QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 |
TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 |
(State or other jurisdiction of incorporation or organization) |
(I.R.S. Employer Identification No.) | |
(Address of principal executive offices) |
(Zip Code) |
Title of each class |
Trading Symbol(s) |
Name of each exchange on which registered | ||
Large accelerated filer | ☐ | Accelerated filer | ☐ | |||
Non-accelerated filer |
☒ | Smaller reporting company |
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Emerging growth company |
Type of Trading Arrangement |
||||||||||||||||||||||||
Name and Position |
Action |
Adoption/Termination Date |
Rule 10b5-1 (1) |
Non-Rule 10b5-1 (2) |
Total Shares of Common Stock to be Sold |
Expiration Date |
||||||||||||||||||
(3) |
X | |||||||||||||||||||||||
X |
(1) |
Contract, instruction or written plan intended to satisfy the affirmative defense conditions of Rule 10b5-1(c) |
(2) |
“Non-Rule 10b5-1 S-K |
(3) |
Represents the termination of a trading plan intended to satisfy the affirmative defense conditions of Rule 10b5-1(c) |
Item 6. Exhibits
Exhibit Number |
Description | |
31.1 | Certification of Principal Executive Officer Pursuant to Rules 13a-14(a) and 15d-14(a) under the Securities Exchange Act of 1934, as Adopted Pursuant to Section 302 of the Sarbanes-Oxley Act of 2002. | |
31.2 | Certification of Principal Financial Officer Pursuant to Rules 13a-14(a) and 15d-14(a) under the Securities Exchange Act of 1934, as Adopted Pursuant to Section 302 of the Sarbanes-Oxley Act of 2002. | |
101.INS | Inline XBRL Instance Document–the instance document does not appear in the Interactive Data File as its XBRL tags are embedded within the Inline XBRL document | |
101.SCH | Inline XBRL Taxonomy Extension Schema With Embedded Linkbase Documents | |
104 | Cover page formatted as Inline XBRL and contained in Exhibit 101 |
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SIGNATURES
Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned thereunto duly authorized.
ARS PHARMACEUTICALS, INC. | ||||||
Date: December 6, 2024 | By: | /s/ Richard Lowenthal, M.S., MSEL | ||||
Richard Lowenthal, M.S., MSEL | ||||||
President and Chief Executive Officer | ||||||
(Principal Executive Officer) | ||||||
Date: December 6, 2024 | By: | /s/ Kathleen D. Scott | ||||
Kathleen D. Scott | ||||||
Chief Financial Officer | ||||||
(Principal Financial and Accounting Officer) |
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Exhibit 31.1
CERTIFICATION OF CHIEF EXECUTIVE OFFICER PURSUANT TO
SECTION 302 OF THE SARBANES-OXLEY ACT OF 2002
I, Richard Lowenthal, certify that:
1. I have reviewed this Amendment No. 1 to the Quarterly Report on Form 10-Q/A for the quarter ended September 30, 2024 of ARS Pharmaceuticals, Inc.; and
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.
Date: December 6, 2024 | By: | /s/ Richard Lowenthal, M.S., MSEL | ||||
Richard Lowenthal, M.S., MSEL | ||||||
President and Chief Executive Officer | ||||||
(Principal Executive Officer) |
Exhibit 31.2
CERTIFICATION OF CHIEF EXECUTIVE OFFICER PURSUANT TO
SECTION 302 OF THE SARBANES-OXLEY ACT OF 2002
I, Kathleen Scott, certify that:
1. I have reviewed this Amendment No. 1 to the Quarterly Report on Form 10-Q/A for the quarter ended September 30, 2024 of ARS Pharmaceuticals, Inc.; and
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.
Date: December 6, 2024 | By: | /s/ Kathleen D. Scott | ||||
Kathleen D. Scott | ||||||
Chief Financial Officer | ||||||
(Principal Financial and Accounting Officer) |