{"url_path":"/sec/amix/10-k/2026/item-15","section_key":"item-15","section_title":"Item 15 **         **Exhibits, Financial Statement Schedules**","topic":"sec","document":{"doc_type":"10-K/A","doc_date":"2026-06-15","source_url":"https://www.sec.gov/Archives/edgar/data/1617867/0001437749-26-020686-index.html","accession_number":"0001437749-26-020686","cik":"0001617867","ticker":"AMIX","issuer_name":"Autonomix Medical, Inc.","edgar_url":"https://www.sec.gov/Archives/edgar/data/1617867/0001437749-26-020686-index.html","primary_entity_key":"0001617867","primary_entity_name":"Autonomix Medical, Inc."},"word_count":1454,"has_tables":true,"body_markdown":"**Item 15.**         **Exhibits, Financial Statement Schedules**\n\n \n\n(a)         The following documents are filed or furnished as part of this Form 10-K:\n\n \n\n1.        Financial Statements\n\n \n\nReference is made to the Index to Financial Statements under Item 8, Part II hereof.\n\n \n\n2.        Financial Statement Schedules\n\n \n\nThe Financial Statement Schedules have been omitted either because they are not required or because the information has been included in the financial statements or the notes thereto included in this Annual Report on Form 10-K.\n\n \n\n3.        Exhibits\n\n \n\n18\n\n[Table of Contents](#toc)\n\n \n\n**Exhibit Index**\n\n \n\n**Exhibit**\n\n**Number**\n\n**Description of Document**\n\n \n \n\n3.1\n[Amended and Restated Certificate of Incorporation of Autonomix Medical, Inc. (incorporated by reference from exhibit 2.1 of the Form 1-A POS, file number 024-12296, filed January 19, 2024)](http://www.sec.gov/Archives/edgar/data/1617867/000168316824000350/autonomix_ex0201.htm)\n\n \n \n\n3.2\n[Certificate of Amendment to the Amended and Restated Certificate of Incorporation of Autonomix Medical, Inc., filed with the Secretary of State of the State of Delaware (incorporated by reference from exhibit 3.1 of the Form 8-K filed October 28, 2024)](http://www.sec.gov/Archives/edgar/data/1617867/000143774924032175/ex_738091.htm)\n\n \n \n\n3.3\n\n[Amended and Restated Bylaws of Autonomix Medical, Inc. dated August 12, 2025 (incorporated by reference from exhibit 3.4 of the Form 10-Q filed August 13, 2025)](http://www.sec.gov/Archives/edgar/data/1617867/000143774925026564/ex_851445.htm)\n\n \n \n\n4.1\n[Form of Warrant Agreement issued in SAFE offering (incorporated by reference from exhibit 3.1 of the Form 1-A POS, file number 024-12296, filed January 19, 2024)](http://www.sec.gov/Archives/edgar/data/1617867/000168316823005969/autonomix_ex0301.htm)\n\n \n \n\n4.2\n[Form of Selling Agent Warrant (incorporated by reference from exhibit 3.2 of the Form 1-A POS, file number 024-12296, filed January 19, 2024)](http://www.sec.gov/Archives/edgar/data/1617867/000168316823005969/autonomix_ex0302.htm)\n\n \n \n\n4.3\n[Form of Pre-Funded Warrant issued in November 2024 offering (incorporated by reference from exhibit 4.1 of the Form 8-K filed November 25, 2024)](http://www.sec.gov/Archives/edgar/data/1617867/000143774924036182/ex_752263.htm)\n\n \n \n\n4.4\n[Form of Series A Warrant issued in November 2024 offering (incorporated by reference from exhibit 4.2 of the Form 8-K filed November 25, 2024)](http://www.sec.gov/Archives/edgar/data/1617867/000143774924036182/ex_752264.htm)\n\n \n \n\n4.5\n[Form of Representative’s Warrant issued in November 2024 offering (incorporated by reference from exhibit 4.4 of the Form 8-K filed November 25, 2024)](http://www.sec.gov/Archives/edgar/data/1617867/000143774924036182/ex_752266.htm)\n\n \n \n\n4.6\n[Warrant Agency Agreement, dated November 