CRGS / CurAegis Technologies Inc - SEC फाइलिंग, वार्षिक रिपोर्ट, प्रॉक्सी स्टेटमेंट

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CIK 1063197
SEC Filings
All companies that sell securities in the United States must register with the Securities and Exchange Commission (SEC) and file reports on a regular basis. These reports include company annual reports (10K, 10Q), news updates (8K), investor presentations (found in 8Ks), insider trades (form 4), ownership reports (13D, and 13G), and reports related to the specific securities sold, such as registration statements and prospectus. This page shows recent SEC filings related to CurAegis Technologies Inc
SEC Filings (Chronological Order)
यह पृष्ठ SEC फाइलिंग की एक पूरी, कालानुक्रमिक सूची प्रदान करता है, ओनरशिप फाइलिंग को छोड़कर, जो हम अन्यत्र प्रदान करते हैं।
March 19, 2021 8-K

Financial Statements and Exhibits, Triggering Events That Accelerate or Increase a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement, Results of Operations and Financial Condition, Other Events

8-K 1 crgs202103188k.htm FORM 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): March 19, 2021 (March 19, 2021) CurAegis Technologies, Inc. (Exact name of registrant as specified in its charter) New York 000-24455 16-1509512 (Sta

March 19, 2021 EX-99.1

CurAegis Announces Immediate Cessation of Operations

Exhibit 99.1 CurAegis Announces Immediate Cessation of Operations ROCHESTER, NEW YORK— (March 19, 2021) – CurAegis Technologies, Inc. (OTC: CRGS) announced today that it will immediately cease operations. At this time, the Company does not have access to sufficient capital or prospects of additional financing to continue operations and meet its contractual obligations. The Company was incorporated

February 26, 2021 8-K

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers

8-K 1 crgs202102258k.htm FORM 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): February 26, 2021 (February 23, 2021) CurAegis Technologies, Inc. (Exact name of registrant as specified in its charter) New York 000-24455 16-150951

January 12, 2021 EX-4.1

Form of Securities Purchase Agreement

Exhibit 4.1 SECURITIES PURCHASE AGREEMENT This SECURITIES PURCHASE AGREEMENT (the “Agreement”), dated as of January 6, 2021, by and between CurAegis Technologies, Inc., a New York corporation, with its address at 350 Linden Oaks, Rochester, New York 14625 (the “Company”), and GENEVA ROTH REMARK HOLDINGS, INC., a New York corporation, with its address at 111 Great Neck Road, Suite 216, Great Neck,

January 12, 2021 8-K

Entry into a Material Definitive Agreement, Unregistered Sales of Equity Securities, Financial Statements and Exhibits, Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant

8-K 1 crgs202101118k.htm FORM 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): January 11, 2021 (January 6, 2021) CurAegis Technologies, Inc. (Exact name of registrant as specified in its charter) New York 000-24455 16-1509512 (

January 12, 2021 EX-4.2

Form of Note

Exhibit 4.2 NEITHER THE ISSUANCE AND SALE OF THE SECURITIES REPRESENTED BY THIS CERTIFICATE NOR THE SECURITIES INTO WHICH THESE SECURITIES ARE CONVERTIBLE HAVE BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED, OR APPLICABLE STATE SECURITIES LAWS. THE SECURITIES MAY NOT BE OFFERED FOR SALE, SOLD, TRANSFERRED OR ASSIGNED IN THE ABSENCE OF (A) AN EFFECTIVE REGISTRATION STATEMENT FOR THE S

December 7, 2020 8-K

Regulation FD Disclosure, Entry into a Material Definitive Agreement, Financial Statements and Exhibits, Completion of Acquisition or Disposition of Assets

8-K 1 crgs202012078k.htm FORM 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): December 7, 2020 (December 3, 2020) CurAegis Technologies, Inc. (Exact name of registrant as specified in its charter) New York 000-24455 16-1509512

December 7, 2020 EX-2.1

Asset Purchase Agreement, between Poseidon Fluid Power, LLC and CurAegis Technologies, Inc., dated December 3, 2020

Exhibit 2.1 ASSET PURCHASE AGREEMENT AMONG POSEIDON FLUID POWER, LLC ("PURCHASER") and CURAEGIS TECHNOLOGIES, INC. ("SELLER") DATED December 3, 2020 1 ASSET PURCHASE AGREEMENT THIS ASSET PURCHASE AGREEMENT entered into as of December 3, 2020, is by and among CURAEGIS TECHNOLOGIES, INC., a New York corporation with offices at 350 Linden Oaks, Rochester, New York 14625 ("Seller"), and POSEIDON FLUID

December 7, 2020 EX-2.2

Technology Transfer & Assignment Agreement, between Poseidon Fluid Power, LLC and CurAegis Technologies, Inc.,, dated December 3, 2020

EX-2.2 3 ex216610.htm EXHIBIT 2.2 Exhibit 2.2 TECHNOLOGY TRANSFER AND ASSIGNMENT AGREEMENT THIS TECHNOLOGY TRANSFER AND ASSIGNMENT AGREEMENT (“Assignment”), dated as of December 3, 2020, is made by and between CURAEGIS TECHNOLOGIES, INC., a New York corporation with offices at 350 Linden Oaks, Rochester, New York 14625 ("Seller"), and POSEIDON FLUID POWER, LLC, a New York limited liability company

December 7, 2020 EX-99.1

CurAegis Completes Sale of Aegis Assets

Exhibit 99.1 CurAegis Completes Sale of Aegis Assets ROCHESTER, NEW YORK— (December 7, 2020) – CurAegis Technologies (OTC:CRGS) is pleased to announce the completion of the sale of its Aegis division assets to Poseidon Fluid Power, LLC. Included in the sale are the patents, trademarks, and other intellectual property as well as testing equipment, prototypes, and other fixed assets related to the A

November 30, 2020 EX-4.1

Form of Securities Purchase Agreement

EX-4.1 2 ex215894.htm EXHIBIT 4.1 Exhibit 4.1 SECURITIES PURCHASE AGREEMENT This SECURITIES PURCHASE AGREEMENT (the “Agreement”), dated as of , by and between , a corporation, with its address at , (the “Company”), and GENEVA ROTH REMARK HOLDINGS, INC., a New York corporation, with its address at 111 Great Neck Road, Suite 216, Great Neck, NY 11021 (the “Buyer”). WHEREAS: A. The Company and the Bu

November 30, 2020 8-K

Entry into a Material Definitive Agreement, Unregistered Sales of Equity Securities, Financial Statements and Exhibits, Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant - FORM 8-K

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): November 30, 2020 (November 25 2020) CurAegis Technologies, Inc. (Exact name of registrant as specified in its charter) New York 000-24455 16-1509512 (State or other jurisdiction of i

November 30, 2020 EX-4.2

Form of Note

Exhibit 4.2 NEITHER THE ISSUANCE AND SALE OF THE SECURITIES REPRESENTED BY THIS CERTIFICATE NOR THE SECURITIES INTO WHICH THESE SECURITIES ARE CONVERTIBLE HAVE BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED, OR APPLICABLE STATE SECURITIES LAWS. THE SECURITIES MAY NOT BE OFFERED FOR SALE, SOLD, TRANSFERRED OR ASSIGNED IN THE ABSENCE OF (A) AN EFFECTIVE REGISTRATION STATEMENT FOR THE S

November 17, 2020 8-K

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): November 17, 2020 (November 11, 2020) CurAegis Technologies, Inc. (Exact name of registrant as specified in its charter) New York 000-24455 16-1509512 (State or other jurisdiction of

November 13, 2020 10-Q

Quarterly Report - FORM 10-Q

Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ☑ Quarterly Report pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 For the quarterly period ended September 30, 2020 OR ☐ Transition Report pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 For the transition period from to Commission File No. 0

November 12, 2020 8-K

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers - FORM 8-K

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): November 11, 2020 (November 5, 2020) CurAegis Technologies, Inc. (Exact name of registrant as specified in its charter) New York 000-24455 16-1509512 (State or other jurisdiction of i

October 26, 2020 EX-4.1

Form of Securities Purchase Agreement

Exhibit 4.1 SECURITIES PURCHASE AGREEMENT This SECURITIES PURCHASE AGREEMENT (the “Agreement”), dated as of October 19, 2020, by and between CurAegis Technologies, Inc., a New York corporation, with its address at 350 Linden Oaks, Rochester, New York 14625 (the “Company”), and GENEVA ROTH REMARK HOLDINGS, INC., a New York corporation, with its address at 111 Great Neck Road, Suite 216, Great Neck,

October 26, 2020 8-K

Entry into a Material Definitive Agreement, Unregistered Sales of Equity Securities, Financial Statements and Exhibits, Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant - FORM 8-K

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): October 23, 2020 (October 19, 2020) CurAegis Technologies, Inc. (Exact name of registrant as specified in its charter) New York 000-24455 16-1509512 (State or other jurisdiction of in

October 26, 2020 EX-4.2

Form of Note

Exhibit 4.2 NEITHER THE ISSUANCE AND SALE OF THE SECURITIES REPRESENTED BY THIS CERTIFICATE NOR THE SECURITIES INTO WHICH THESE SECURITIES ARE CONVERTIBLE HAVE BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED, OR APPLICABLE STATE SECURITIES LAWS. THE SECURITIES MAY NOT BE OFFERED FOR SALE, SOLD, TRANSFERRED OR ASSIGNED IN THE ABSENCE OF (A) AN EFFECTIVE REGISTRATION STATEMENT FOR THE S

September 2, 2020 8-K

Entry into a Material Definitive Agreement, Unregistered Sales of Equity Securities, Financial Statements and Exhibits, Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant - FORM 8-K

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): September 2, 2020 (August 27, 2020) CurAegis Technologies, Inc. (Exact name of registrant as specified in its charter) New York 000-24455 16-1509512 (State or other jurisdiction of in

August 14, 2020 10-Q

Quarterly Report - FORM 10-Q

10-Q 1 crgs2020063010q.htm FORM 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ☒ Quarterly Report pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 For the quarterly period ended June 30, 2020 OR ☐ Transition Report pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 For the transition peri

August 14, 2020 EX-10.4

Consulting Agreement, Outsourced Finance Services, dated June 1, 2020

Exhibit 10.4 Appendix A: Statement of Work (SOW) SOW Number: 01 Services This Statement of Work (SOW 01), effective June 1, 2020 (SOW 01 Effective Date), is governed by the terms of the Master Service Agreement (“Agreement”) made between Positive Venture Group Inc., 501 – 1400 St. Laurent Blvd., Ottawa, Ontario, K1K 4H4, Canada (“Positive”) and CurAegis Technologies Inc., 350 Linden Oaks, Rocheste

August 12, 2020 8-K

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers - FORM 8-K

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): August 12, 2020 (August 6, 2020) CurAegis Technologies, Inc. (Exact name of registrant as specified in its charter) New York 000-24455 16-1509512 (State or other jurisdiction of incor

July 30, 2020 8-K

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): July 29, 2020 (July 24, 2020) CurAegis Technologies, Inc. (Exact name of registrant as specified in its charter) New York 000-24455 16-1509512 (State or other jurisdiction of incorpor

July 9, 2020 8-K

Entry into a Material Definitive Agreement, Unregistered Sales of Equity Securities, Financial Statements and Exhibits, Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant

8-K 1 crgs202007078k.htm FORM 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): July 09, 2020 (July 2, 2020) CurAegis Technologies, Inc. (Exact name of registrant as specified in its charter) New York 000-24455 16-1509512 (State

June 5, 2020 8-K

Entry into a Material Definitive Agreement, Unregistered Sales of Equity Securities, Financial Statements and Exhibits, Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): June 5, 2020 (June 3, 2020) CurAegis Technologies, Inc. (Exact name of registrant as specified in its charter) New York 000-24455 16-1509512 (State or other jurisdiction of incorporat

May 13, 2020 10-Q

Quarterly Report - FORM 10-Q

10-Q 1 crgs2020033110q.htm FORM 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ☑ Quarterly Report pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 For the quarterly period ended March 31, 2020 OR ☐ Transition Report pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 For the transition per

April 9, 2020 8-K

Current Report

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): April 9, 2020 (April 8, 2020) CurAegis Technologies, Inc. (Exact name of registrant as specified in its charter) New York 000-24455 16-1509512 (State or other jurisdiction of incorpor

April 3, 2020 8-K

Entry into a Material Definitive Agreement, Unregistered Sales of Equity Securities, Financial Statements and Exhibits, Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): April 3, 2020 (March 31, 2020) CurAegis Technologies, Inc. (Exact name of registrant as specified in its charter) New York 000-24455 16-1509512 (State or other jurisdiction of incorpo

March 27, 2020 10-K

TOVC / Torvec, Inc. 10-K - Annual Report - FORM 10-K

Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K (Mark One) ☑ Annual Report pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 For the Fiscal Year Ended DECEMBER 31, 2019 OR ☐ Transition Report pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 For the Transition Period from to Commission file number 000-244

March 26, 2020 8-K

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Financial Statements and Exhibits

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): March 24, 2020 (March 25, 2020) CurAegis Technologies, Inc. (Exact name of registrant as specified in its charter) New York 000-24455 16-1509512 (State or other jurisdiction of incorp

March 26, 2020 EX-10.1

020, incorporated by reference to Exhibit 10.1 to CurAegis Technologies, Inc. Current Report on Form 8-K filed with the Securities and Exchange Commission on March 25, 2020.

