{"url_path":"/sec/hcwb/10-q/2026/item-6","section_key":"item-6","section_title":"Item 6 Exhibits.**","topic":"sec","document":{"doc_type":"10-Q","doc_date":"2026-05-14","source_url":"https://www.sec.gov/Archives/edgar/data/1828673/0001493152-26-023131-index.html","accession_number":"0001493152-26-023131","cik":"0001828673","ticker":"HCWB","issuer_name":"HCW Biologics Inc.","edgar_url":"https://www.sec.gov/Archives/edgar/data/1828673/0001493152-26-023131-index.html","primary_entity_key":"0001828673","primary_entity_name":"HCW Biologics Inc."},"word_count":1395,"has_tables":true,"body_markdown":"** **\n\n**Item\n6. Exhibits.**\n\n** **\n\nThe\nexhibits filed or furnished as part of this Quarterly Report on Form 10-Q are set forth on the Exhibit Index, which Exhibit Index is\nincorporated herein by reference.\n\n \n\n39\n\n \n\n \n\n**Exhibit\nIndex**\n\n \n\n \n \n \n \n**Incorporated\nby reference**\n \n**Filed or furnished**\n\n**Exhibit\nNo.**\n \n**Exhibit\ntitle**\n \n**Form**\n \n**File\nNo.**\n \n\n**Exhibit\nNo.**\n\n \n**Filing\ndate**\n \n\n**herewith**\n\n3.1\n \n[Amended\nand Restated Certificate of Incorporation](https://www.sec.gov/Archives/edgar/data/1828673/000119312521224302/d179831dex31.htm)\n \n8-K\n \n001-40591\n \n3.1\n \n07/26/2021\n \n \n\n3.1a\n \n[Certificate\nof Amendment of Certificate of Incorporation, filed March 31, 2025](https://www.sec.gov/Archives/edgar/data/1828673/000095017025048619/hcwb-ex3_1a.htm)\n \n8-K\n \n001-40591\n \n3.1a\n \n04/01/2025\n \n \n\n3.1b\n \n[Certificate\nof Correction of the Certificate of Amendment of Certificate of Incorporation, filed April 1, 2025](https://www.sec.gov/Archives/edgar/data/1828673/000095017025048619/hcwb-ex3_1b.htm)\n \n8-K\n \n001-40591\n \n3.1b\n \n04/01/2025\n \n \n\n3.2\n \n[Amended\nand Restated Bylaws](https://www.sec.gov/Archives/edgar/data/1828673/000119312521224302/d179831dex32.htm)\n \n8-K\n \n001-40591\n \n3.2\n \n07/26/2021\n \n \n\n4.1\n \n[Specimen\nStock Certificate](https://www.sec.gov/Archives/edgar/data/1828673/000119312521191316/d39345dex41.htm)\n \nS-1/A\n \n333-256510\n \n4.1\n \n07/09/2021\n \n \n\n4.2\n \n[Description\nof Securities](https://www.sec.gov/Archives/edgar/data/1828673/000095017022004847/hcwb-ex4_2.htm)\n \n10-K\n \n001-40591\n \n4.2\n \n03/29/2022\n \n \n\n4.3\n \n[Form\nof New Warrant](https://www.sec.gov/Archives/edgar/data/1828673/000119312525289873/hcwb-ex4_1.htm)\n \n8-K\n \n001-40591\n \n4.1\n \n11/20/2025\n \n \n\n4.4\n \n[Form\nof Common Stock Purchase Warrant](https://www.sec.gov/Archives/edgar/data/1828673/000119312526059578/hcwb-ex4_1.htm)\n \n8-K\n \n001-40591\n \n4.1\n \n02/19/2026\n \n \n\n4.5\n \n[Form\nof Common Stock Warrant, dated May 7, 2025, between Company and Holder](https://www.sec.gov/Archives/edgar/data/1828673/000095017025109642/hcwb-ex10_13.htm)\n \n10-Q\n \n001-40591\n \n10.13\n \n08/18/2025\n \n \n\n4.7\n \n[Form\nof Pre-Funded Warrant Purchase Warrant](https://www.sec.gov/Archives/edgar/data/1828673/000149315226018758/ex4-7.htm)\n \n S-1\n \n 333-295280\n \n 4.7\n \n 04/23/2026\n \n \n\n10.1\n \n[Form\nof Inducement Agreement between the Company and Armistice Capital Management