECURITIES COMMISSION OF ANY STATE IN RELIANCE UPON AN EXEMPTION FROM REGISTRATION UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE “SECURITIES ACT”), AND, ACCORDINGLY, MAY NOT BE OFFERED OR SOLD EXCEPT PURSUANT TO |
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| May 29, 2012 |
Exhibit 10.1 SECURITIES PURCHASE AGREEMENT This Securities Purchase Agreement (this “Agreement”) is dated as of May 14, 2012 among AtheroNova Inc., a Delaware corporation (the “Company”), and each purchaser identified on the signature pages hereto (each, including its successors and assigns, a “Purchaser” and collectively, the “Purchasers”). WHEREAS, subject to the terms and conditions set forth i |
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| May 29, 2012 |
Exhibit 10.3 NEITHER THIS SECURITY NOR THE SECURITIES FOR WHICH THIS SECURITY IS EXERCISABLE HAVE BEEN REGISTERED WITH THE SECURITIES AND EXCHANGE COMMISSION OR THE SECURITIES COMMISSION OF ANY STATE IN RELIANCE UPON AN EXEMPTION FROM REGISTRATION UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE “SECURITIES ACT”), AND, ACCORDINGLY, MAY NOT BE OFFERED OR SOLD EXCEPT PURSUANT TO AN EFFECTIVE REGIST |
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| May 29, 2012 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report: (Date of earliest event reported) May 22, 2012 ATHERONOVA INC. (Exact name of registrant as specified in charter) Delaware (State or other Jurisdiction of Incorporation or Organization) 000-52315 (Commission File Numb |
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| May 29, 2012 |
Exhibit 10.4 SUBSIDIARY GUARANTEE SUBSIDIARY GUARANTEE, dated as of May 14, 2012 (this “Guarantee”), made by each of the signatories hereto (together with any other entity that may become a party hereto as provided herein, the “Guarantors,” and together with the Company (as defined below), the “Debtors”), in favor of the purchaser (including such purchaser’s successors, transferees and assigns, th |
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| May 29, 2012 |
Original Issue Date: May __, 2012 $________________ ATHERONOVA INC. 12% CONVERTIBLE NOTE Exhibit 10.2 NEITHER THIS SECURITY NOR THE SECURITIES INTO WHICH THIS SECURITY IS CONVERTIBLE HAVE BEEN REGISTERED WITH THE SECURITIES AND EXCHANGE COMMISSION OR THE SECURITIES COMMISSION OF ANY STATE IN RELIANCE UPON AN EXEMPTION FROM REGISTRATION UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE “SECURITIES ACT”), AND, ACCORDINGLY, MAY NOT BE OFFERED OR SOLD EXCEPT PURSUANT TO AN EFFECTIVE REGIS |
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| January 4, 2012 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report: (Date of earliest event reported) January 3, 2012 ATHERONOVA INC. (Exact name of registrant as specified in charter) Delaware (State or other Jurisdiction of Incorporation or Organization) 000-52315 (Commission File N |
