{"url_path":"/sec/gtbp/10-q/2026/item-6","section_key":"item-6","section_title":"Item 6 Exhibits**","topic":"sec","document":{"doc_type":"10-Q","doc_date":"2026-05-15","source_url":"https://www.sec.gov/Archives/edgar/data/109657/0001493152-26-023346-index.html","accession_number":"0001493152-26-023346","cik":"0000109657","ticker":"GTBP","issuer_name":"GT Biopharma, Inc.","edgar_url":"https://www.sec.gov/Archives/edgar/data/109657/0001493152-26-023346-index.html","primary_entity_key":"0000109657","primary_entity_name":"GT Biopharma, Inc."},"word_count":609,"has_tables":true,"body_markdown":"**Item\n6. Exhibits**\n\n \n\n**Exhibit**\n \n**Description**\n \n**Filed\nHerewith**\n \n**Form**\n \n**Number**\n \n**SEC\nFile No.**\n \n**Filing\nDate**\n\n \n \n \n \n \n \n \n \n \n \n \n \n \n\n3.1\n \n[Restated Certificate of Incorporation as filed in Delaware September 10, 1996 and as thereafter amended through March 1, 2002](https://www.sec.gov/Archives/edgar/data/109657/000103221002000530/dex3a.txt)\n \n \n \n10-KSB\n \n3.A\n \n000-08092\n \n4/1/2002\n\n3.2\n \n[Certificate of Amendment to the Restated Certificate of Incorporation of GT Biopharma, Inc., dated February 9, 2011](https://www.sec.gov/Archives/edgar/data/109657/000151316011000020/ex32.htm)\n \n \n \n10-K\n \n3.2\n \n000-08092\n \n3/31/2011\n\n3.3\n \n[Certificate of Amendment to the Restated Certificate of Incorporation of GT Biopharma, Inc., effective as of July 19, 2017](https://www.sec.gov/Archives/edgar/data/109657/000165495418002596/gtbp_ex31.htm)\n \n \n \n8-K/A\n \n3.1\n \n000-08092\n \n3/15/2018\n\n3.4\n \n[Certificate of Amendment to the Restated Certificate of Incorporation of GT Biopharma, Inc., effective as of February 10, 2021](https://www.sec.gov/Archives/edgar/data/109657/000165495421001479/gtbp_ex31.htm)\n \n \n \n8-K\n \n3.1\n \n001-40023\n \n2/11/2021\n\n3.5\n \n[Certificate of Amendment to Restated Certificate of Incorporation of the Registrant effective June 13, 2022](https://www.sec.gov/Archives/edgar/data/109657/000149315223009812/ex3-5.htm)\n \n \n \n10-K\n \n3.5\n \n001-40023\n \n3/30/2023\n\n3.6\n \n[Certificate of Amendment to Restated Certificate of Incorporation of the Registrant effective February 1, 2024](https://www.sec.gov/Archives/edgar/data/109657/000149315224004587/ex3-1.htm)\n \n \n \n8-K\n \n3.1\n \n001-40023\n \n2/1/2024\n\n3.7\n \n[Amended and Restated Bylaws of GT Biopharma, Inc. effective November 3, 2022](https://www.sec.gov/Archives/edgar/data/109657/000149315222031139/ex3-1.htm)\n \n \n \n8-K\n \n3.1\n \n001-40023\n \n11/9/2022\n\n4.1\n \n[Certificate of Designation of Preferences, Rights and Limitations of Series J-1 Preferred Stock of GT Biopharma, Inc., dated April 3, 2019](https://www.sec.gov/Archives/edgar/data/109657/000093979819000017/exhibitthreeone.htm)\n \n \n \n8-K\n \n3.1\n \n000-08092\n \n4/5/2019\n\n4.2\n \n[Certificate of Designation of Preferences, Rights and Limitations of Series K Preferred Stock of GT Biopharma, Inc. dated April 3, 2019](https://www.sec.gov/Archives/edgar/data/109657/000165495421004295/gtbp_ex42.htm)\n \n \n \n10-K\n \n4.2\n \n001-40023\n \n4/16/2021\n\n4.3\n \n[Certificate of Designation of Preferences, Rights and Limitations of Series L 10% Convertible Preferred Stock of GT Biopharma, Inc., dated May 12, 2025](https://www.sec.gov/Archives/edgar/data/109657/000164117225009854/ex3-1.htm)\n \n \n \n8-K\n \n3.1\n \n001-40023\n \n5/13/2025\n\n4.4\n \n[Certificate of Increase to Certificate of Designation of Preferences, Rights and Limitations of Series L 10% Convertible Preferred Stock of GT Biopharma, Inc., dated May 21, 2025](https://www.sec.gov/Archives/edgar/data/109657/000164117225012481/ex3-1.htm)\n \n \n \n8-K\n \n3.1\n \n001-40023\n \n5/27/2025\n\n4.5\n \n[Form of Waiver](https://www.sec.gov/Archives/edgar/data/109657/000149315225014684/ex10-1.htm)\n \n \n \n8-K\n \n10.1\n \n001-40023\n \n9/23/2025\n\n4.6\n \n[Form of Pre-Funded Common Stock Purchase Warrant](https://www.sec.gov/Archives/edgar/data/109657/000149315225019296/ex4-49.htm)\n \n \n \nS-1\n \n4.49\n \n333-291060\n \n10/24/2025\n\n10.1\n \n[Investigator Initiated Clinical Trial Agreement, dated as of April 3, 2026, by and between GT Biopharma, Inc. and the Regents of the University of Minnesota.](https://www.sec.gov/Archives/edgar/data/109657/000149315226015413/ex10-1.htm)\n \n \n \n8-K\n \n10.1\n \n001-40023\n \n4/7/2026\n\n31.1\n \n[Certification of Principal Executive Officer pursuant to Rule 13a-14 and Rule 15d-14(a), promulgated under the Securities and Exchange Act of 1934, as amended.](ex31-1.htm)\n \n*\n \n \n \n \n \n \n \n \n\n31.2\n \n[Certification of Principal Executive Officer pursuant to Rule 13a-14 and Rule 15d-14(a), promulgated under the Securities and Exchange Act of 1934, as amended.](ex31-2.htm)\n \n*\n \n \n \n \n \n \n \n \n\n32.1\n \n[Certification of Principal Executive Officer pursuant to 18 U.S.C. Section 1350, as adopted pursuant to section 906 of the Sarbanes-Oxley Act of 2002*](ex32-1.htm)\n \nX\n \n \n \n \n \n \n \n \n\n32.2\n \n[Certification of Principal Executive Officer pursuant to 18 U.S.C. Section 1350, as adopted pursuant to section 906 of the Sarbanes-Oxley Act of 2002*](ex32-2.htm)\n \nX\n \n \n \n \n \n \n \n \n\n101.INS\n \nInline\nXBRL Instance Document.\n \nX\n \n \n \n \n \n \n \n \n\n101.SCH\n \nInline\nXBRL Taxonomy Extension Schema Document.\n \nX\n \n \n \n \n \n \n \n \n\n101.CAL\n \nInline\nXBRL Taxonomy Extension Calculation Linkbase\n \nX\n \n \n \n \n \n \n \n \n\n101.DEF\n\n \nInline\nXBRL Taxonomy Extension Definition Linkbase\n \nX\n \n \n \n \n \n \n \n \n\n101.LAB\n\n \nInline\nXBRL Taxonomy Extension Label Linkbase Document.\n \nX\n \n \n \n \n \n \n \n \n\n101.PRE\n\n \nInline\nXBRL Taxonomy Extension Presentation Linkbase\n \nX\n \n \n \n \n \n \n \n \n\n104\n \nCover\nPage Interactive Data File (embedded within the Inline XBRL document)\n \nX\n \n \n \n \n \n \n \n \n\n \n\n*\nThis\ncertification shall not be deemed “filed” for purposes of Section 18 of the Exchange Act, or otherwise subject to the\nliability of that Section, nor shall it be deemed to be incorporated by reference into any filing under the Securities Act or the\nExchange Act.\n\n \n\n29\n\n \n\n \n\n**SIGNATURES**\n\n \n\nPursuant\nto the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by\nthe undersigned thereunto duly authorized.\n\n \n\n \n**GT\nBIOPHARMA, INC.**\n\n \n \n \n\nDated:\nMay 15, 2026\nBy:\n*/s/\nMichael Breen*\n\n \n \nMichael\nBreen\n\n \n \n\nChief\nExecutive Officer and\n\nExecutive\nChairman of the Board\n\n \n \n(Principal\nExecutive Officer)\n\n \n\nDated:\nMay 15, 2026\nBy:\n*/s/\nAlan Urban*\n\n \n \nAlan\nUrban\n\n \n \nChief\nFinancial Officer & Secretary\n\n \n \n(Principal\nFinancial and Accounting Officer)\n\n \n\n30"}