{"url_path":"/sec/vbio/10-q/2026/item-6","section_key":"item-6","section_title":"Item 6 **","topic":"sec","document":{"doc_type":"10-Q","doc_date":"2026-05-14","source_url":"https://www.sec.gov/Archives/edgar/data/1787740/0001437749-26-017142-index.html","accession_number":"0001437749-26-017142","cik":"0001787740","ticker":"VBIO","issuer_name":"Tivic Health Systems, Inc.","edgar_url":"https://www.sec.gov/Archives/edgar/data/1787740/0001437749-26-017142-index.html","primary_entity_key":"0001787740","primary_entity_name":"Valion Bio, Inc."},"word_count":539,"has_tables":true,"body_markdown":"**Item 6.**\n\n**Exhibits**\n\n \n\n**Exhibit** **Number**\n\n**    **\n\n**Exhibit description**\n\n**    **\n\n**Incorporated**\n**by Reference**\n**(Form Type)**\n\n**    **\n\n**Filing Date**\n\n**    **\n\n**Filed herewith**\n\n** **\n\n3.1\n \n[Certificate of Amendment to the Amended and Restated Certificate of Incorporation, filed April 22, 2026](http://www.sec.gov/Archives/edgar/data/1787740/000168316826003161/tivic_ex0301.htm)\n \n8-K\n \n4/22/2026\n \n \n \n\n \n \n \n \n \n \n \n \n \n \n\n4.1\n\n \n[Tumim Form of Pre-Funded Warrant](http://www.sec.gov/Archives/edgar/data/1787740/000168316826000877/tivic_ex0401.htm)\n \n8-K\n \n2/9/2026\n \n \n \n\n \n \n \n \n \n \n \n \n \n \n\n10.1†\n \n[Common Stock Purchase Agreement by and between Tivic Health Systems, Inc. and Tumim Stone Capital, LLC, dated February 6, 2026](http://www.sec.gov/Archives/edgar/data/1787740/000168316826000877/tivic_ex1001.htm)\n \n8-K\n \n2/9/2026\n \n \n \n\n \n \n \n \n \n \n \n \n \n \n\n10.2\n\n \n[Registration Rights Agreement by and between Tivic Health Systems, Inc. and Tumim Stone Capital, LLC, dated February 6, 2026](http://www.sec.gov/Archives/edgar/data/1787740/000168316826000877/tivic_ex1002.htm)\n \n\n8-K\n\n \n\n2/9/2026\n\n \n \n \n\n \n \n \n \n \n \n \n \n \n \n\n10.3#\n\n \n[Separation Agreement by and between Tivic Health Systems, Inc. and Jennifer Ernst, dated March 3, 2026](http://www.sec.gov/Archives/edgar/data/1787740/000168316826001461/tivic_ex1001.htm)\n \n\n8-K\n\n \n\n3/4/2026\n\n \n \n \n\n \n \n \n \n \n \n \n \n \n \n\n10.4\n \n[Building Lease Agreement by and between Velocity Bioworks, Inc. and TPB Merchants Ice LLC, dated March 13, 2026](http://www.sec.gov/Archives/edgar/data/1787740/000168316826001781/tivic_ex1001.htm)\n \n8-K\n \n3/13/2026\n \n \n \n\n \n \n \n \n \n \n \n \n \n \n\n10.5\n \n[Lease by and between Velocity Bioworks, Inc. and Merchants Ice II, LLC, dated March 9, 2026](http://www.sec.gov/Archives/edgar/data/1787740/000168316826001781/tivic_ex1002.htm)\n \n8-K\n \n3/13/2026\n \n \n \n\n \n \n \n \n \n \n \n \n \n \n\n10.6\n \n[Sublease by and among Velocity Bioworks, Inc., Texas Research and Technology Foundation, and TPB Merchants Inc LLC, signed March 13, 2026](http://www.sec.gov/Archives/edgar/data/1787740/000168316826001781/tivic_ex1003.htm)\n \n8-K\n \n3/13/2026\n \n \n \n\n \n \n \n \n \n \n \n \n \n \n\n10.7#\n\n \n[Executive