EX-10.1 2 ex178958.htm EXHIBIT 10.1 Exhibit 10.1 March 24, 2020 James R. Donnelly 350 Linden Oaks Rochester, NY 14625 Dear Jim: In connection with the appointment as Chief Executive Officer and President of CurAegis Technologies, Inc. (the “Company”) your annual compensation will be $175,000 per annum. You will receive an increase to your base salary based on CurAegis’ achievement of net sales goa

March 20, 2020 8-K

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): March 20, 2020 (March 19, 2020) CurAegis Technologies, Inc. (Exact name of registrant as specified in its charter) New York 000-24455 16-1509512 (State or other jurisdiction of incorp

March 6, 2020 EX-99.1

CURAEGIS TECHNOLOGIES, INC. CEO REPORT MARCH 6, 2020

Exhibit 99.1 CURAEGIS TECHNOLOGIES, INC. CEO REPORT MARCH 6, 2020 Dear Shareholders, I am happy to report that our MyCadian app is working and is now available for download in the Apple App Store. We are now in a soft launch stage. Our basic product offering which includes a CURA (Circadian User Risk Assessment) score, our Predictive Fatigue and Alertness analysis, Z-Coach, Notifications, and some

March 6, 2020 8-K

Financial Statements and Exhibits, Other Events

8-K 1 crgs202003068k.htm FORM 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): March 6, 2020 CurAegis Technologies, Inc. (Exact name of registrant as specified in its charter) New York 000-24455 16-1509512 (State or other jurisd

March 3, 2020 8-K

Entry into a Material Definitive Agreement, Unregistered Sales of Equity Securities, Financial Statements and Exhibits, Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): March 3, 2020 (February 28, 2020) CurAegis Technologies, Inc. (Exact name of registrant as specified in its charter) New York 000-24455 16-1509512 (State or other jurisdiction of inco

February 25, 2020 8-K

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): February 25, 2020 (February 19, 2020) CurAegis Technologies, Inc. (Exact name of registrant as specified in its charter) New York 000-24455 16-1509512 (State or other jurisdiction of

January 31, 2020 8-K

Entry into a Material Definitive Agreement, Unregistered Sales of Equity Securities, Financial Statements and Exhibits, Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): January 31, 2020 (January 29, 2020) CurAegis Technologies, Inc. (Exact name of registrant as specified in its charter) New York 000-24455 16-1509512 (State or other jurisdiction of in

January 13, 2020 8-K

Entry into a Material Definitive Agreement, Unregistered Sales of Equity Securities, Financial Statements and Exhibits, Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): January 13, 2020 (January 7, 2020) CurAegis Technologies, Inc. (Exact name of registrant as specified in its charter) New York 000-24455 16-1509512 (State or other jurisdiction of inc

December 20, 2019 8-K

Entry into a Material Definitive Agreement, Financial Statements and Exhibits, Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): December 20, 2019 (December 16, 2019) CurAegis Technologies, Inc. (Exact name of registrant as specified in its charter) New York 000-24455 16-1509512 (State or other jurisdiction of

December 20, 2019 EX-10.1

Unsecured Subordinated Promissory Note Agreement, dated December 16, 2019

EX-10.1 2 ex167611.htm EXHIBIT 10.1 Exhibit 10.1 UNSECURED SUBORDINATED PROMISSORY NOTE AGREEMENT $35,000 December 16, 2019 For value received, CurAegis Technologies, Inc., a New York state corporation (“the Company”), promises to pay to RICHARD A. KAPLAN, the principal sum of Thirty-Five Thousand Dollars ($35,000) (the “Principal Amount”). Simple interest shall accrue from the issuance date of th

December 13, 2019 EX-10.1

Unsecured Subordinated Promissory Note Agreement, dated December 11, 2019

Exhibit 10.1 UNSECURED SUBORDINATED PROMISSORY NOTE AGREEMENT $40,000 December 11, 2019 For value received, CurAegis Technologies, Inc., a New York state corporation (“the Company”), promises to pay to RICHARD A. KAPLAN, the principal sum of Forty Thousand Dollars ($40,000) (the “Principal Amount”). Simple interest shall accrue from the issuance date of this Note on the unpaid Principal Amount at

December 13, 2019 8-K

Entry into a Material Definitive Agreement, Financial Statements and Exhibits, Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): December 13, 2019 (December 11, 2019) CurAegis Technologies, Inc. (Exact name of registrant as specified in its charter) New York 000-24455 16-1509512 (State or other jurisdiction of

December 2, 2019 EX-10.1

Unsecured Subordinated Promissory Note Agreement, dated November 25, 2019

Exhibit 10.1 UNSECURED SUBORDINATED PROMISSORY NOTE AGREEMENT $50,000 November 25, 2019 For value received, CurAegis Technologies, Inc., a New York state corporation (“the Company”), promises to pay to RICHARD A. KAPLAN, the principal sum of Fifty Thousand Dollars ($50,000) (the “Principal Amount”). Simple interest shall accrue from the issuance date of this Note on the unpaid Principal Amount at

December 2, 2019 8-K

Entry into a Material Definitive Agreement, Financial Statements and Exhibits, Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): December 2, 2019 (November 25, 2019) CurAegis Technologies, Inc. (Exact name of registrant as specified in its charter) New York 000-24455 16-1509512 (State or other jurisdiction of i

November 8, 2019 10-Q

CRGS / CurAegis Technologies, Inc. 10-Q - Quarterly Report - FORM 10-Q

Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ☑ Quarterly Report pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 For the quarterly period ended September 30, 2019 OR ☐ Transition Report pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 For the transition period from to Commission File No. 0

October 17, 2019 EX-10.1

Unsecured Subordinated Promissory Note Agreement, dated October 16, 2019

Exhibit 10.1 UNSECURED SUBORDINATED PROMISSORY NOTE AGREEMENT $50,000 October 16, 2019 For value received, CurAegis Technologies, Inc., a New York state corporation (“the Company”), promises to pay to RICHARD A. KAPLAN, the principal sum of Fifty Thousand Dollars ($50,000) (the “Principal Amount”). Simple interest shall accrue from the issuance date of this Note on the unpaid Principal Amount at a

October 17, 2019 8-K

Entry into a Material Definitive Agreement, Financial Statements and Exhibits, Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant, Other Events

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): October 17, 2019 (October 15, 2019) CurAegis Technologies, Inc. (Exact name of registrant as specified in its charter) New York 000-24455 16-1509512 (State or other jurisdiction of in

October 15, 2019 EX-99.1

CURAEGIS TECHNOLOGIES, INC. CEO Report October 14th 2019

Exhibit 99.1 CURAEGIS TECHNOLOGIES, INC. CEO Report October 14th 2019 Dear Shareholder, The purpose of this CEO update is to report on our progress on the MyCadian/CURA and Aegis technologies. MyCadian/CURA: Our outsourced software development company has done a great job for us since last May when we gave them full responsibility for completing our APP. So far the new APP is working well with ver

October 15, 2019 8-K

Financial Statements and Exhibits, Other Events

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): October 14, 2019 CurAegis Technologies, Inc. (Exact name of registrant as specified in its charter) New York 000-24455 16-1509512 (State or other jurisdiction of incorporation) (Commi

October 7, 2019 EX-10.1

Unsecured Subordinated Promissory Note Agreement, dated October 3, 2019

Exhibit 10.1 UNSECURED SUBORDINATED PROMISSORY NOTE AGREEMENT $50,000 October 3, 2019 For value received, CurAegis Technologies, Inc., a New York state corporation (“the Company”), promises to pay to RICHARD A. KAPLAN, the principal sum of Fifty Thousand Dollars ($50,000) (the “Principal Amount”). Simple interest shall accrue from the issuance date of this Note on the unpaid Principal Amount at a

October 7, 2019 8-K

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Entry into a Material Definitive Agreement, Financial Statements and Exhibits, Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): October 7, 2019 (October 1, 2019) CurAegis Technologies, Inc. (Exact name of registrant as specified in its charter) New York 000-24455 16-1509512 (State or other jurisdiction of inco

September 24, 2019 8-K

Entry into a Material Definitive Agreement, Financial Statements and Exhibits, Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): September 24, 2019 (September 18, 2019) CurAegis Technologies, Inc. (Exact name of registrant as specified in its charter) New York 000-24455 16-1509512 (State or other jurisdiction o

September 24, 2019 EX-10.1

Unsecured Subordinated Promissory Note Agreement, dated September 18, 2019

EX-10.1 2 ex158424.htm EXHIBIT 10.1 Exhibit 10.1 UNSECURED SUBORDINATED PROMISSORY NOTE AGREEMENT $100,000 September 18, 2019 For value received, CurAegis Technologies, Inc., a New York state corporation (“the Company”), promises to pay to RICHARD A. KAPLAN, the principal sum of One Hundred Thousand Dollars ($100,000) (the “Principal Amount”). Simple interest shall accrue from the issuance date of

September 12, 2019 8-K

Current Report

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): September 12, 2019 (September 9,2019) CurAegis Technologies, Inc. (Exact name of registrant as specified in its charter) New York 000-24455 16-1509512 (State or other jurisdiction of

September 5, 2019 DEF 14A

CRGS / CurAegis Technologies, Inc. DEF 14A - - FORM DEF 14A

Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No.) Filed by the Registrant ☑ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a

August 26, 2019 8-K

Other Events

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): August 23, 2019 CurAegis Technologies, Inc. (Exact name of registrant as specified in its charter) New York 000-24455 16-1509512 (State or other jurisdiction of incorporation) (Commis

August 20, 2019 8-K

Entry into a Material Definitive Agreement, Unregistered Sales of Equity Securities, Financial Statements and Exhibits, Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): August 20, 2019 (August 16, 2019) CurAegis Technologies, Inc. (Exact name of registrant as specified in its charter) New York 000-24455 16-1509512 (State or other jurisdiction of inco

August 9, 2019 10-Q

CRGS / CurAegis Technologies, Inc. 10-Q - Quarterly Report - FORM 10-Q

Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ☑ Quarterly Report pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 For the quarterly period ended June 30, 2019 OR ☐ Transition Report pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 For the transition period from to Commission File No. 000-24

July 29, 2019 EX-10.2

Form of Demand Note

Exhibit 10.2 DEMAND NOTE New York July , 2019 $ BORROWER: CurAegis Technologies, Inc., a New York corporation with an office at 1999 Mt. Read Boulevard, Building 3, Rochester, New York 14615 and , an individual with an address of . BANK: M&T BANK, a New York banking corporation with its banking offices at One M&T Plaza, Buffalo, New York 14203 Attention: Office of the General Counsel Promise to Pa

July 29, 2019 EX-10.1

Employment Letter Agreement, dated March 24, 2020, incorporated by reference to Exhibit 10.1 to CurAegis Technologies, Inc. Current Report on Form 8-K filed with the Securities and Exchange Commission on March 25, 2020.