22, 2024, with Equity Stock Transfer, LLC (incorporated by reference from exhibit 4.3 of the Form 8-K filed November 25, 2024)](http://www.sec.gov/Archives/edgar/data/1617867/000143774924036182/ex_752265.htm)\n\n \n \n\n4.7\n[Description of the Company's Securities (incorporated by reference from exhibit 4.7 of the Form 10-K filed May 27, 2026)](http://www.sec.gov/Archives/edgar/data/1617867/000143774926018573/ex_912491.htm)\n\n \n \n\n4.8\n[Form of Series B Warrant issued in July 2025 offering (incorporated by reference from exhibit 4.1 of the Form 8-K filed July 22, 2025)](http://www.sec.gov/Archives/edgar/data/1617867/000143774925023246/ex_841679.htm)\n\n \n \n\n4.9\n[Form of Pre-Funded Warrant issued in November 2025 offering (incorporated by reference from exhibit 4.1 of the Form 8-K filed November 19, 2025)](http://www.sec.gov/Archives/edgar/data/1617867/000143774924036182/ex_752263.htm)\n\n \n\n19\n\n[Table of Contents](#toc)\n\n \n\n4.10\n[Form of Series C Warrant issued in November 2025 offering (incorporated by reference from exhibit 4.2 of the Form 8-K filed November 19, 2025)](http://www.sec.gov/Archives/edgar/data/1617867/000143774924036182/ex_752263.htm)\n\n \n \n\n10.1**\n[Employment Letter dated January 4, 2022 between the Company and Robert Schwartz](http://www.sec.gov/Archives/edgar/data/1617867/000168316823005969/autonomix_ex0601.htm)[(incorporated by reference from exhibit 6.1 of the Form 1-A POS, file number 024-12296, filed January 19, 2024)](http://www.sec.gov/Archives/edgar/data/1617867/000168316823005969/autonomix_ex0601.htm)\n\n \n \n\n10.2**\n[Amended and Restated Consulting Agreement effective January 4, 2022 between the Company and Landy Toth (incorporated by reference from exhibit 6.2 of the Form 1-A POS, file number 024-12296, filed January 19, 2024)](http://www.sec.gov/Archives/edgar/data/1617867/000168316823005969/autonomix_ex0602.htm)\n\n \n \n\n10.3**\n[Employment Agreement between the Company and Lori Bisson dated June 30, 2023 (incorporated by reference from exhibit 6.3 of the Form 1-A POS, file number 024-12296, filed January 19, 2024)](http://www.sec.gov/Archives/edgar/data/1617867/000168316823005969/autonomix_ex0603.htm)\n\n \n \n\n10.4**\n[Employment Agreement between the Company and Trent Smith dated July 24, 2023 (incorporated by reference from exhibit 6.4 of the Form 1-A POS, file number 024-12296, filed January 19, 2024)](http://www.sec.gov/Archives/edgar/data/1617867/000168316823005969/autonomix_ex0604.htm)\n\n \n \n\n10.5**\n[Autonomix Medical, Inc. 2023 Stock Plan, as amended and restated and forms of award agreements (incorporated by reference from exhibit 4.4 of the Form S-8 (file number 333-294858)](http://www.sec.gov/Archives/edgar/data/1617867/000143774926011167/ex_937978.htm)\n\n \n \n\n10.6\n[Form of Indemnification Agreement with Executive Officers and Directors of the Company (incorporated by reference from exhibit 6.6 of the Form 1-A POS, file number 024-12296, filed January 19, 2024)](http://www.sec.gov/Archives/edgar/data/1617867/000168316823006484/autonomix_ex0606.htm)\n\n \n \n\n10.7\n[Form of Lock-Up Agreement to be entered into between the Company and its officers and directors (incorporated by reference from exhibit 6.7 of the Form 1-A POS, file number 024-12296, filed January 19, 2024)](http://www.sec.gov/Archives/edgar/data/1617867/000168316823005969/autonomix_ex0607.htm)\n\n \n \n\n10.8+\n[Exclusive License Agreement dated December 21, 2021 between Autonomix Medical, Inc. and Impulse Medical, Inc. (incorporated by reference from exhibit 6.8 of the Form 1-A POS, file number 