LLC](https://www.sec.gov/Archives/edgar/data/1828673/000119312525289873/hcwb-ex10_1.htm)\n \n8-K\n \n001-40591\n \n10.1\n \n11/20/2025\n \n \n\n10.2\n \n[Securities\nPurchase Agreement, dated February 17, 2026, between Company and Purchaser](https://www.sec.gov/Archives/edgar/data/1828673/000119312526059578/hcwb-ex10_2.htm)\n \n8-K\n \n001-40591\n \n10.2\n \n02/19/2026\n \n \n\n10.3\n \n[Amendment\nto Existing Warrants Agreement, dated February 17, 2026, between the Company and Purchaser](https://www.sec.gov/Archives/edgar/data/1828673/000119312526059578/hcwb-ex10_3.htm)\n \n8-K\n \n001-40591\n \n10.3\n \n02/19/2026\n \n \n\n10.4\n \n[Form\nof Lock-up Agreement](https://www.sec.gov/Archives/edgar/data/1828673/000119312526046873/d55258dex1042.htm)\n \nS-1\n \n333-393396\n \n10.42\n \n02.11.2026\n \n \n\n10.5\n \n[Form\nof Indemnification Agreement between HCW Biologics Inc. and each of its officers and directors](https://www.sec.gov/Archives/edgar/data/1828673/000119312521191316/d39345dex101.htm).\n \nS-1/A\n \n333-256510\n \n10.1\n \n07/09/2021\n \n \n\n10.6+\n \n[2019\nEquity Incentive Plan, as amended, and forms of agreement thereunder.](https://www.sec.gov/Archives/edgar/data/1828673/000119312521173753/d39345dex102.htm)\n \nS-1\n \n333-256510\n \n10.2\n \n07/09/2021\n \n \n\n10.7+\n \n[First\nAmendment to 2019 Equity Incentive Plan.](https://www.sec.gov/Archives/edgar/data/1828673/000119312521173753/d39345dex103.htm)\n \nS-1\n \n333-256510\n \n10.3\n \n07/09/2021\n \n \n\n10.8+\n \n[2021\nEquity Incentive Plan and forms of agreement thereunder](https://www.sec.gov/Archives/edgar/data/1828673/000119312521209000/d39345dex104.htm)\n \nS-1\n \n333-256510\n \n10.4\n \n07/09/2021\n \n \n\n10.9+\n \n[Employment\nAgreement, dated July 6, 2021, between Peter Rhode and HCW Biologics Inc.](https://www.sec.gov/Archives/edgar/data/1828673/000119312521209000/d39345dex106.htm)\n \nS-1\n \n333-256510\n \n10.6\n \n07/09/2021\n \n \n\n10.10+\n \n[Employment\nAgreement, dated October 9, 2019, between Rebecca Byam and HCW Biologics Inc.](https://www.sec.gov/Archives/edgar/data/1828673/000119312521173753/d39345dex107.htm)\n \nS-1\n \n333-256510\n \n10.7\n \n07/09/2021\n \n \n\n \n\n40\n\n \n\n \n\n \n \n \n \n**Incorporated\nby reference**\n\n \n**Filed or furnished**\n\n**Exhibit\nNo.**\n \n**Exhibit\ntitle**\n \n**Form**\n \n**File\nNo.**\n \n**Exhibit\nNo.**\n \n**Filing\ndate**\n \n\n**herewith**\n\n10.11+\n \n[Non-Employee\nDirector Compensation Policy.](https://www.sec.gov/Archives/edgar/data/1828673/000119312521191316/d39345dex108.htm)\n \nS-1\n \n333-256510\n \n10.8\n \n07/09/2021\n \n \n\n10.12+\n \n[Employment\nAgreement, dated June 18, 2021, between Dr. Hing C. Wong and HCW Biologics Inc.](https://www.sec.gov/Archives/edgar/data/1828673/000119312521209000/d39345dex1013.htm)\n \nS-1\n \n333-256510\n \n10.13\n \n07/09/2021\n \n \n\n10.13+\n \n[Executive\nIncentive Bonus Plan](https://www.sec.gov/Archives/edgar/data/1828673/000119312521191316/d39345dex1011.htm)\n \nS-1\n \n333-256510\n \n10.11\n \n07/09/2021\n \n \n\n10.14†\n \n[Exclusive\nLicense Agreement, dated December 24, 2020, between HCW Biologics Inc. and