EX-10.1 2 ex151776.htm EXHIBIT 10.1 Exhibit 10.1 SUBSCRIPTION AGREEMENT THE SECURITIES HAVE NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933 OR THE SECURITIES LAWS OF ANY STATE OR ANY OTHER JURISDICTION. THERE ARE FURTHER RESTRICTIONS ON THE TRANSFERABILITY OF THE SECURITIES DESCRIBED HEREIN. THE PURCHASE OF THE SECURITIES INVOLVES A HIGH DEGREE OF RISK AND SHOULD BE CONSIDERED ONLY BY PERSONS

July 29, 2019 EX-10.3

General Security Agreement

Exhibit 10.3 GENERAL SECURITY AGREEMENT New York Debtor (Name): CurAegis Technologies, Inc. (Organizational Structure): corporation (State Law organized under): New York (Organizational Identification Number, if any; note that this is NOT a request for the Taxpayer Identification Number): (Address of residence/chief executive office): Bank/Secured Party: M&T Bank, a New York banking corporation wi

July 29, 2019 8-K

Entry into a Material Definitive Agreement, Unregistered Sales of Equity Securities, Financial Statements and Exhibits, Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): July 29, 2019 (July 23, 2019) CurAegis Technologies, Inc. (Exact name of registrant as specified in its charter) New York 000-24455 16-1509512 (State or other jurisdiction of incorpor

July 17, 2019 EX-10.1

Unsecured Subordinated Promissory Note Agreement, dated July 11, 2019

EX-10.1 2 ex150108.htm EXHIBIT 10.1 Exhibit 10.1 UNSECURED SUBORDINATED PROMISSORY NOTE AGREEMENT $50,000 July 11, 2019 For value received, CurAegis Technologies, Inc., a New York state corporation (“the Company”), promises to pay to RICHARD A. KAPLAN, the principal sum of Fifty Thousand Dollars ($50,000) (the “Principal Amount”). Simple interest shall accrue from the issuance date of this Note on

July 17, 2019 8-K

Entry into a Material Definitive Agreement, Financial Statements and Exhibits, Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): July 17, 2019 (July 11, 2019) CurAegis Technologies, Inc. (Exact name of registrant as specified in its charter) New York 000-24455 16-1509512 (State or other jurisdiction of incorpor

June 19, 2019 8-K

Financial Statements and Exhibits, Other Events

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): June 19, 2019 CurAegis Technologies, Inc. (Exact name of registrant as specified in its charter) New York 000-24455 16-1509512 (State or other jurisdiction of incorporation) (Commissi

June 19, 2019 EX-99.1

CurAegis Technologies, Inc. CEO Report June 19, 2019

Exhibit 99.1 CurAegis Technologies, Inc. CEO Report June 19, 2019 Dear Curaegis Shareholders, This is a short CEO update for CurAegis Technologies, Inc. as of June 19, 2019. AEGIS Division Sale: Initial contacts have been sent out. Paramax (our investment banking consultants) is expecting to send out others in the near future. We have already received some initial responses. We expect to receive f

June 3, 2019 8-K

Entry into a Material Definitive Agreement, Financial Statements and Exhibits, Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): June 3, 2019 (May 28, 2019) CurAegis Technologies, Inc. (Exact name of registrant as specified in its charter) New York 000-24455 16-1509512 (State or other jurisdiction of incorporat

June 3, 2019 EX-4.2

Form of 6% 2019 Senior Convertible Promissory Note

EX-4.2 3 ex146341.htm EXHIBIT 4.2 Exhibit 4.2 THIS NOTE AND THE SECURITIES ISSUABLE UPON THE CONVERSION HEREOF HAVE NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED, AND MAY NOT BE SOLD, PLEDGED, HYPOTHECATED, DONATED OR OTHERWISE TRANSFERRED WITHOUT COMPLIANCE WITH THE REGISTRATION OR QUALIFICATION PROVISIONS OF APPLICABLE FEDERAL AND STATE SECURITIES LAWS OR WITHOUT DELIVERING AN

June 3, 2019 EX-4.1

Form of Securities Purchase Agreement

ex_146340.htm Exhibit 4.1 SECURITIES PURCHASE AGREEMENT THIS SECURITIES PURCHASE AGREEMENT (this “Agreement”) is made and entered into as of May 28, 2019, by and between CurAegis Technologies, Inc., a New York corporation (the “Company”), each purchaser executing a counterpart signature page to this Agreement (each a “Purchaser” and collectively the “Purchasers”). RECITALS A. The Purchasers desire

May 16, 2019 8-K

Entry into a Material Definitive Agreement, Financial Statements and Exhibits, Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): May 16, 2019 (May 15, 2019) CurAegis Technologies, Inc. (Exact name of registrant as specified in its charter) New York 000-24455 16-1509512 (State or other jurisdiction of incorporat

May 16, 2019 EX-10.1

Unsecured Subordinated Promissory Agreement, dated May 15, 2019, incorporated by reference to Exhibit 10.1 to CurAegis Technologies, Inc. Current Report on Form 8-K filed with the Securities and Exchange Commission on May 16, 2019.

EX-10.1 2 ex145230.htm EXHIBIT 10.1 Exhibit 10.1 UNSECURED SUBORDINATED PROMISSORY NOTE AGREEMENT $100,000 May 15, 2019 For value received, CurAegis Technologies, Inc., a New York state corporation (“the Company”), promises to pay to RICHARD A. KAPLAN, the principal sum of One Hundred Thousand Dollars ($100,000) (the “Principal Amount”). Simple interest shall accrue from the issuance date of this

May 15, 2019 10-Q

CRGS / CurAegis Technologies, Inc. 10-Q Quarterly Report FORM 10-Q

Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ☑ Quarterly Report pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 For the quarterly period ended March 31, 2019 OR ☐ Transition Report pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 For the transition period from to Commission File No. 000-2

May 3, 2019 EX-10.1

Unsecured Subordinated Promissory Agreement, dated May 1, 2019, incorporated by reference to Exhibit 10.1 to CurAegis Technologies, Inc. Current Report on Form 8-K filed with the Securities and Exchange Commission on May 3, 2019.

EX-10.1 2 ex142650.htm EXHIBIT 10.1 Exhibit 10.1 UNSECURED SUBORDINATED PROMISSORY NOTE AGREEMENT $100,000 May 1, 2019 For value received, CurAegis Technologies, Inc., a New York state corporation (“the Company”), promises to pay to RICHARD A. KAPLAN, the principal sum of One Hundred Thousand Dollars ($100,000) (the “Principal Amount”). Simple interest shall accrue from the issuance date of this N

May 3, 2019 8-K

Entry into a Material Definitive Agreement, Financial Statements and Exhibits, Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): May 3, 2019 (May 1, 2019) CurAegis Technologies, Inc. (Exact name of registrant as specified in its charter) New York 000-24455 16-1509512 (State or other jurisdiction of incorporatio

April 30, 2019 10-K/A

CRGS / CurAegis Technologies, Inc. 10-K/A Annual Report FORM 10-K/A

Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K/A (Amendment No. 1) (Mark One) ☑ Annual Report pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 For the Fiscal Year Ended DECEMBER 31, 2018 OR ☐ Transition Report pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 For the Transition Period from to Commission

April 8, 2019 EX-99.1

CURAEGIS TECHNOLOGIES, INC. CEO Report April 4, 2019

Exhibit 99.1 CURAEGIS TECHNOLOGIES, INC. CEO Report April 4, 2019 Dear CurAegis Technologies Shareholders, This is a short CEO update for CurAegis Technologies, Inc. as of April 4, 2019. As you know we were considering licensing the Aegis pump and motor technology. However, having completed a comprehensive evaluation of the complexity of such a license, the marketplace acceptance of such a relatio

April 8, 2019 8-K

Entry into a Material Definitive Agreement, Financial Statements and Exhibits, Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant, Other Events

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): April 8, 2019 (April 4, 2019) CurAegis Technologies, Inc. (Exact name of registrant as specified in its charter) New York 000-24455 16-1509512 (State or other jurisdiction of incorpor

April 8, 2019 EX-10.2

Unsecured Subordinated Promissory Note Agreement dated March 26, 2019

Exhibit 10.2 UNSECURED SUBORDINATED PROMISSORY NOTE AGREEMENT $25,000 March 26, 2019 For value received, CurAegis Technologies, Inc., a New York state corporation (“the Company”), promises to pay to WILLIAM DESTLER, the principal sum of Twenty-Five Thousand Dollars ($25,000) (the “Principal Amount”). Simple interest shall accrue from the issuance date of this Note on the unpaid Principal Amount at

April 8, 2019 EX-10.1

Unsecured Subordinated Promissory Note Agreement dated April 4, 2019

Exhibit 10.1 UNSECURED SUBORDINATED PROMISSORY NOTE AGREEMENT $100,000 April 4, 2019 For value received, CurAegis Technologies, Inc., a New York state corporation (the “Company”), promises to pay to RICHARD A. KAPLAN, the principal sum of One Hundred Thousand Dollars ($100,000) (the “Principal Amount”). This Note is subject to the following terms and conditions. 1. Maturity. This Note is callable

March 29, 2019 10-K

CRGS / CurAegis Technologies, Inc. FORM 10-K (Annual Report)

10-K 1 crgs2018123110k.htm FORM 10-K Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K (Mark One) ☑ Annual Report pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 For the Fiscal Year Ended DECEMBER 31, 2018 OR ☐ Transition Report pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 For the Transition Period f

March 19, 2019 EX-99.1

CurAegis Technologies, Inc. CEO Report March 18, 2019

Exhibit 99.1 CurAegis Technologies, Inc. CEO Report March 18, 2019 Dear CurAegis Technologies Shareholders, This is a short CEO update for CurAegis Technologies, Inc. as of March 18, 2019. Dear Shareholders, I am sorry it has been so long since my last CEO report but I felt I had to wait for our negotiations regarding our hydraulic technology to progress to the point when I could give out informat

March 19, 2019 8-K

Financial Statements and Exhibits, Other Events

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): March 19, 2019 (March 18, 2019) CurAegis Technologies, Inc. (Exact name of registrant as specified in its charter) New York 000-24455 16-1509512 (State or other jurisdiction of incorp

January 29, 2019 EX-10.1

Unsecured Subordinated Promissory Note Agreement dated January 23, 2019 by CurAegis Technologies, Inc. for the benefit of Richard A. Kaplan, incorporated by reference to Exhibit 10.1 to CurAegis Technologies, Inc. Current Report on Form 8-K filed with the Securities and Exchange Commission on January 29, 2019.