024-12296, filed January 19, 2024)](http://www.sec.gov/Archives/edgar/data/1617867/000168316823006484/autonomix_ex0608.htm)\n\n \n \n\n10.9\n[Exclusive License Termination Agreement dated July 7, 2023 between Autonomix Medical, Inc. and Impulse Medical, Inc. (incorporated by reference from exhibit 6.9 of the Form 1-A POS, file number 024-12296, filed January 19, 2024)](http://www.sec.gov/Archives/edgar/data/1617867/000168316823006484/autonomix_ex0609.htm)\n\n \n \n\n10.10**\n[Employment Agreement between Brad Hauser and Autonomix Medical, Inc. dated June 17, 2024. (incorporated by reference from exhibit 10.1 of the Form 8-K filed June 17, 2024)](http://www.sec.gov/Archives/edgar/data/1617867/000143774924020534/ex_688939.htm)\n\n \n \n\n10.11**\n[Employment Agreement between Lori Bisson and Autonomix Medical, Inc. dated June 17, 2024. (incorporated by reference from exhibit 10.2 of the Form 8-K filed June 17, 2024)](http://www.sec.gov/Archives/edgar/data/1617867/000143774924020534/ex_688940.htm)\n\n \n \n\n10.12\n[License Agreement between Autonomix Medical, Inc. and RF Innovations, Inc. (incorporated by reference from exhibit 10.1 of the Form 8-K filed July 15, 2024)](http://www.sec.gov/Archives/edgar/data/1617867/000143774924022711/ex_698206.htm)\n\n \n \n\n10.13**\n[Non-Employee Director Compensation Plan (incorporated by reference from exhibit 10.2 of the Form 10-Q filed November 8, 2024)](http://www.sec.gov/Archives/edgar/data/1617867/000143774924034230/ex_745156.htm)\n\n \n \n\n10.14\n[At Market Issuance Sales Agreement, dated February 28, 2025, by and between Autonomix Medical, Inc. and Ladenburg Thalmann & Co. Inc. (incorporated by reference from exhibit 1.1 of the Form 8-K filed February 28, 2025)](http://www.sec.gov/Archives/edgar/data/1617867/000143774925005739/ex_783987.htm)\n\n \n \n\n10.15**\n[Stock Option Cancellation and Severance Agreement between Autonomix Medical, Inc. and Brad Hauser dated August 11, 2025 (incorporated by reference from exhibit 10.2 of the Form 10-Q filed August 13, 2025)](http://www.sec.gov/Archives/edgar/data/1617867/000143774925026564/ex_848526.htm)\n\n \n \n\n10.16**\n[Stock Option Cancellation and Severance Agreement between Autonomix Medical, Inc. and Trent Smith dated August 11, 2025 (incorporated by reference from exhibit 10.3 of the Form 10-Q filed August 13, 2025)](http://www.sec.gov/Archives/edgar/data/1617867/000143774925026564/ex_848527.htm)\n\n \n \n\n10.17**\n[Stock Option Cancellation and Severance Agreement between Autonomix Medical, Inc. and Landy Toth dated August 11, 2025 (incorporated by reference from exhibit 10.4 of the Form 10-Q filed August 13, 2025)](http://www.sec.gov/Archives/edgar/data/1617867/000143774925026564/ex_851487.htm)\n\n \n \n\n10.18 **\n[Stock Option Cancellation and Severance Agreement between Autonomix Medical, Inc. and Robert Schwartz dated August 11, 2025 (incorporated by reference from exhibit 10.5 of the Form 10-Q filed August 13, 2025)](http://www.sec.gov/Archives/edgar/data/1617867/000143774925026564/ex_851488.htm)\n\n \n\n20\n\n[Table of Contents](#toc)\n\n \n\n10.19 +\n[Purchase Agreement, dated August 25, 2025, by and between the Company and Lincoln Park Capital Fund, LLC (incorporated by reference from exhibit 10.1 of the Form 8-K filed August 26, 2025)](http://www.sec.gov/Archives/edgar/data/1617867/000143774925027719/ex_856934.htm)\n\n \n \n\n10.20\n[Registration Rights Agreement, dated August 25, 2025, by and between the Company and Lincoln Park Capital Fund, LLC (incorporated by reference from exhibit 10.2 of the Form 8-K filed August 26, 