Wugen, Inc.](https://www.sec.gov/Archives/edgar/data/1828673/000119312521173753/d39345dex1010.htm)\n \nS-1\n \n333-256510\n \n10.10\n \n07/09/2021\n \n \n\n10.15†\n \n[Master\nServices Agreement, dated March 14, 2019, between HCW Biologics Inc. and EirGenix, Inc.](https://www.sec.gov/Archives/edgar/data/1828673/000119312521209000/d39345dex1012.htm)\n \nS-1\n \n333-256510\n \n10.12\n \n07/09/2021\n \n \n\n10.16†#\n \n[Purchase\nand Sale Agreement, by and between HCW Biologics Inc. and Wai 3300 Corporate Way, LLC, dated May 27, 2022](https://www.sec.gov/Archives/edgar/data/1828673/000095017022017015/hcwb-ex10_1.htm)\n \n10-Q\n \n001-40591\n \n10.1\n \n08/12/2022\n \n \n\n10.17#\n \n[Loan\nAgreement by and between HCW Biologics Inc. and Cogent Bank, dated August 15, 2022](https://www.sec.gov/Archives/edgar/data/1828673/000095017022022697/hcwb-ex10_1.htm)\n \n10-Q\n \n001-40591\n \n10.1\n \n11/07/2022\n \n \n\n10.18#\n \n[Mortgage\nand Security Agreement by and between HCW Biologics Inc. and Cogent Bank, dated August 15, 2022](https://www.sec.gov/Archives/edgar/data/1828673/000095017022022697/hcwb-ex10_2.htm)\n \n10-Q\n \n001-40591\n \n10.2\n \n11/07/2022\n \n \n\n10.19\n \n[Form\nof Subscription Agreement, dated February 20, 2024, by and between the Company and the Subscribers party thereto](https://www.sec.gov/Archives/edgar/data/1828673/000095017024018451/hcwb-ex10_1.htm)\n \n8-K\n \n001-40591\n \n10.1\n \n02/22/2024\n \n \n\n10.20\n \n[Form\nof Amended and Restated Senior Secured Note Purchase Agreement, dated July 2, 2024, by and between the Company and the Purchase party\nthereto](https://www.sec.gov/Archives/edgar/data/1828673/000095017024097121/hcwb-ex10_1.htm)\n \n10-Q\n \n001-40591\n \n10.1\n \n08/14/2024\n \n \n\n10.21\n \n[Form\nof Amended and Restated Pledge Agreement, dated July 2, 2024, by and among the Company, Escrow Agent and Noteholder parties thereto](https://www.sec.gov/Archives/edgar/data/1828673/000095017024097121/hcwb-ex10_3.htm)\n \n10-Q\n \n001-40591\n \n10.3\n \n08/14/2024\n \n \n\n10.22\n \n[Form\nof Escrow Agreement, dated May 1, 2025, by and between the Company, Escrow Agent and Noteholder party thereto](https://www.sec.gov/Archives/edgar/data/1828673/000095017024097121/hcwb-ex10_4.htm)\n \n10-Q\n \n001-40591\n \n10.4\n \n08.14.2024\n \n \n\n10.23\n \n[Form\nof First Amendment to Amended and Restated Secured Note Purchase Agreement, dated September 30, 2024, by and between the Company\nand Purchaser party thereto](https://www.sec.gov/Archives/edgar/data/1828673/000095017024127198/hcwb-ex10_5.htm)\n \n10-Q\n \n001-40591\n \n10.5\n \n11/14/2024\n \n \n\n10.24\n \n[Form\nof Secured Promissory Note by and between the Company and the Holder party thereof](https://www.sec.gov/Archives/edgar/data/1828673/000095017024097121/hcwb-ex10_2.htm)\n \n10-Q\n \n001-40591\n \n10.2\n \n08/14/2024\n \n \n\n10.25\n \n[Second\nAmendment to Amended and Restated Senior Secured Note Purchase Agreement and Related Agreements, dated May 1, 2025, between Company\nand Holder](https://www.sec.gov/Archives/edgar/data/1828673/000095017025109642/hcwb-ex10_12.htm)\n \n10-Q\n \n001-40591\n \n10.12\n \n08/18/2025\n \n \n\n10.26\n \n[Equity\nPurchase