{"url_path":"/sec/aptn/10-k/2026/item-15","section_key":"item-15","section_title":"Item 15 EXHIBIT AND FINANCIAL STATEMENT SCHEDULES.","topic":"sec","document":{"doc_type":"10-K/A","doc_date":"2026-06-12","source_url":"https://www.sec.gov/Archives/edgar/data/1938571/0001213900-26-068261-index.html","accession_number":"0001213900-26-068261","cik":"0001938571","ticker":"APTN","issuer_name":"ADAPTIN BIO, INC.","edgar_url":"https://www.sec.gov/Archives/edgar/data/1938571/0001213900-26-068261-index.html","primary_entity_key":"0001938571","primary_entity_name":"ADAPTIN BIO, INC."},"word_count":1103,"has_tables":true,"body_markdown":"ITEM 15. EXHIBIT AND FINANCIAL STATEMENT SCHEDULES.\n\n  \n\n*(b) Exhibits*\n\n* *\n\nThe following list of exhibits includes exhibits\nsubmitted with this Form 10-K/A as filed with the SEC and others incorporated by reference to other filings.\n\n \n\nExhibit\n \n \n \n \nIncorporated by\n\nReference (Unless Otherwise\n\nIndicated)\n\nNumber\n \nDescription\n \nForm\n \nFile\n \nExhibit\n \nFiling Date\n\n3.1\n \n[Certificate of Merger relating to the merger of Adaptin Acquisition Co. with and into Adaptin Bio, Inc., filed with the Secretary of State of the State of Delaware on February 11, 2025](http://www.sec.gov/Archives/edgar/data/1938571/000121390025014630/ea023016901ex3-1_adaptin.htm)\n \n8-K\n \n000-56583\n \n3.1\n \nFebruary 18, 2025\n\n3.2\n \n[Amended and Restated Certificate of Incorporation of Unite Acquisition 1 Corp., as filed with the Secretary of State of the State of Delaware on February 11, 2025](http://www.sec.gov/Archives/edgar/data/1938571/000121390025014630/ea023016901ex3-2_adaptin.htm)\n \n8-K\n \n000-56583\n \n3.2\n \nFebruary 18, 2025\n\n3.3\n \n[Amended and Restated Bylaws](http://www.sec.gov/Archives/edgar/data/1938571/000121390025014630/ea023016901ex3-3_adaptin.htm)\n \n8-K\n \n000-56583\n \n3.3\n \nFebruary 18, 2025\n\n4.1\n \n[Description of Securities](http://www.sec.gov/Archives/edgar/data/1938571/000121390025031878/ea023794101ex4-1_adaptin.htm)\n \n10-K\n \n000-56583\n \n4.1\n \nApril 15, 2025\n\n4.2\n \n[Form of Pre-Merger Warrant issued to holders of 2023 Bridge Notes](http://www.sec.gov/Archives/edgar/data/1938571/000121390025014630/ea023016901ex4-1_adaptin.htm)\n \n8-K\n \n000-56583\n \n4.1\n \nFebruary 18, 2025\n\n4.3\n \n[Form of Pre-Merger Warrant issued in connection with Exchange Notes](http://www.sec.gov/Archives/edgar/data/1938571/000121390025014630/ea023016901ex4-2_adaptin.htm)\n \n8-K\n \n000-56583\n \n4.2\n \nFebruary 18, 2025\n\n4.4\n \n[Form of Placement Agent Warrant](http://www.sec.gov/Archives/edgar/data/1938571/000121390025014630/ea023016901ex4-3_adaptin.htm)\n \n8-K\n \n000-56583\n \n4.3\n \nFebruary 18, 2025\n\n4.5\n \n[Form of Common A Warrant](http://www.sec.gov/Archives/edgar/data/1938571/000121390025014630/ea023016901ex4-4_adaptin.htm)\n \n8-K\n \n000-56583\n \n4.4\n \nFebruary 18, 2025\n\n4.6\n \n[Form of Common B Warrant](http://www.sec.gov/Archives/edgar/data/1938571/000121390025014630/ea023016901ex4-5_adaptin.htm)\n \n8-K\n \n000-56583\n \n4.5\n \nFebruary 18, 2025\n\n10.1*\n \n[Patent License Agreement by and between Centaur Bio and Duke University, effective as of January 11, 2023](http://www.sec.gov/Archives/edgar/data/1938571/000121390025014630/ea023016901ex10-1_adaptin.htm)\n \n8-K\n \n000-56583\n \n10.1\n \nFebruary 18, 2025\n\n10.2*\n \n[First Amendment to License Agreement by and between Centaur Bio and Duke University, effective as of August 9, 2024](http://www.sec.gov/Archives/edgar/data/1938571/000121390025014630/ea023016901ex10-2_adaptin.htm)\n \n8-K\n \n000-56583\n \n10.2\n \nFebruary 18, 2025\n\n10.3*\n \n[Sponsored Research Agreement by and between Centaur Bio and Duke University, effective as of August 8, 2024](http://www.sec.gov/Archives/edgar/data/1938571/000121390025014630/ea023016901ex10-3_adaptin.htm)\n \n8-K\n \n000-56583\n \n10.3\n \nFebruary 18, 2025\n\n10.4+\n \n[Advisory Services Agreement, dated as of February 11, 2025, by and between the Company and Lucius Partners LLC](http://www.sec.gov/Archives/edgar/data/1938571/000121390025014630/ea023016901ex10-4_adaptin.htm)\n \n8-K\n \n000-56583\n \n10.4\n \nFebruary 18, 2025\n\n10.5\n \n[Form of Lock-Up Agreement](http://www.sec.gov/Archives/edgar/data/1938571/000121390025014630/ea023016901ex10-5_adaptin.htm)\n \n8-K\n \n000-56583\n \n10.5\n \nFebruary 18, 2025\n\n10.6\n \n[Form of Indemnity Agreement](http://www.sec.gov/Archives/edgar/data/1938571/000121390025014630/ea023016901ex10-6_adaptin.htm)\n \n8-K\n \n000-56583\n \n10.6\n \nFebruary 18, 2025\n\n10.7\n \n[Form of Subscription Agreement by and among the Company and the parties thereto](http://www.sec.gov/Archives/edgar/data/1938571/000121390025014630/ea023016901ex10-7_adaptin.htm)\n \n8-K\n \n000-56583\n \n10.7\n \nFebruary 18, 2025\n\n10.8\n \n[Form of Registration Rights Agreement, by and between the Company and the parties thereto](http://www.sec.gov/Archives/edgar/data/1938571/000121390025014630/ea023016901ex10-8_adaptin.htm)\n \n8-K\n \n000-56583\n \n10.8\n \nFebruary 18, 2025\n\n10.9+\n \n[2025 Equity Incentive Plan and form of award agreements](http://www.sec.gov/Archives/edgar/data/1938571/000121390025014630/ea023016901ex10-9_adaptin.htm)\n \n8-K\n \n000-56583\n \n10.9\n \nFebruary 18, 2025\n\n10.10+\n \n[Executive Employment Agreement by and between the Company and Simon C. Pedder, dated February 11, 2025](http://www.sec.gov/Archives/edgar/data/1938571/000121390025014630/ea023016901ex10-10_adaptin.htm)\n \n8-K\n \n000-56583\n \n10.10\n \nFebruary 18, 2025\n\n10.11+\n \n[Executive Employment Agreement by and between the Company and Michael J. Roberts, dated February 11, 2025](http://www.sec.gov/Archives/edgar/data/1938571/000121390025014630/ea023016901ex10-11_adaptin.htm)\n \n8-K\n \n000-56583\n \n10.11\n \nFebruary 18, 2025\n\n10.12+\n \n[Executive Employment Agreement by and between the Company and Timothy L. Maness, dated February 11, 2025](http://www.sec.gov/Archives/edgar/data/1938571/000121390025014630/ea023016901ex10-12_adaptin.htm)\n \n8-K\n \n000-56583\n \n10.12\n \nFebruary 18, 2025\n\n10.12.1+\n \n[First Amendment to Executive Employment Agreement, by and between Adaptin Bio, Inc. and Timothy L. Maness, dated October 3, 2025.](http://www.sec.gov/Archives/edgar/data/0001938571/000121390025096532/ea026027201ex10-1_adaptin.htm)\n \n8-K\n \n000-56583\n \n10.1\n \nOctober 6, 2025\n\n10.13+\n \n[Executive Employment Agreement by and between the Company and L. Arthur Hewitt, dated February 11, 2025](http://www.sec.gov/Archives/edgar/data/1938571/000121390025014630/ea023016901ex10-13_adaptin.htm)\n \n8-K\n \n000-56583\n \n10.13\n \nFebruary 18, 2025\n\n \n\n 1\n\n \n\n \n\n10.13.1+\n \n[First Amendment to Executive Employment Agreement, by and between Adaptin Bio, Inc. and L. Arthur Hewitt, dated October 3, 2025.](http://www.sec.gov/Archives/edgar/data/1938571/000121390025096532/ea026027201ex10-2_adaptin.htm)\n \n8-K\n \n000-56583\n \n10.2\n \nOctober 6, 2025\n\n10.14\n \n[Form of Subscription Agreement by and among the Company and the parties thereto, dated December 22, 2025.](https://www.sec.gov/Archives/edgar/data/1938571/000121390026038568/ea028285801ex10-14.htm)\n \n10-K\n \n000-56583\n \n10.14\n \nApril 1, 2026\n\n10.15\n \n[Form of Registration Rights Agreement by and among the Company and the parties thereto, dated December 22, 2025.](https://www.sec.gov/Archives/edgar/data/1938571/000121390026038568/ea028285801ex10-15.htm)\n \n10-K\n \n000-56583\n \n10.15\n \nApril 1, 2026\n\n14.1\n \n[Code of Ethics and Business Conduct](http://www.sec.gov/Archives/edgar/data/1938571/000121390025014630/ea023016901ex14-1_adaptin.htm)\n \n8-K\n \n000-56583\n \n14.1\n \nFebruary 18, 2025\n\n19.1\n \n[Insider Trading Policy](http://www.sec.gov/Archives/edgar/data/1938571/000121390025031878/ea023794101ex19-1_adaptin.htm)\n \n10-K\n \n000-56583\n \n19.1\n \nApril 15, 2025\n\n21.1\n \n[Subsidiaries of the Registrant](http://www.sec.gov/Archives/edgar/data/1938571/000121390025014630/ea023016901ex21-1_adaptin.htm)\n \n8-K\n \n000-56583\n \n21.1\n \nFebruary 18, 2025\n\n23.1\n \n[Consent of WithumSmith+Brown, PC](ea029420801ex23-1.htm)\n \n--\n \n--\n \n--\n \nFiled herewith\n\n31.1\n \n[Certification of President and Chief Executive Officer pursuant to Section 302 of the Sarbanes-Oxley Act of 2002](https://www.sec.gov/Archives/edgar/data/1938571/000121390026038568/ea028285801ex31-1.htm)\n \n10-K\n \n000-56583\n \n31.1\n \n\nApril 1, 2026\n\n31.2\n \n[Certification of the Chief Financial Officer pursuant to Section 302 of the Sarbanes-Oxley Act of 2002](https://www.sec.gov/Archives/edgar/data/1938571/000121390026038568/ea028285801ex31-2.htm)\n \n10-K\n \n000-56583\n \n31.2\n \n April 1, 2026\n\n31.3\n \n[Certification of President and Chief Executive Officer pursuant to Section 302 of the Sarbanes-Oxley Act of 2002](ea029420801ex31-3.htm)\n \n--\n \n--\n \n--\n \nFiled herewith\n\n31.4\n \n[Certification of the Chief Financial Officer pursuant to Section 302 of the Sarbanes-Oxley Act of 2002](ea029420801ex31-4.htm)\n \n--\n \n--\n \n--\n \nFiled herewith\n\n32.1**\n \n[Certification of the Chief Financial Officer pursuant to Section 302 of the Sarbanes-Oxley Act of 2002](https://www.sec.gov/Archives/edgar/data/1938571/000121390026038568/ea028285801ex32-1.htm)\n \n10-K\n \n000-56583\n \n32.1\n \nApril 1, 2026\n\n32.2**\n \n\n[Certification of Chief Financial Officer pursuant to Section 906 of the Sarbanes-Oxley Act of 2002](https://www.sec.gov/Archives/edgar/data/1938571/000121390026038568/ea028285801ex32-2.htm)\n\n \n10-K\n \n000-56583\n \n32.2\n \nApril 1, 2026\n\n101\n \nInteractive data file set for the financial statements and accompanying notes contained in this Report (formatted as Inline XBRL)\n \n--\n \n--\n \n--\n \nFiled herewith\n\n104\n \nCover Page Interactive Data File (formatted as Inline XBRL and contained in Exhibit 101)\n \n--\n \n--\n \n--\n \nFiled herewith\n\n \n\n+\nIndicates a management contract or any compensatory plan, contract or arrangement.\n\n \n\n*\nPortions of this exhibit (indicated by asterisks) have been omitted in accordance with Item 601(b)(10) of Regulation S-K. The registrant hereby agrees to furnish supplementally copies of any of the omitted portions of this exhibit to the SEC upon its request.\n\n \n\n**\nThe certifications furnished in Exhibit 32.1 and Exhibit 32.2 hereto are deemed to accompany this Form 10-K/A and will not be deemed “filed” for purposes of Section 18 of the Securities Exchange Act of 1934, as amended, except to the extent that the registrant specifically incorporates them by reference.\n\n \n\n 2\n\n \n\n \n\nSIGNATURES\n\n \n\nPursuant to the requirements of Section 13 or\n15(d) of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned,\nthereunto duly authorized.\n\n \n\nDate: June 12, 2026\nADAPTIN BIO, INC.\n\n \n \n \n\n \nBy:\n/s/ Timothy L. Maness\n\n \nName:\nTimothy L. Maness\n\n \nTitle:\nChief Financial Officer (On behalf of the Registrant and as Principal Financial and Accounting Officer)\n\n \n\nPursuant to the requirements of the Securities\nExchange Act of 1934, this report has been signed below by the following persons on behalf of the registrant and in the capacities and\non the dates indicated.\n\n \n\nName\n \nPosition\n \nDate\n\n \n \n \n \n \n\n/s/ Michael J. Roberts\n \nPresident, Chief Executive Officer and Director\n \nJune 12, 2026\n\nMichael J. Roberts\n \n(Principal Executive Officer)\n \n \n\n \n \n \n \n \n\n/s/ Simon C. Pedder\n \nExecutive Chairman and Director\n \nJune 12, 2026\n\nSimon C. Pedder\n \n \n \n \n\n \n \n \n \n \n\n/s/ Timothy L. Maness\n \nChief Financial Officer\n \nJune 12, 2026\n\nTimothy L. Maness\n \n(Principal Financial and Accounting Officer)\n \n \n\n \n \n \n \n \n\n/s/ Patrick Gallagher\n \nDirector\n \nJune 12, 2026\n\nPatrick Gallagher\n \n \n \n \n\n \n \n \n \n \n\n/s/ J. Nick Riehle\n \nDirector\n \nJune 12, 2026\n\nJ. Nick Riehle\n \n \n \n \n\n \n \n \n \n \n\n/s/ Anthony Zook\n \nDirector\n \nJune 12, 2026\n\nAnthony Zook\n \n \n \n \n\n \n\n 3"}