2025)](http://www.sec.gov/Archives/edgar/data/1617867/000143774925027719/ex_856935.htm)\n\n \n \n\n10.21\n[Form of Securities Purchase Agreement, dated November 18, 2025 (incorporated by reference from exhibit 10.1 of the Form 8-K filed November 19, 2025)](http://www.sec.gov/Archives/edgar/data/1617867/000143774925035733/ex_890601.htm)\n\n \n \n\n19\n[Autonomix Medical, Inc. Insider Trading Policy](http://www.sec.gov/Archives/edgar/data/1617867/000143774925018831/ex_819986.htm)[(incorporated by reference from Exhibit 19 of the Form 10-K filed May 29, 2025)](http://www.sec.gov/Archives/edgar/data/1617867/000143774925018831/ex_819986.htm)\n\n \n \n\n23.1\n[Consent of Forvis Mazars, LLP (incorporated by reference from exhibit 23.1 of the Form 10-K filed May 27, 2026)](http://www.sec.gov/Archives/edgar/data/1617867/000143774926018573/ex_912493.htm)\n\n \n \n\n31.1\n\n[Certification of Chief Executive Officer pursuant to Rule 13a-14 of the Securities Exchange Act of 1934, as amended (incorporated by reference from exhibit 31.1 of the Form 10-K filed May 27, 2026)](http://www.sec.gov/Archives/edgar/data/1617867/000143774926018573/ex_912494.htm)\n\n \n\n \n\n31.2\n\n[Certification of Principal Financial Officer pursuant to Rule 13a-14 of the Securities Exchange Act of 1934, as amended (incorporated by reference from exhibit 31.1 of the Form 10-K filed May 27, 2026)](http://www.sec.gov/Archives/edgar/data/1617867/000143774926018573/ex_912495.htm)\n\n \n \n\n31.3*\n[Certification of Principal Executive Officer pursuant to Rule 13a-14 of the Securities Exchange Act of 1934, as amended](ex_967098.htm)\n\n \n \n\n31.4*\n[Certification of Principal Financial Officer pursuant to Rule 13a-14 of the Securities Exchange Act of 1934, as amended](ex_967099.htm)\n\n \n \n\n32.1\n\n[Certification of Chief Executive Officer pursuant to Section 906 of the Sarbanes-Oxley Act of 2002 (incorporated by reference from exhibit 32.1 of the Form 10-K filed May 27, 2026)](http://www.sec.gov/Archives/edgar/data/1617867/000143774926018573/ex_912496.htm)\n\n \n\n \n\n32.2\n\n[Certification of Principal Financial Officer pursuant to Section 906 of the Sarbanes-Oxley Act of 2002 (incorporated by reference from exhibit 32.2 of the Form 10-K filed May 27, 2026)](http://www.sec.gov/Archives/edgar/data/1617867/000143774926018573/ex_912497.htm)\n\n \n \n\n97\n[Autonomix Medical, Inc. Restatement Recoupment Policy (incorporated by reference from exhibit 97 of the Form 10-K filed May 31, 2024)](http://www.sec.gov/Archives/edgar/data/1617867/000143774924018932/ex_681785.htm)\n\n \n \n\n104\nCover Page Interactive Data File (formatted as Inline XBRL and contained in Exhibit 101)\n\n \n\n*\n\nFiled herewith.\n\n \n\n**\n\nDenotes a management contract or compensatory plan or arrangement.\n\n \n\n+\n\nPursuant to Item 601(b)(10)(iv) of Regulation S-K promulgated by the SEC, certain portions of this exhibit have been redacted. The Company hereby agrees to furnish supplementally to the SEC, upon its request, an unredacted copy of this exhibit.\n\n \n\n21\n\n[Table of Contents](#toc)\n\n \n\n**SIGNATURES**\n\n \n\nPursuant to the requirements of Section 13 or 15(d) 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.\n\n \n\n \n\nAUTONOMIX MEDICAL, INC.\n\n \n\n \n\nDate: June 15, 2026\n\nBy:\n\n/s/    BRAD HAUSER\n\n \n \n\n**Brad Hauser**\n\n**Chief Executive Officer and President**\n\n**(Principal Executive Officer)**\n\n \n\n \n\nDate: June 15, 2026\n\n \n\n/s/    TRENT SMITH\n\n \n \n\n**Trent Smith**\n\n**Chief Financial Officer**\n\n**(Principal Financial** **and Accounting** **Officer)**\n\n \n\n22"}