Agreement, dated February 20, 2025, between the Company and Square Gate Master Fund - Series 4.](https://www.sec.gov/Archives/edgar/data/1828673/000095017025024989/hcwb-ex10_1.htm)\n \n8-K\n \n001-40591\n \n10.1\n \n2/21/2025\n \n \n\n10.27\n \n[Registration\nRights Agreement, dated February 20, 2025, between the Company and Square Gate Master Fund - Series 4](https://www.sec.gov/Archives/edgar/data/1828673/000095017025024989/hcwb-ex10_2.htm)\n \n8-K\n \n001-40591\n \n10.2\n \n2/21/2025\n \n \n\n10.28\n \n[First\nAmendment to the Equity Purchase Agreement, dated August 14, 2025, between the Company and Square Gate Master Fund - Series 4.](https://www.sec.gov/Archives/edgar/data/1828673/000095017025109139/hcwb-ex10_1.htm)\n \n8-K\n \n001-40591\n \n10.1\n \n08/15/2025\n \n \n\n \n\n41\n\n \n\n \n\n \n \n \n \n**Incorporated\nby reference**\n\n \n**Filed or furnished**\n\n**Exhibit\nNo.**\n \n**Exhibit\ntitle**\n \n**Form**\n \n**File\nNo.**\n \n**Exhibit\nNo.**\n \n**Filing\ndate**\n \n**herewith**\n\n10.29\n \n[Amended\nand Restated Amended and Restated License, Research and Co-Development Agreement, dated November 17, 2025, between the Company and\nBeijing Trimmune Biotech Co., Ltd.](https://www.sec.gov/Archives/edgar/data/1828673/000119312526046873/d55258dex1040.htm)\n \nS-1\n \n333-293396\n \n10.40\n \n02/11/2026\n \n \n\n10.30†#\n \n[Amendment\n1 to Amended and Restated License, Research and Co-Development Agreement, dated January 27, 2026, between the Company and Beijing\nTrimmune Biotech Co., Ltd.](https://www.sec.gov/Archives/edgar/data/1828673/000119312526046873/d55258dex1043.htm)\n \nS-1\n \n333-293396\n \n10.43\n \n02/11/2026\n \n \n\n10.31†#\n \n[Shareholder\nPurchase Agreement, dated October 10, 2025, between co-founders of Beijing Trimmune Biotech Co., Ltd., including the Company](https://www.sec.gov/Archives/edgar/data/1828673/000119312526046873/d55258dex1044.htm)\n \nS-110.35\n \n333-293396\n \n10.44\n \n02/11/2026\n \n \n\n10.32\n \n[Exclusive\nLicense Agreement 12-Month Suspension, dated May 29, 2025, between the Company and Wugen, Inc.](https://www.sec.gov/Archives/edgar/data/1828673/000095017025109642/hcwb-ex10_17.htm)\n \n10-Q\n \n001-40591\n \n10.17\n \n08/18/2025\n \n \n\n10.33\n \n[Settlement\nAgreement and Release, dated July 13, 2024, by and between the Company and Altor BioScience, LLC, NantCell, Inc., and ImmunityBio,\nInc.](https://www.sec.gov/Archives/edgar/data/1828673/000095017024127198/hcwb-ex10_6.htm)\n \n10-Q\n \n001-40591\n \n10.6\n \n11/14/2024\n \n \n\n10.34\n \n[Placement\nAgency Agreement, dated February 17, 2026, between the Company and Maxim Group LLC](https://www.sec.gov/Archives/edgar/data/1828673/000119312526059578/hcwb-ex10_1.htm)\n \n8-K\n \n001-40591\n \n10.1\n \n02/19/2026\n \n \n\n10.40\n \n\n[Definitive Proxy Statement dated April 28, 2026, on Form 14A, including Appendices](ex10-40.htm)\n\n \n \n \n \n \n \n \n \n \nX\n\n \n\n42\n\n \n\n \n\n**Exhibit**\n\n \n \n \n**Incorporated\nby Reference**\n \n**Filed**\n\n**Number**\n \n**Description**\n \n**Form**\n \n**File\nNo.**\n \n**Exhibit\nNo.