Exhibit 10.1 UNSECURED SUBORDINATED PROMISSORY NOTE AGREEMENT $100,000 January 23, 2019 For value received, CurAegis Technologies, Inc., a New York state corporation (the “Company”), promises to pay to RICHARD A. KAPLAN, the principal sum of One Hundred Thousand Dollars ($100,000) (the “Principal Amount”). This Note is subject to the following terms and conditions. 1. Maturity. This Note is callab

January 29, 2019 8-K

Entry into a Material Definitive Agreement, Financial Statements and Exhibits, Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): January 29, 2019 (January 23, 2019) CurAegis Technologies, Inc. (Exact name of registrant as specified in its charter) New York 000-24455 16-1509512 (State or other jurisdiction of in

December 11, 2018 EX-99.1

CURAEGIS TECHNOLOGIES, INC. appoints Lance F. Drummond to Board of Directors

Exhibit 99.1 CURAEGIS TECHNOLOGIES, INC. appoints Lance F. Drummond to Board of Directors ROCHESTER, N.Y., Dec. 11, 2018 (GLOBE NEWSWIRE) - Richard A. Kaplan, Chief Executive Officer of CurAegis Technologies, Inc. (OTCBB: CRGS) announced today that Lance F. Drummond, has been appointed to the Company’s Board of Directors. In making the announcement, Mr. Kaplan stated: “Lance brings a depth of expe

December 11, 2018 8-K

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Financial Statements and Exhibits

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): December 11, 2018 (December 5, 2018) CurAegis Technologies, Inc. (Exact name of registrant as specified in its charter) New York 000-24455 16-1509512 (State or other jurisdiction of i

November 14, 2018 10-Q

CRGS / CurAegis Technologies, Inc. FORM 10-Q (Quarterly Report)

Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ☑ Quarterly Report pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 For the quarterly period ended September 30, 2018 OR ☐ Transition Report pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 For the transition period from to Commission File No. 0

October 16, 2018 8-K

Entry into a Material Definitive Agreement, Unregistered Sales of Equity Securities, Financial Statements and Exhibits, Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): October 16, 2018 (October 12, 2018) CurAegis Technologies, Inc. (Exact name of registrant as specified in its charter) New York 000-24455 16-1509512 (State or other jurisdiction of in

October 1, 2018 EX-99.1

CurAegis Technologies, Inc. CEO Update October 1, 2018

Exhibit 99.1 CurAegis Technologies, Inc. CEO Update October 1, 2018 Dear Shareholders, As we previously announced, a major hydraulics manufacturer would come to Rochester the week of September 24th to evaluate our pump and motor technology. Our MOU with them stated that they would let us know if they wanted to proceed to negotiations within 30 days from the testing. Last week a group of their seni

October 1, 2018 8-K

Financial Statements and Exhibits, Other Events

8-K 1 crgs201810018k.htm FORM 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): October 1, 2018 CurAegis Technologies, Inc. (Exact name of registrant as specified in its charter) New York 000-24455 16-1509512 (State or other juri

September 10, 2018 8-K

Entry into a Material Definitive Agreement, Unregistered Sales of Equity Securities, Financial Statements and Exhibits, Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant, Other Events

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): September 10, 2018 (September 4, 2018) CurAegis Technologies, Inc. (Exact name of registrant as specified in its charter) New York 000-24455 16-1509512 (State or other jurisdiction of

September 10, 2018 EX-99.1

CurAegis Technologies, Inc. CEO Report September 10, 2018

Exhibit 99.1 CurAegis Technologies, Inc. CEO Report September 10, 2018 Dear CurAegis Technologies Shareholders, This is a short CEO update for CurAegis Technologies, Inc. as of September 10, 2018. We have had a change in plans. We received a call from the interested hydraulics manufacturer. They would like to bring their two lead engineers from overseas to Rochester for pump testing rather than ho

August 30, 2018 8-K

Financial Statements and Exhibits, Other Events

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): August 30, 2018 CurAegis Technologies, Inc. (Exact name of registrant as specified in its charter) New York 000-24455 16-1509512 (State or other jurisdiction of incorporation) (Commis

August 30, 2018 EX-99.1

CurAegis Technologies, Inc. CEO Report August 30, 2018

Exhibit 99.1 CurAegis Technologies, Inc. CEO Report August 30, 2018 Dear CurAegis Technologies Shareholders, This is a short CEO update for CurAegis Technologies, Inc. as of August 30, 2018. We have just confirmed a date for our pump and motor validation testing at an overseas facility. The hydraulic manufacturer that we have been working with has decided to include some of their top executives to

August 7, 2018 EX-99.1

CurAegis Technologies, Inc. CEO Report August 7, 2018

Exhibit 99.1 CurAegis Technologies, Inc. CEO Report August 7, 2018 Dear CurAegis Technologies Shareholders, This is a short CEO update for CurAegis Technologies, Inc. as of August 7, 2018. CURA System: As you know, our CURA System was soft launched in May. It had some bugs, most of which are now fixed and our system is running well. One of our users actually said “The CURA system has literally cha

August 7, 2018 8-K

Financial Statements and Exhibits, Other Events

8-K 1 crgs201808028k.htm FORM 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): August 7, 2018 CurAegis Technologies, Inc. (Exact name of registrant as specified in its charter) New York 000-24455 16-1509512 (State or other juris

August 7, 2018 EX-10.3

Form of Common Stock Purchase Warrant, incorporated by reference to Exhibit 10.3 to CurAegis Technologies, Inc. Quarterly Report on Form 10-Q filed with the Securities and Exchange Commission on August 7, 2018.

EX-10.3 4 ex119932.htm EXHIBIT 10.3 Exhibit 10.3 THIS WARRANT AND ANY SHARES ACQUIRED UPON THE EXERCISE OF THIS WARRANT HAVE NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED, AND MAY NOT BE SOLD, PLEDGED, HYPOTHECATED, DONATED OR OTHERWISE TRANSFERRED WITHOUT COMPLIANCE WITH THE REGISTRATION OR QUALIFICATION PROVISIONS OF APPLICABLE FEDERAL AND STATE SECURITIES LAWS OR WITHOUT DELI

August 7, 2018 EX-10.1

Securities Purchase Agreement dated July 24, 2018, by and between CurAegis Technologies, Inc. and the investors listed therein, incorporated by reference to Exhibit 10.1 to CurAegis Technologies, Inc. Quarterly Report on Form 10-Q filed with the Securities and Exchange Commission on August 7, 2018.

EX-10.1 2 ex119930.htm EXHIBIT 10.1 Exhibit 10.1 SECURITIES PURCHASE AGREEMENT THIS SECURITIES PURCHASE AGREEMENT (this “Agreement”) is made and entered into as of JULY 24, 2018 by and between CurAegis Technologies, Inc., a New York corporation (the “Company”), each purchaser identified on Schedule A hereto (each an “Initial Purchaser” and, collectively, the “Initial Purchasers”), and each other p

August 7, 2018 EX-10.2

Form of Convertible Promissory Note, incorporated by reference to Exhibit 10.2 to CurAegis Technologies, Inc. Quarterly Report on Form 10-Q filed with the Securities and Exchange Commission on August 7, 2018.

EX-10.2 3 ex119931.htm EXHIBIT 10.2 Exhibit 10.2 THIS NOTE AND THE SECURITIES ISSUABLE UPON THE CONVERSION HEREOF HAVE NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED, AND MAY NOT BE SOLD, PLEDGED, HYPOTHECATED, DONATED OR OTHERWISE TRANSFERRED WITHOUT COMPLIANCE WITH THE REGISTRATION OR QUALIFICATION PROVISIONS OF APPLICABLE FEDERAL AND STATE SECURITIES LAWS OR WITHOUT DELIVERING

August 7, 2018 10-Q

CRGS / CurAegis Technologies, Inc. FORM 10-Q (Quarterly Report)

10-Q 1 crgs2018063010q.htm FORM 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ☑ Quarterly Report pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 For the quarterly period ended June 30, 2018 OR ☐ Transition Report pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 For the transition peri

July 13, 2018 EX-4.1

Securities Purchase Agreement dated May 18, 2018, by and between CurAegis Technologies, Inc. and the investors listed therein, incorporated by reference to Exhibit 4.1 to CurAegis Technologies, Inc. Current Report on Form 8-K filed with the Securities and Exchange Commission on July 13,2018.

EX-4.1 2 ex117763.htm EXHIBIT 4.1 Exhibit 4.1 SECURITIES PURCHASE AGREEMENT THIS SECURITIES PURCHASE AGREEMENT (this “Agreement”) is made and entered into as of MAY 8, 2018, by and between CurAegis Technologies, Inc., a New York corporation (the “Company”), each purchaser identified on Schedule A hereto (each an “Initial Purchaser” and, collectively, the “Initial Purchasers”), and each other purch

July 13, 2018 EX-4.2

Form of Convertible Promissory Note, incorporated by reference to Exhibit 4.2 to CurAegis Technologies, Inc. Current Report on Form 8-K filed with the Securities and Exchange Commission on July 13, 2018.

EX-4.2 3 ex117764.htm EXHIBIT 4.2 Exhibit 4.2 THIS NOTE AND THE SECURITIES ISSUABLE UPON THE CONVERSION HEREOF HAVE NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED, AND MAY NOT BE SOLD, PLEDGED, HYPOTHECATED, DONATED OR OTHERWISE TRANSFERRED WITHOUT COMPLIANCE WITH THE REGISTRATION OR QUALIFICATION PROVISIONS OF APPLICABLE FEDERAL AND STATE SECURITIES LAWS OR WITHOUT DELIVERING AN

July 13, 2018 EX-4.3

Form of Common Stock Purchase Warrant, incorporated by reference to Exhibit 4.3 to CurAegis Technologies, Inc. Current Report on Form 8-K filed with the Securities and Exchange Commission on July 13, 2018.

EX-4.3 4 ex117765.htm EXHIBIT 4.3 Exhibit 4.3 THIS WARRANT AND ANY SHARES ACQUIRED UPON THE EXERCISE OF THIS WARRANT HAVE NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED, AND MAY NOT BE SOLD, PLEDGED, HYPOTHECATED, DONATED OR OTHERWISE TRANSFERRED WITHOUT COMPLIANCE WITH THE REGISTRATION OR QUALIFICATION PROVISIONS OF APPLICABLE FEDERAL AND STATE SECURITIES LAWS OR WITHOUT DELIVER

July 13, 2018 8-K

Entry into a Material Definitive Agreement, Unregistered Sales of Equity Securities, Financial Statements and Exhibits, Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant

8-K 1 crgs201807138k.htm FORM 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): July 13, 2018 (July 10, 2018) CurAegis Technologies, Inc. (Exact name of registrant as specified in its charter) New York 000-24455 16-1509512 (State

June 14, 2018 8-K

Other Events, Submission of Matters to a Vote of Security Holders

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): June 14, 2018 (June 13, 2018) CURAEGIS TECHNOLOGIES, Inc. (Exact name of registrant as specified in its charter) New York 000-24455 16-1509512 (State or other jurisdiction (Commission

May 9, 2018 10-Q

CRGS / CurAegis Technologies, Inc. FORM 10-Q (Quarterly Report)

Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ☑ Quarterly Report pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 For the quarterly period ended March 31, 2018 OR ☐ Transition Report pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 For the transition period from to Commission File No. 000-2

May 7, 2018 EX-99.1

CurAegis Technologies, Inc. CEO Report May 7, 2018

Exhibit 99.1 CurAegis Technologies, Inc. CEO Report May 7, 2018 Dear CurAegis Technologies Shareholders, This is a short CEO update for CurAegis Technologies, Inc. as of May 7, 2018. Dear Shareholders, The purpose of this report is to bring you up to date on our progress. I apologize for not sending this CEO report out in early April, but I wanted to include all the information below: CURA System:

May 7, 2018 8-K

Financial Statements and Exhibits, Other Events

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): May 7, 2018 CurAegis Technologies, Inc. (Exact name of registrant as specified in its charter) New York 000-24455 16-1509512 (State or other jurisdiction of incorporation) (Commission

April 27, 2018 8-K

Entry into a Material Definitive Agreement, Unregistered Sales of Equity Securities, Financial Statements and Exhibits, Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): April 27, 2018 (April 26, 2018) CurAegis Technologies, Inc. (Exact name of registrant as specified in its charter) New York 000-24455 16-1509512 (State or other jurisdiction of incorp

April 26, 2018 DEF 14A

CRGS / CurAegis Technologies, Inc. FORM DEF 14A

Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No.) Filed by the Registrant ☑ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a

April 23, 2018 8-K

Entry into a Material Definitive Agreement, Unregistered Sales of Equity Securities, Financial Statements and Exhibits, Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): April 23, 2018 (April 17, 2018) CurAegis Technologies, Inc. (Exact name of registrant as specified in its charter) New York 000-24455 16-1509512 (State or other jurisdiction of incorp

March 30, 2018 EX-10.1

Amendment No. 4 to Securities Purchase Agreement, made as of March 27, 2018.