Employment Agreement, by and between Valion Bio, Inc. and Melinda Lackey, dated May 1, 2026](http://www.sec.gov/Archives/edgar/data/1787740/000168316826003446/valion_ex1001.htm)\n \n8-K\n \n\n5/4/2026\n\n \n \n \n\n \n \n \n \n \n \n \n \n \n \n\n31.1\n\n \n\n[Certification of Chief Executive Officer pursuant to Rule 13a-14(a) and Rule 15d-14(a), as adopted pursuant to Section 302 of the Sarbanes-Oxley Act of 2002.](ex_941935.htm)\n\n \n \n \n \n \n\nX\n\n \n\n \n \n \n \n \n \n \n \n \n \n\n31.2\n\n \n\n[Certification of Chief Financial Officer pursuant to Rule 13a-14(a) and Rule 15d-14(a), as adopted pursuant to Section 302 of the Sarbanes-Oxley Act of 2002.](ex_941936.htm)\n\n \n \n \n \n \n\nX\n\n \n\n \n \n \n \n \n \n \n \n \n \n\n32.1\n\n \n\n[Certification of Chief Executive Officer and Chief Financial Officer pursuant to 18 U.S.C. Section 1350, as adopted pursuant to Section 906 of the Sarbanes-Oxley Act of 2002.](ex_941937.htm)\n\n \n \n \n \n \n\n*\n\n \n\n \n \n \n \n \n \n \n \n \n \n\n101.INS\n\n \n\nInline XBRL Instance Document.\n\n \n \n \n \n \n\n**\n\n \n\n \n \n \n \n \n \n \n \n \n \n\n101.SCH\n\n \n\nInline XBRL Taxonomy Extension Schema With Embedded Linkbase Documents.\n\n \n \n \n \n \n\n**\n\n \n\n \n \n \n \n \n \n \n \n \n \n\n104\n\n \n\nCover Page Interactive Data File – the cover page interactive data file does not appear in the Interactive Data File because its XBRL tags are embedded within the Inline XBRL document.\n\n \n \n \n \n \n\n**\n\n \n\n \n\n \n\n*\n\nFurnished herewith.\n\n**\n\nThe XBRL related information in Exhibit 101 shall not be deemed “filed” for purposes of Section 18 of the Securities Exchange Act of 1934, as amended, or otherwise subject to liability of that section and shall not be incorporated by reference into any filing or other document pursuant to the Securities Act of 1933, as amended, except as shall be expressly set forth by specific reference in such filing or document.\n\n#\n\nIndicates management contract or compensatory plan.\n\n†\n\nPursuant to Item 601(b)(10) of Regulation S-K, certain confidential portions of this exhibit have been omitted by means of marking such portions with asterisks as the identified confidential portions are both not material and are the type of information that the registrant treats as private or confidential. The registrant agrees to supplementally furnish an unredacted copy of this exhibit to the SEC upon its request.\n\n \n\n38\n\n[Table of Contents](#toc)\n\n \n\n**SIGNATURE**\n\n \n\nPursuant 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.\n\n \n\n \n\nDate: May 14, 2026\n\nBy:\n\n/s/ Michael Handley\n\n \n \n\nMichael Handley\n\n \n \n\nTitle: Chief Executive Officer and Director\n\n \n \n\n*(Duly Authorized Officer and Principal Executive Officer)*\n\n \n \n \n\nDate: May 14, 2026\n\nBy:\n\n/s/ Lisa Wolf\n\n \n \n\nLisa Wolf\n\n \n \n\nTitle: Chief Financial Officer\n\n \n \n\n*(Principal Financial and Accounting Officer)*\n\n \n\n39"}