**\n \n**Filing\nDate**\n \n**Herewith**\n\n31.1\n \n[Certification\nof Principal Executive Officer Pursuant to Rules 13a-14(a) and 15d-14(a) under the Securities Exchange Act of 1934, as Adopted Pursuant\nto Section 302 of the Sarbanes-Oxley Act of 2002.](ex31-1.htm)\n \n \n \n \n \n \n \n \n \nX\n\n31.2\n \n[Certification\nof Principal Financial Officer Pursuant to Rules 13a-14(a) and 15d-14(a) under the Securities Exchange Act of 1934, as Adopted Pursuant\nto Section 302 of the Sarbanes-Oxley Act of 2002.](ex31-2.htm)\n \n \n \n \n \n \n \n \n \nX\n\n32.1*\n \n[Certification\nof Principal Executive Officer Pursuant to 18 U.S.C. Section 1350, as Adopted Pursuant to Section 906 of the Sarbanes-Oxley Act of\n2002.](ex32-1.htm)\n \n \n \n \n \n \n \n \n \nX\n\n32.2*\n \n[Certification\nof Principal Financial Officer Pursuant to 18 U.S.C. Section 1350, as Adopted Pursuant to Section 906 of the Sarbanes-Oxley Act of\n2002.](ex32-2.htm)\n \n \n \n \n \n \n \n \n \nX\n\n101\n \nThe\nfollowing materials from the Company’s Quarterly Report on Form 10-Q for the quarter ended March 31, 2026, formatted in Inline\nXBRL (eXtensible Business Reporting Language): (i) the Condensed Balance Sheets as of December 31, 2025 and March 31, 2026 (unaudited);\n(ii) the Condensed Statements of Operations for the three months ended March 31, 2025 (unaudited) and March 31, 2026 (unaudited);\n(iv) the Condensed Statements of Changes in Stockholders’ Equity for the three months ended March 31, 2025 (unaudited) and\nMarch 31, 2026 (unaudited); (v) the Condensed Statements of Cash Flows for the three months ended March 31, 2025 (unaudited) and\nMarch 31, 2026 (unaudited); and (vi) the notes to the Condensed Financial Statements (unaudited).\n \n \n \n \n \n \n \n \n \n X\n\n104\n \nCover\nPage Interactive Data File (formatted as Inline XBRL and contained in Exhibit 101)\n \n \n \n \n \n \n \n \n \n X\n\n \n\n*\n*This certification is deemed not filed for purpose of Section 18 of the Exchange Act or otherwise subject to the liability of that\nsection, nor shall it be deemed incorporated by reference into any filing under the Securities Act or the Exchange Act.*\n\n \n\n*+\nIndicates a management contract or compensatory plan or arrangement.*\n\n \n\n*††\nCertain information in this document has been excluded pursuant to Item 601(b)(10) of Regulation S-K. Such excluded information is not\nmaterial and is the type of information the Registrant treats as private and confidential. The Registrant agrees to furnish supplementally\nsuch information to the SEC upon request.*\n\n \n\n*#\nCertain information in this document has been excluded pursuant to Item 601(a)(5) or (a)(6) of Regulation S-K. The Registrant agrees\nto furnish supplementally such information to the SEC upon request.*\n\n* *\n\n****\n\n43\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 \nHCW\nBiologics Inc.\n\n \n \n \n \n\nDate:\nMay 14, 2026\n \nBy:\n*/s/\nHing C. Wong*\n\n \n \n \nHing\nC. Wong\n\n \n \n \nChief\nExecutive Officer\n\n \n \n \n(Principal\nExecutive Officer)\n\n \n \n \n \n\nDate:\nMay 14, 2026\n \nBy:\n*/s/\nRebecca Byam*\n\n \n \n \nRebecca\nByam\n\n \n \n \nChief\nFinancial Officer\n\n \n \n \n(Principal\nFinancial and Accounting Officer)\n\n \n\n44"}