Exhibit 10.1 AMENDMENT NO. 4 TO SECURITIES PURCHASE AGREEMENT This AMENDMENT NO. 4 TO SECURITIES PURCHASE AGREEMENT (this “Amendment”) is made as of March 27, 2018 (the “Effective Date”), among CurAegis Technologies, Inc., a New York corporation (the “Company”), and each Purchaser executing a signature page to this Amendment. All capitalized terms used but not defined in this Amendment shall have

March 30, 2018 8-K

Entry into a Material Definitive Agreement, Unregistered Sales of Equity Securities, Financial Statements and Exhibits, Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): March 30, 2018 (March 27, 2018) CurAegis Technologies, Inc. (Exact name of registrant as specified in its charter) New York 000-24455 16-1509512 (State or other jurisdiction of incorp

March 16, 2018 10-K

CRGS / CurAegis Technologies, Inc. FORM 10-K (Annual Report)

Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K (Mark One) ☑ Annual Report pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 For the Fiscal Year Ended DECEMBER 31, 2017 OR ☐ Transition Report pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 For the Transition Period from to Commission file number 000-244

February 26, 2018 EX-10.1

Amendment No. 3 to Securities Purchase Agreement, made as of February 21, 2018.

ex105942.htm Exhibit 10.1 AMENDMENT NO. 3 TO SECURITIES PURCHASE AGREEMENT This AMENDMENT NO. 3 TO SECURITIES PURCHASE AGREEMENT (this ?Amendment?) is made as of February 21, 2018 (the ?Effective Date?), among CurAegis Technologies, Inc., a New York corporation (the ?Company?), and each Purchaser executing a signature page to this Amendment. All capitalized terms used but not defined in this Amend

February 26, 2018 8-K

Amendment No. 3 to Securities Purchase Agreement, made as of February 21, 2018, incorporated by reference to Exhibit 10.1 to CurAegis Technologies, Inc. Current Report on Form 8-K filed with the Securities and Exchange Commission on February 26, 2018

crgs201802238k.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): February 26, 2018 (February 21, 2018) CurAegis Technologies, Inc. (Exact name of registrant as specified in its charter) New York 000-24455 16-1509512 (State or oth

February 5, 2018 8-K

Financial Statements and Exhibits, Other Events

crgs201802058k.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): February 5, 2018 CurAegis Technologies, Inc. (Exact name of registrant as specified in its charter) New York 000-24455 16-1509512 (State or other jurisdiction of in

February 5, 2018 EX-99.1

CurAegis Technologies, Inc. CEO Report February 5, 2018

ex104332.htm Exhibit 99.1 CurAegis Technologies, Inc. CEO Report February 5, 2018 Dear CurAegis Technologies Shareholders, This is a short update for CurAegis Technologies, Inc. as of February 5, 2018. CURA System: We are currently on schedule to have the technology for our MyCadian and other wearable products ready for sales and delivery in late March or early April. Bringing the development mana

December 6, 2017 8-K

Entry into a Material Definitive Agreement, Unregistered Sales of Equity Securities, Financial Statements and Exhibits, Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant, Other Events

crgs201712068k.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): December 6, 2017 (November 30, 2017) CurAegis Technologies, Inc. (Exact name of registrant as specified in its charter) New York 000-24455 16-1509512 (State or othe

December 6, 2017 EX-10.1

Amendment No. 2 to Securities Purchase Agreement, made as of November 30, 2017.

ex101623.htm Exhibit 10.1 AMENDMENT NO. 2 TO SECURITIES PURCHASE AGREEMENT This AMENDMENT NO. 2 TO SECURITIES PURCHASE AGREEMENT (this ?Amendment?) is made as of November 30, 2017 (the ?Effective Date?), among CurAegis Technologies, Inc., a New York corporation (the ?Company?), and each Purchaser executing a signature page to this Amendment. All capitalized terms used but not defined in this Amend

December 6, 2017 EX-99.1

6, 2017

ex101624.htm Exhibit 99.1 December 6, 2017 CurAegis Technologies, Inc. The CURA Division As previously reported, we have moved the management and responsibilities for the development of our CURA platform in-house. Our new head of development has taken the last 60 days to analyze what we have and what we have to accomplish to get our technology ?product ready?. This has not been an easy task but we

November 14, 2017 8-K

Entry into a Material Definitive Agreement, Unregistered Sales of Equity Securities, Financial Statements and Exhibits, Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant

crgs201711138k.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): November 8, 2017 CurAegis Technologies, Inc. (Exact name of registrant as specified in its charter) New York 000-24455 16-1509512 (State or other jurisdiction of in

November 13, 2017 EX-10.1

Amendment to Securities Purchase Agreement, dated August 4, 2017, between CurAegis Technologies, Inc. and the investors listed herein.

EX-10.1 2 ex100387.htm EXHIBIT 10.1 Exhibit 10.1 AMENDMENT TO SECURITIES PURCHASE AGREEMENT This AMENDMENT TO SECURITIES PURCHASE AGREEMENT (this “Amendment”) is made as of August 4, 2017 (the “Effective Date”), among CurAegis Technologies, Inc., a New York corporation (the “Company”), and each Purchaser executing a signature page to this Amendment. All capitalized terms used but not defined in th

November 13, 2017 EX-10.2

Amendment to Employment Agreement, dated November 10, 2017, between CurAegis Technologies, Inc. and Richard A. Kaplan.

Exhibit 10.2 AMENDMENT TO EMPLOYMENT AGREEMENT This AMENDMENT TO EMPLOYMENT AGREEMENT (this “Amendment”) is entered into as of November , 2017, and made effective as of January 1, 2017 (the “Effective Date”), between CurAegis Technologies, Inc., a New York corporation (the “Company”), and Richard A. Kaplan (“Executive”). All capitalized terms used but not defined in this Amendment shall have the m

November 13, 2017 10-Q

Amendment to Employment Agreement, dated November 10, 2017, between CurAegis Technologies, Inc., and Richard A. Kaplan, incorporated by reference to Exhibit 10.2 to CurAegis Technologies, Inc. Quarterly Report on Form 10-Q filed with the Securities and Exchange Commission on November 13, 2017

10-Q 1 crgs2017093010q.htm FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ☑ Quarterly Report pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 For the quarterly period ended September 30, 2017 OR ☐ Transition Report pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 For the transition period from to Co

October 18, 2017 8-K

Other Events

crgs201710188k.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): October 18, 2017 CurAegis Technologies, Inc. (Exact name of registrant as specified in its charter) New York 000-24455 16-1509512 (State or other jurisdiction of in

October 5, 2017 8-K

Financial Statements and Exhibits, Other Events

crgs201710058k.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): October 5, 2017 CurAegis Technologies, Inc. (Exact name of registrant as specified in its charter) New York 000-24455 16-1509512 (State or other jurisdiction of inc

October 5, 2017 EX-99.1

CURAEGIS TECHNOLOGIES, INC. CEO UPDATE OCTOBER 5, 2017

EX-99.1 2 ex96335.htm EXHIBIT 99.1 Exhibit 99.1 CURAEGIS TECHNOLOGIES, INC. CEO UPDATE OCTOBER 5, 2017 ROCHESTER, N.Y. October 5, 2017 (GLOBE NEWSWIRE) Richard A. Kaplan, the Chief Executive Officer of CurAegis Technologies, Inc. provided the following update of recent events and accomplishments. Dear Shareholders, I know it has been a while since my last CEO Report, but we have been waiting for a

August 30, 2017 8-K

Entry into a Material Definitive Agreement, Unregistered Sales of Equity Securities, Financial Statements and Exhibits, Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant

crgs201708298k.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): August 24, 2017 CurAegis Technologies, Inc. (Exact name of registrant as specified in its charter) New York 000-24455 16-1509512 (State or other jurisdiction of inc

August 29, 2017 EX-4.12

FORM OF STOCK OPTION AGREEMENT

ex4-12.htm Exhibit 4.12 FORM OF NON-PLAN STOCK OPTION AGREEMENT THIS AGREEMENT, entered into as of the Grant Date (as defined in Section 1), by and between (?Participant?) and Torvec, Inc. (the ?Company?); WITNESSETH THAT: WHEREAS, the Participant is a former director of the Company; and WHEREAS, as a condition of his retiring as a member of the board, effective , the Company agreed to grant the P

August 29, 2017 EX-4.11

FORM OF FIRST AMENDMENT To NON-PLAN NONQUALIFIED STOCK OPTION AGREEMENT

ex4-11.htm Exhibit 4.11 FORM OF FIRST AMENDMENT To NON-PLAN NONQUALIFIED STOCK OPTION AGREEMENT THIS FIRST AMENDMENT to that certain Nonqualified Stock Option Agreement dated January 27, 2011 (?Agreement?) by and between Torvec, Inc. (the ?Company?) and (the ?Participant?) is effective as of March 20, 2012. WHEREAS, on January 27, 2011, the Company?s shareholders approved the grant to the Particip

August 29, 2017 EX-4.10

FORM OF NONQUALIFIED STOCK OPTION AGREEMENT

EX-4.10 2 ex4-10.htm EXHIBIT 4.10 Exhibit 4.10 FORM OF NON-PLAN NONQUALIFIED STOCK OPTION AGREEMENT This NONQUALIFIED STOCK OPTION AGREEMENT (this “Option Agreement”) is made effective as of the 27th day of January (the “Date of Grant”), between Torvec, Inc., a New York corporation (the “Company”), and (the “Participant”). R E C I T A L S: WHEREAS, on November 3, 2010 the Company’s Board of Direct

August 29, 2017 S-8

Form of First Amendment to Non-Plan Nonqualified Stock Option Agreement, incorporated by reference to Exhibit 4.11 to CurAegis Technologies, Inc. Registration Statement on Form S-8 filed with the Securities and Exchange Commission on August 29, 2017

S-8 1 crgs20170810s8.htm FORM S-8 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington D.C. 20549 FORM S-8 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 CURAEGIS TECHNOLOGIES, INC. (Exact name of Registrant as specified in its charter) New York 16-1509512 (State or other jurisdiction of incorporation or organization) (IRS Employer ID Number) 1999 Mount Read Blvd., Bldg. 3 Rocheste

August 14, 2017 8-K

Entry into a Material Definitive Agreement, Unregistered Sales of Equity Securities, Financial Statements and Exhibits, Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant

crgs201708148k.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): August 10, 2017 CurAegis Technologies, Inc. (Exact name of registrant as specified in its charter) New York 000-24455 16-1509512 (State or other jurisdiction of inc

August 8, 2017 10-Q

CRGS / CurAegis Technologies, Inc. FORM 10-Q (Quarterly Report)

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ☑ Quarterly Report pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 For the quarterly period ended June 30, 2017 OR ☐ Transition Report pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 For the transition period from to Commission File No. 000-24455 CURAEGIS TECHN

July 14, 2017 8-K

Form of Securities Purchase Agreement, dated May 31, 2017, incorporated by reference to Exhibit 4.1 to CurAegis Technologies, Inc. Current Report on Form 8-K filed with the Securities and Exchange Commission on July 14, 2017

crgs201707148k.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): July 14, 2017 (July 12, 2017) CurAegis Technologies, Inc. (Exact name of registrant as specified in its charter) New York 000-24455 16-1509512 (State or other juris

July 14, 2017 EX-4.1

Form of 2017 Securities Purchase Agreement dated May 31, 2017 (incorporated by reference to Exhibit 4.1 to CurAegis Technologies, Inc. Current Report on Form 8-K filed with the SEC on July 14, 2017).

EX-4.1 2 ex4-1.htm EXHIBIT 4.1 Exhibit 4.1 SECURITIES PURCHASE AGREEMENT THIS SECURITIES PURCHASE AGREEMENT (this “Agreement”) is made and entered into as of MAY 31, 2017, by and between CurAegis Technologies, Inc., a New York corporation (the “Company”), each purchaser identified on Schedule A hereto (each an “Initial Purchaser” and, collectively, the “Initial Purchasers”), and each other purchas

July 14, 2017 EX-4.3

Form of Common Stock Purchase Warrant (incorporated by reference to Exhibit 4.3 to CurAegis Technologies, Inc. Current Report on Form 8-K filed with the SEC on July 14, 2017).

EX-4.3 4 ex4-3.htm EXHIBIT 4.3 Exhibit 4.3 THIS WARRANT AND ANY SHARES ACQUIRED UPON THE EXERCISE OF THIS WARRANT HAVE NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED, AND MAY NOT BE SOLD, PLEDGED, HYPOTHECATED, DONATED OR OTHERWISE TRANSFERRED WITHOUT COMPLIANCE WITH THE REGISTRATION OR QUALIFICATION PROVISIONS OF APPLICABLE FEDERAL AND STATE SECURITIES LAWS OR WITHOUT DELIVERING

July 14, 2017 EX-4.2

Form of 2017 Convertible Promissory Note (incorporated by reference to Exhibit 4.2 to CurAegis Technologies, Inc. Current Report on Form 8-K filed with the SEC on July 14, 2017).

EX-4.2 3 ex4-2.htm EXHIBIT 4.2 Exhibit 4.2 THIS NOTE AND THE SECURITIES ISSUABLE UPON THE CONVERSION HEREOF HAVE NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED, AND MAY NOT BE SOLD, PLEDGED, HYPOTHECATED, DONATED OR OTHERWISE TRANSFERRED WITHOUT COMPLIANCE WITH THE REGISTRATION OR QUALIFICATION PROVISIONS OF APPLICABLE FEDERAL AND STATE SECURITIES LAWS OR WITHOUT DELIVERING AN OP

June 15, 2017 8-K

Other Events

8-K 1 crgs201706158k.htm FORM 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): June 15, 2017 CURAEGIS TECHNOLOGIES, Inc. (Exact name of registrant as specified in its charter) New York 000-24455 16-1509512 (State or other jurisd

May 30, 2017 8-K

Financial Statements and Exhibits

crgs201705308k.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): May 30, 2017 CurAegis Technologies, Inc. (Exact name of registrant as specified in its charter) New York 000-24455 16-1509512 (State or other jurisdiction (Commissi

May 30, 2017 EX-99.1

CURAEGIS TECHNOLOGIES, INC. ISSUES CEO UPDATE

ex99-1.htm Exhibit 99.1 CURAEGIS TECHNOLOGIES, INC. ISSUES CEO UPDATE ROCHESTER, N.Y. May 30, 2017 (GLOBE NEWSWIRE) Richard A. Kaplan, the Chief Executive Officer of CurAegis Technologies, Inc. provided the following update of the Company?s recent events and accomplishments. Dear Shareholders, CURA System We are on schedule to have our system ready for shipments in the third quarter. As we move cl

May 10, 2017 10-Q

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ☑ Quarterly Report pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 For the quarterly period ended March 31, 2017 OR ☐ Transition Report pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 For the transition period from to Commission File No. 000-24455 CURAEGIS TECH

May 9, 2017 DEFR14A

CurAegis Technologies FORM DEFR14A

crgs20170509defr14a.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. 1) Filed by the Registrant ? Filed by a Party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? Confidential, for Use of the Commission Only (as permitted by

April 25, 2017 DEF 14A

CurAegis Technologies FORM DEF 14A

crgs20170420pre14a.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ? Filed by a Party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? Confidential, for Use of the Commission Only (as permitted by Ru

March 20, 2017 10-K

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K

10-K 1 crgs2016123110k.htm FORM 10-K ` UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K (Mark One) ☑ Annual Report pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 For the Fiscal Year Ended DECEMBER 31, 2016 OR ☐ Transition Report pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 For the Transition Period from to Commissio

March 17, 2017 8-K

Current Report

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): March 17, 2017 CurAegis Technologies, Inc. (Exact name of registrant as specified in its charter) New York 000-24455 16-1509512 (State or other jurisdiction of incorporation) (Commiss

January 25, 2017 8-K

Financial Statements and Exhibits

crgs201701258k.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): January 25, 2017 CurAegis Technologies, Inc. (Exact name of registrant as specified in its charter) New York 000-24455 16-1509512 (State or other jurisdiction (Comm

January 25, 2017 EX-99.1

CURAEGIS TECHNOLOGIES, INC. ISSUES CEO UPDATE

EX-99.1 2 ex99-1.htm EXHIBIT 99.1 Exhibit 99.1 CURAEGIS TECHNOLOGIES, INC. ISSUES CEO UPDATE ROCHESTER, N.Y. January 25, 2017 (GLOBE NEWSWIRE) Richard A. Kaplan, the Chief Executive Officer of CurAegis Technologies, Inc. provided the following update of the Company’s recent events and accomplishments. Dear Shareholders, We are pleased to announce the appointment of James R. Donnelly as Senior Vice

December 22, 2016 8-K

Entry into a Material Definitive Agreement, Unregistered Sales of Equity Securities, Financial Statements and Exhibits, Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant

crgs201612228k.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): December 16, 2016 CurAegis Technologies, Inc. (Exact name of registrant as specified in its charter) New York 000-24455 16-1509512 (State or other jurisdiction of i

November 16, 2016 SC 13D/A

TOVC / Torvec, Inc. / GOLISANO B THOMAS - SCHEDULE 13D/A Activist Investment

SC 13D/A 1 goli20161116sc13da.htm SCHEDULE 13D/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D/A Under the Securities Exchange Act of 1934 (Amendment No. 2)* CURAEGIS TECHNOLOGIES, INC. (Name of Issuer) Common Stock, par value $0.01 per share (Title of Class of Securities) 23127Q102 (CUSIP Number) Matthew Ray c/o Fishers Asset Management 1 Fishers Road Pittsf

November 14, 2016 EX-99.1

CURAEGIS TECHNOLOGIES, INC. ISSUES CEO PRODUCT UPDATE

EX-99.1 2 ex99-1.htm EXHIBIT 99.1 Exhibit 99.1 CURAEGIS TECHNOLOGIES, INC. ISSUES CEO PRODUCT UPDATE ROCHESTER, N.Y November 14, 2016 (GLOBE NEWSWIRE) - On November 14, 2016, Richard A. Kaplan, the chief executive officer of CurAegis Technologies, Inc., provided the following update of the Company’s accomplishments and business priorities as presented below. Dear Shareholders, This is a very inter

November 14, 2016 8-K

CurAegis Technologies FORM 8-K (Current Report/Significant Event)

crgs201611148k.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): November 14, 2016 CurAegis Technologies, Inc. (Exact name of registrant as specified in its charter) New York 000-24455 16-1509514 (State or other jurisdiction (Com

November 9, 2016 8-K

Entry into a Material Definitive Agreement, Unregistered Sales of Equity Securities, Financial Statements and Exhibits, Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): November 7, 2016 CurAegis Technologies, Inc. (Exact name of registrant as specified in its charter) New York 000-24455 16-1509512 (State or other jurisdiction of incorporation) (Commi

November 4, 2016 10-Q

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q

cura2016083010q.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ☑ Quarterly Report pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 For the quarterly period ended September 30, 2016 OR ☐ Transition Report pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 For the transition period from to Commission File No.

September 8, 2016 SC 13D

TOVC / Torvec, Inc. / Saunders E. Philip - SCHEDULE 13D Activist Investment

philly20160907sc13d.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 CURAEGIS TECHNOLOGIES, INC. (Name of Issuer) Common Stock, par value $0.01 per share (Title of Class of Securities) 23127Q102 (CUSIP Number) E. Philip Saunders 762 Brooks Avenue Rochester, NY 14619 Telephone (585) 783-2611 (Name, Address and telepho

September 7, 2016 8-K

Unregistered Sales of Equity Securities

cura201609078k.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): September 7, 2016 CurAegis Technologies, Inc. (Exact name of registrant as specified in its charter) New York 000-24455 16-1509512 (State or other jurisdiction of i

September 1, 2016 EX-4.2

CURAEGIS TECHNOLOGIES, INC. CONVERTIBLE PROMISSORY NOTE

EX-4.2 3 ex4-2.htm EXHIBIT 4.2 Exhibit 4.2 THIS NOTE AND THE SECURITIES ISSUABLE UPON THE CONVERSION HEREOF HAVE NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED, AND MAY NOT BE SOLD, PLEDGED, HYPOTHECATED, DONATED OR OTHERWISE TRANSFERRED WITHOUT COMPLIANCE WITH THE REGISTRATION OR QUALIFICATION PROVISIONS OF APPLICABLE FEDERAL AND STATE SECURITIES LAWS OR WITHOUT DELIVERING AN OP

September 1, 2016 8-K

Entry into a Material Definitive Agreement, Unregistered Sales of Equity Securities, Financial Statements and Exhibits, Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): August 25, 2016 CurAegis Technologies, Inc. (Exact name of registrant as specified in its charter) New York 000-24455 16-1509512 (State or other jurisdiction of incorporation) (Commis

September 1, 2016 EX-4.3

CURAEGIS TECHNOLOGIES, INC. COMMON STOCK PURCHASE WARRANT VOID AFTER 5:00 P.M., EASTERN TIME, ON THE EXPIRATION DATE

ex4-3.htm Exhibit 4.3 THIS WARRANT AND ANY SHARES ACQUIRED UPON THE EXERCISE OF THIS WARRANT HAVE NOT BEEN REGISTERED UNDER THE SECURITIES ACT OF 1933, AS AMENDED, AND MAY NOT BE SOLD, PLEDGED, HYPOTHECATED, DONATED OR OTHERWISE TRANSFERRED WITHOUT COMPLIANCE WITH THE REGISTRATION OR QUALIFICATION PROVISIONS OF APPLICABLE FEDERAL AND STATE SECURITIES LAWS OR WITHOUT DELIVERING AN OPINION OF COUNSE

September 1, 2016 EX-4.1

SECURITIES PURCHASE AGREEMENT

ex4-1.htm Exhibit 4.1 SECURITIES PURCHASE AGREEMENT THIS SECURITIES PURCHASE AGREEMENT (this ?Agreement?) is made and entered into as of August 25, 2016, by and between CurAegis Technologies, Inc., a New York corporation (the ?Company?), each purchaser executing a counterpart signature page to this Agreement (each a ?Purchaser? and collectively the ?Purchasers?). RECITALS A. The Purchasers desire

August 11, 2016 EX-99.1

CURAEGIS™ TECHNOLOGIES, INC. ANNOUNCES BETA TRIALS

ex99-1.htm Exhibit 99.1 CURAEGIS? TECHNOLOGIES, INC. ANNOUNCES BETA TRIALS ROCHESTER, N.Y August 11, 2016 (GLOBE NEWSWIRE) On August 11, 2016, Richard A. Kaplan, CEO of CurAegis Technologies, Inc., announced that the company has entered into agreements with six companies to participate in the Beta Trials for our proprietary CURA? fatigue management system. We have chosen these companies very caref

August 11, 2016 10-Q

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ? Quarterly Report pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 For the quarterly period ended June 30, 2016 OR ? Transition Report pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 For the transition period from to Commission File No. 000-24455 CURAEGIS TECHN

August 11, 2016 EX-3.1

CERTIFICATE OF AMENDMENT CERTIFICATE OF INCORPORATION TORVEC, INC. Under Section 805 of the Business Corporation Law

EX-3.1 2 ex3-1.htm EXHIBIT 3.1 EXHIBIT 3.1 CERTIFICATE OF AMENDMENT OF CERTIFICATE OF INCORPORATION OF TORVEC, INC. Under Section 805 of the Business Corporation Law The undersigned Chief Executive Officer of Torvec, Inc. does hereby certify as follows: 1. The name of the Corporation is Torvec, Inc. 2. The certificate of incorporation was filed by the New York Secretary of State on September 25, 1

August 11, 2016 8-K

Certificate of Amendment of Certificate of Incorporation of CurAegis Technologies, Inc., dated June 16, 2016, changing the name to CurAegis Technologies, Inc., incorporated by reference to Exhibit 3.1 to Form 8-K filed with the Securities and Exchange Commission on August 11, 2016

cura201608108k.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): August 11, 2016 CurAegis Technologies, Inc. (Exact name of registrant as specified in its charter) New York 000-24455 16-1509512 (State or other jurisdiction of inc

June 24, 2016 8-K

Other Events

cura201606248k.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): June 24, 2016 CurAegis Technologies, Inc. (Exact name of registrant as specified in its charter) New York 000-24455 16-1509512 (State or other jurisdiction (Commiss

June 17, 2016 8-K

Other Events, Submission of Matters to a Vote of Security Holders

tovc201606178k.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): June 17, 2016 Torvec, Inc. (Exact name of registrant as specified in its charter) New York 000-24455 16-1509512 (State or other jurisdiction (Commission (I.R.S. Emp

June 13, 2016 8-K

Regulation FD Disclosure, Financial Statements and Exhibits, Other Events

8-K 1 tovc201606138k.htm FORM 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): June 13, 2016 Torvec, Inc. (Exact name of registrant as specified in its charter) New York 000-24455 16-1509512 (State or other jurisdiction (Commiss

June 13, 2016 EX-99.1

Torvec, Inc. Chief Executive Officer Report June 2016

EX-99.1 2 ex99-1.htm EXHIBIT 99.1 Exhibit 99.1 Torvec, Inc. Chief Executive Officer Report June 2016 ROCHESTER, N.Y June13, 2016 (GLOBE NEWSWIRE) - On June 13, 2016, Richard A. Kaplan, the Company’s chief executive officer, provided an update of the Company’s accomplishments and business priorities as presented below. Dear Shareholders, We have had notable accomplishments in the last year. We have

June 13, 2016 EX-99.2

TORVEC, INC. announces extension of the Series C-3 preferred stock offering through September 1, 2016

EX-99.2 3 ex99-2.htm EXHIBIT 99.2 Exhibit 99.2 TORVEC, INC. announces extension of the Series C-3 preferred stock offering through September 1, 2016 ROCHESTER, NEW YORK June 13, 2016 (NEWSWIRE) Richard A. Kaplan, Chief Executive Officer of Torvec, Inc. announced that the Company has extended the offering of the Company’s Series C-3 Voting Convertible Preferred Stock to September 1, 2016. The Compa

May 12, 2016 10-Q

Compensation Agreement, dated March 3, 2016, between Kathleen A. Browne and CurAegis Technologies, Inc., incorporated by reference to Exhibit 10.1 to Form 10-Q filed with the Securities and Exchange Commission on May 12, 2016*

10-Q 1 tovc2016033110q.htm FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ☑ Quarterly Report pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 For the quarterly period ended MARCH 31, 2016 OR ☐ Transition Report pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 For the transition period from to Commis

May 12, 2016 EX-10.1

March 3, 2016

ex10-1.htm Exhibit 10.1 March 3, 2016 Kathleen A. Browne 80 Georgian Ct. Rochester, NY 14610 Dear Kathy: In connection with the change in your position as Chief Financial Officer of Torvec, Inc. to a full time role your annual compensation will be modified as follows: Effective March 1, 2016 $150,000 Effective June 1, 2016 $200,000 Your employment continues at the convenience of the Company and yo

April 29, 2016 DEFA14A

Torvec FORM DEFA14A

tovc20160429defa14a.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ? Filed by a Party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? Confidential, for Use of the Commission Only (as permitted by R

April 29, 2016 DEF 14A

Torvec FORM DEF 14A

tovc20160428def14a.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ? Filed by a Party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? Confidential, for Use of the Commission Only (as permitted by Ru

April 19, 2016 PRE 14A

CurAegis Technologies FORM PRE 14A

tovc20160419pre14a.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ? Filed by a Party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? Confidential, for Use of the Commission Only (as permitted by Ru

March 25, 2016 EX-10.1

EX-10.1

EX-10.1 2 ex10-1.htm EXHIBIT 10.1 Exhibit 10.1

March 25, 2016 8-K

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Financial Statements and Exhibits

tovc201603258k.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): March 24, 2016 Torvec, Inc. (Exact name of registrant as specified in its charter) New York 000-24455 16-1509512 (State or other jurisdiction (Commission (I.R.S. Em

March 8, 2016 10-K

Certificate of Amendment to the Certificate of Incorporation of CurAegis, Inc., dated February 29, 2016 setting forth terms and conditions of Series C-3 Preferred, incorporated by reference to Exhibit 3.9 of Form 10-K filed for the fiscal year ended December 31, 2015.

tovc2015123110k.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K (Mark One) ☑ Annual Report pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 For the Fiscal Year Ended DECEMBER 31, 2015 OR ☐ Transition Report pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 For the Transition Period from to Commission file number 000-2

March 8, 2016 EX-3.9

CERTIFICATE OF AMENDMENT OF THE CERTIFICATE OF INCORPORATION OF TORVEC, INC. Under Section 805 of the Business Corporation Law

EX-3.9 2 ex3-9.htm EXHIBIT 3.9 Exhibit 3.9 CERTIFICATE OF AMENDMENT OF THE CERTIFICATE OF INCORPORATION OF TORVEC, INC. Under Section 805 of the Business Corporation Law The undersigned being the Chief Executive Officer and Secretary of Torvec, Inc., do hereby certify and set forth: 1. The name of the Corporation is Torvec, Inc. 2. The Certificate of Incorporation of the Corporation was filed by t

March 8, 2016 EX-21

Subsidiaries of Torvec, Inc.

Exhibit 21 Subsidiaries of Torvec, Inc. Name Jurisdiction of Organization Ice Surface Development, Inc. New York Iso-Torque Corporation New York

February 12, 2016 EX-99.1

TORVEC, INC. announces initial closing of Series C-3 preferred stock offering and extension of offering through June 3, 2016

ex99-1.htm Exhibit 99.1 TORVEC, INC. announces initial closing of Series C-3 preferred stock offering and extension of offering through June 3, 2016 ROCHESTER, NEW YORK February 12, 2016 (NEWSWIRE) Richard A. Kaplan, Chief Executive Officer of Torvec, Inc. announced that the Company has closed on the sale of $1,000,000 of the Company’s Series C-3 Voting Convertible Preferred Stock. The company has

February 12, 2016 8-K

Financial Statements and Exhibits, Other Events

tovc20160211b8k.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): February 10, 2016 Torvec, Inc. (Exact name of registrant as specified in its charter) New York 000-24455 16-1509512 (State or other jurisdiction (Commission (I.R.S

February 11, 2016 EX-99.1

CurAegis™ Technologies, a Torvec Inc. Company Announces: Z-Coach® 2.0 Aviation Product Launch, CURA division Beta Programs, CURA Director of Technology Keynote Presentation at SomnoSafe 2016, and Aegis Pump Ready for Third Party Testing at MSOE

ex99-1.htm Exhibit 99.1 CurAegis? Technologies, a Torvec Inc. Company Announces: Z-Coach? 2.0 Aviation Product Launch, CURA division Beta Programs, CURA Director of Technology Keynote Presentation at SomnoSafe 2016, and Aegis Pump Ready for Third Party Testing at MSOE ROCHESTER, NY, February 11, 2016 (NEWSWIRE)- Richard A. Kaplan, Chief Executive Officer of CurAegis Technologies, a Torvec, Inc. Co

February 11, 2016 8-K

CurAegis Technologies FORM 8-K (Current Report/Significant Event)

tovc201602118k.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): February 11, 2016 Torvec, Inc. (Exact name of registrant as specified in its charter) New York 000-24455 16-1509512 (State or other jurisdiction (Commission (I.R.S.

January 12, 2016 8-K

CurAegis Technologies FORM 8-K (Current Report/Significant Event)

tovc201601118k.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): January 11, 2016 Torvec, Inc. (Exact name of registrant as specified in its charter) New York 000-24455 16-1509512 (State or other jurisdiction (Commission (I.R.S.

January 12, 2016 EX-99.1

TORVEC, INC. announces extension of offering of Series C-3 preferred stock through February 10, 2016

ex99-1.htm Exhibit 99.1 TORVEC, INC. announces extension of offering of Series C-3 preferred stock through February 10, 2016 ROCHESTER, NEW YORK January 12, 2016 (NEWSWIRE) Richard A. Kaplan, Chief Executive Officer of Torvec, Inc. announced that the Company has extended the expiration of the offering of the Series C-3 Voting Convertible Preferred Stock from January 11, 2016 to February 10, 2016 a

December 22, 2015 EX-99.1

TORVEC, INC. announces private placement offering of up to $2,500,000 in voting convertible preferred stock

ex10-14.htm Exhibit 99.1 TORVEC, INC. announces private placement offering of up to $2,500,000 in voting convertible preferred stock ROCHESTER, NEW YORK December 22, 2015 (NEWSWIRE) Richard A. Kaplan, Chief Executive Officer of Torvec, Inc. announced the offering of up to $2,500,000 of the Company?s Series C-3 Voting Convertible Preferred Stock, par value $0.01 per share, at the price of $0.25 per

December 22, 2015 8-K

Current Report

tovc201512228k.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): December 22, 2015 Torvec, Inc. (Exact name of registrant as specified in its charter) New York 000-24455 16-1509512 (State or other jurisdiction (Commission (I.R.S.

December 11, 2015 8-K

Other Events, Submission of Matters to a Vote of Security Holders, 8-K

tovc201512098k.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): December 7, 2015 Torvec, Inc. (Exact name of registrant as specified in its charter) New York 000-24455 16-1509512 (State or other jurisdiction (Commission (I.R.S.

November 4, 2015 10-Q

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ? Quarterly Report pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 For the quarterly period ended SEPTEMBER 30, 2015 OR ? Transition Report pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 For the transition period from to Commission File No. 000-24455 TORVEC, I

September 17, 2015 EX-10.17

EX-10.17

ex10-17.htm Exhibit 10.17

September 17, 2015 EX-10.19

EX-10.19

ex10-19.htm Exhibit 10.19

September 17, 2015 EX-10.16

EX-10.16

ex10-16.htm Exhibit 10.16

September 17, 2015 EX-10.20

EX-10.20

ex10-20.htm Exhibit 10.20

September 17, 2015 EX-10.15

EX-10.15

ex10-15.htm Exhibit 10.15

September 17, 2015 EX-10.18

EX-10.18

ex10-18.htm Exhibit 10.18

September 17, 2015 EX-10.13

September 15, 2015

ex10-13.htm Exhibit 10.13 September 15, 2015 (Effective 9/1/15) Kathleen A. Browne 80 Georgian Court Rochester, New York 14610 Dear Kathy, Thank you for your interest in the Chief Financial Officer position at Torvec, Inc. We are looking forward to an exciting future and we believe you can be a key contributor to the Company?s growth and success. We are extending an offer for you to fill the posit

September 17, 2015 8-K

CurAegis Technologies FORM 8-K (Current Report/Significant Event)

tovc201509168k.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): September 17, 2015 Torvec, Inc. (Exact name of registrant as specified in its charter) New York 000-24455 16-1509512 (State or other jurisdiction (Commission (I.R.S

September 17, 2015 EX-10.14

INCENTIVE STOCK OPTION AGREEMENT

ex10-14.htm Exhibit 10.14 INCENTIVE STOCK OPTION AGREEMENT This INCENTIVE STOCK OPTION AGREEMENT (this "Incentive Option Agreement") is made effective as of the September 1, 2015 (the "Date of Grant"), between Torvec, Inc., a New York corporation (the "Company"), and Kathleen A. Browne (the "Participant"). R E C I T A L S: WHEREAS, effective September 1, 2015, the Company's Board of Directors (the

August 5, 2015 10-Q

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ? Quarterly Report pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 For the quarterly period ended JUNE 30, 2015 OR ? Transition Report pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 For the transition period from to Commission File No. 000-24455 TORVEC, INC. (

June 19, 2015 8-K

Other Events, Submission of Matters to a Vote of Security Holders

8-K 1 tovc201506198k.htm FORM 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): June 18, 2015 Torvec, Inc. (Exact name of registrant as specified in its charter) New York 000-24455 16-1509512 (State or other jurisdiction (Commiss

June 18, 2015 8-K

CurAegis Technologies FORM 8-K (Current Report/Significant Event)

tovc201506178k.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): June 18, 2015 Torvec, Inc. (Exact name of registrant as specified in its charter) New York 000-24455 16-1509512 (State or other jurisdiction (Commission (I.R.S. Emp

May 12, 2015 10-Q

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ? Quarterly Report pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 For the quarterly period ended MARCH 31, 2015 OR ? Transition Report pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 For the transition period from to Commission File No. 000-24455 TORVEC, INC.

April 22, 2015 DEF 14A

CurAegis Technologies FORM DEF 14A

tovc20150422def14a.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ? Filed by a Party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? Confidential, for Use of the Commission Only (as permitted by Ru

April 22, 2015 DEFA14A

CurAegis Technologies FORM DEFA14A

tovc20150422defa14a.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ? Filed by a Party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? Confidential, for Use of the Commission Only (as permitted by R

April 14, 2015 8-K

CurAegis Technologies FORM 8-K (Current Report/Significant Event)

tovc201504148k.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): April 13 2015 Torvec, Inc. (Exact name of registrant as specified in its charter) New York 000-24455 16-1509512 (State or other jurisdiction (Commission (I.R.S. Emp

March 3, 2015 10-K

Letter Agreement between CurAegis, Inc. and SCIRE Corporation, incorporated by reference to the Annual Report on Form 10-K filed March 3, 2015*

10-K 1 tovc2014123110k.htm FORM 10-K bb UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K (Mark One) ☑ Annual Report pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 For the Fiscal Year Ended DECEMBER 31, 2014 OR ☐ Transition Report pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 For the Transition Period from to Commissi

March 3, 2015 EX-10.18

FIRST AMENDMENT Torvec, Inc., 2011 Stock Option Plan

Exhibit 10.18 FIRST AMENDMENT TO Torvec, Inc., 2011 Stock Option Plan THIS FIRST AMENDMENT to the Torvec, Inc. 2011 Stock Option Plan (the ?Plan?) is effective upon approval by Torvec?s Board of Directors at a regularly scheduled meeting of the Board dated February 26, 2015. FIRST: Section 5.1 of the Plan is hereby amended by the deletion of the following sentence: ?Of this number, the maximum num

March 3, 2015 EX-10.17

EX-10.17

EX-10.17 2 ex10-17.htm EXHIBIT 10.17 Exhibit 10.17

February 2, 2015 8-K

Financial Statements and Exhibits

tovc201501308k.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): February 2, 2015 Torvec, Inc. (Exact name of registrant as specified in its charter) New York 000-24455 16-1509512 (State or other jurisdiction (Commission (I.R.S.

February 2, 2015 EX-99

Torvec, Inc. Announces New Director of Electronic Products Development

tovc201501308k.htm Exhibit 99.1 Torvec, Inc. Announces New Director of Electronic Products Development ROCHESTER, N.Y., February 2, 2015 (GLOBE NEWSWIRE) - Richard A. Kaplan, Chief Executive Officer of Torvec, Inc. (OTCQB – TOVC), and Joseph P. McMahon VP of Engineering, announce the appointment of Matthew J. Kenyon to head up the development of Torvec’s new WAM Watch™ technology. Mr. Kenyon’s exp

January 28, 2015 EX-10

January 26, 2015

ex10-1.htm Exhibit 10.1 January 26, 2015 Mr. Richard A. Kaplan CEO Torvec, Inc. 1999 Mt. Read Blvd., Bldg. 3 Rochester, NY 14615 Dear Dick: This letter will serve to formally notify you that I will be resigning as Chief Financial Officer at Torvec, Inc. I was recently offered a new CFO opportunity with a company in the Rochester area that also has a great deal of potential, and I have decided to a

January 28, 2015 8-K

Financial Statements and Exhibits

tovc201501278k.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): January 26, 2015 Torvec, Inc. (Exact name of registrant as specified in its charter) New York 000-24455 16-1509512 (State or other jurisdiction (Commission (I.R.S.

January 7, 2015 8-K

Current Report

tovc201501078k.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): January 7, 2015 Torvec, Inc. (Exact name of registrant as specified in its charter) New York 000-24455 16-1509512 (State or other jurisdiction (Commission (I.R.S. E

November 4, 2014 10-Q

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ? Quarterly Report pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 For the quarterly period ended SEPTEMBER 30, 2014 OR ? Transition Report pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 For the transition period from to Commission File No. 000-24455 TORVEC, I

October 16, 2014 EX-99

Torvec, Inc. Announces New Technology

EX-99 2 ex99-1.htm EXHIBIT 99.1 Exhibit 99.1 Torvec, Inc. Announces New Technology ROCHESTER, N.Y., October 16, 2014 (GLOBE NEWSWIRE) - Richard A. Kaplan, Chief Executive Officer of Torvec, Inc. (OTCQB – TOVC), announced today that the Company is performing due diligence and developing proprietary technology designed to measure in quantifiable terms the decrease in a person’s alertness, thus enabl

October 16, 2014 8-K

Financial Statements and Exhibits

8-K 1 tovc201410168k.htm FORM 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): October 16, 2014 Torvec, Inc. (Exact name of registrant as specified in its charter) New York 000-24455 16-1509512 (State or other jurisdiction (Comm

September 22, 2014 8-K

Current Report

tovc201409228k.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): September 22, 2014 Torvec, Inc. (Exact name of registrant as specified in its charter) New York 000-24455 16-1509512 (State or other jurisdiction (Commission (I.R.S

August 5, 2014 10-Q

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ? Quarterly Report pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 For the quarterly period ended JUNE 30, 2014 OR ? Transition Report pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 For the transition period from to Commission File No. 000-24455 TORVEC, INC. (

July 30, 2014 8-K

8-K

tovc201407308k.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): July 30, 2014 Torvec, Inc. (Exact name of registrant as specified in its charter) New York 000-24455 16-1509512 (State or other jurisdiction (Commission (I.R.S. Emp

June 20, 2014 8-K

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers - FORM 8-K

tovc201406208k.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): June 17, 2014 Torvec, Inc. (Exact name of registrant as specified in its charter) New York 000-24455 16-1509512 (State or other jurisdiction (Commission (I.R.S. Emp

June 16, 2014 8-K

Other Events, Submission of Matters to a Vote of Security Holders - FORM 8-K

tovc201406168k.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): June 12, 2014 Torvec, Inc. (Exact name of registrant as specified in its charter) New York 000-24455 16-1509512 (State or other jurisdiction (Commission (I.R.S. Emp

May 5, 2014 10-Q

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q

tovc2014033110q.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ☑ Quarterly Report pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 For the quarterly period ended MARCH 31, 2014 OR ☐ Transition Report pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 For the transition period from to Commission File No. 000

April 29, 2014 DEF 14A

- FORM DEF 14A

torvecdef14a-061913.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant þ Filed by a Party other than the Registrant o Check the appropriate box: o Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as permitted by R

April 29, 2014 DEFA14A

- FORM DEFA14A

torvecdefa14a-061913.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant þ Filed by a Party other than the Registrant o Check the appropriate box: o Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as permitted by

April 3, 2014 SC 13D/A

CRGS / CurAegis Technologies, Inc. / GOLISANO B THOMAS Activist Investment

SC 13D/A 1 eps5612.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D/A Under the Securities Exchange Act of 1934 (Amendment No. 1)* TORVEC, INC. (Name of Issuer) $.01 PAR VALUE COMMON STOCK (Title of Class of Securities) 891479107 (CUSIP Number) DAVID STILL c/o 1 FISHERS ROAD PITTSFORD, NEW YORK 14534 (585) 340-1200 Name, Address and Telephone Number of Perso

March 28, 2014 EX-10

SECURITIES Purchase Agreement

ex10-1.htm Exhibit 10.1 SECURITIES Purchase Agreement This SECURITIES PURCHASE AGREEMENT (the “Agreement”) is made and entered into as of March 28, 2014 by and among Torvec, Inc., a New York corporation (the “Company”), B. Thomas Golisano, a resident of the State of Florida (the “Investor”), and each other Purchaser listed on the Schedule of Purchasers attached hereto (each along with the Investor

March 28, 2014 EX-3

CERTIFICATE OF AMENDMENT OF THE CERTIFICATE OF INCORPORATION OF TORVEC, INC. Under Section 805 of the Business Corporation Law

ex3-1.htm Exhibit 3.1 CERTIFICATE OF AMENDMENT OF THE CERTIFICATE OF INCORPORATION OF TORVEC, INC. Under Section 805 of the Business Corporation Law The undersigned being the Chief Executive Officer and Secretary of Torvec, Inc., do hereby certify and set forth: 1. The name of the Corporation is Torvec, Inc. 2. The Certificate of Incorporation of the Corporation was filed by the Department of Stat

March 28, 2014 10-K

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K

tovc2013123110k.htm bb UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K (Mark One) ☑ Annual Report pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 For the Fiscal Year Ended DECEMBER 31, 2013 OR ☐ Transition Report pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 For the Transition Period from to Commission file number 00

March 28, 2014 8-K

Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year, Entry into a Material Definitive Agreement, Material Modification to Rights of Security Holders, Unregistered Sales of Equity Securities, Financial Statements and Exhibits, Other Events, Submission of Matters to a Vote of Security Holders - FORM 8-K

tovc201403278k.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): March 24, 2014 Torvec, Inc. (Exact name of registrant as specified in its charter) New York 000-24455 16-1509512 (State or other jurisdiction (Commission (I.R.S. Em

March 28, 2014 EX-99

Torvec Completes $5.0 Million Private Placement Company Intends to Raise Up to an Additional $1.0 Million

ex99-1.htm Exhibit 99.1 Torvec Completes $5.0 Million Private Placement Company Intends to Raise Up to an Additional $1.0 Million ROCHESTER, N.Y., March 28, 2014 (GLOBE NEWSWIRE) - Richard A. Kaplan, Chief Executive Officer of Torvec, Inc. (OTCQB – TOVC), announced today that the Company has raised $5.0 million in a private placement transaction involving a new series of preferred stock. In connec

March 28, 2014 EX-10

AMENDED AND RESTATED INVESTORS’ RIGHTS AGREEMENT

ex10-2.htm Exhibit 10.2 AMENDED AND RESTATED INVESTORS’ RIGHTS AGREEMENT THIS AMENDED AND RESTATED INVESTORS’ RIGHTS AGREEMENT is made as of the 28 day of March, 2014, by and among Torvec, Inc., a New York corporation (the “Company”), B. Thomas Golisano, a resident of the State of Florida (the “Investor”), and Charles T. Graham and David Still (collectively, the “Additional Investors”). The “Inves

March 14, 2014 8-K

- FORM 8-K

tovc201403148k.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): March 14, 2014 Torvec, Inc. (Exact name of registrant as specified in its charter) New York 000-24455 16-1509512 (State or other jurisdiction (Commission (I.R.S. Em

January 27, 2014 8-K

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Financial Statements and Exhibits - FORM 8-K

tovc201401278k.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): January 22, 2014 Torvec, Inc. (Exact name of registrant as specified in its charter) New York 000-24455 16-1509512 (State or other jurisdiction (Commission (I.R.S.

January 27, 2014 EX-10

EX-10

ex10-1.htm Exhibit 10.1

December 5, 2013 8-K

Entry into a Material Definitive Agreement, Financial Statements and Exhibits - FORM 8-K

tovc201312058k.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): December 4, 2013 Torvec, Inc. (Exact name of registrant as specified in its charter) New York 000-24455 16-1509512 (State or other jurisdiction (Commission (I.R.S.

December 5, 2013 EX-10

EX-10

Exhibit 10.1

November 5, 2013 10-Q

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ☑ Quarterly Report pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 For the quarterly period ended SEPTEMBER 30, 2013 OR ☐ Transition Report pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 For the transition period from to Commission File No. 000-24455 TORVEC, I

August 7, 2013 10-Q

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q

10-Q 1 tovc2013063010q.htm FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ☑ Quarterly Report pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 For the quarterly period ended JUNE 30, 2013 OR ☐ Transition Report pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 For the transition period from to Commiss

June 21, 2013 8-K

Other Events, Submission of Matters to a Vote of Security Holders - FORM 8-K

tovc201306218k.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): June 19, 2013 Torvec, Inc. (Exact name of registrant as specified in its charter) New York 000-24455 16-1509512 (State or other jurisdiction (Commission (I.R.S. Emp

May 6, 2013 10-Q

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ? Quarterly Report pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 For the quarterly period ended MARCH 31, 2013 OR o Transition Report pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 For the transition period from to Commission File No. 000-24455 TORVEC, INC.

April 25, 2013 DEFA14A

- FORM DEFA14A

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant þ Filed by a Party other than the Registrant o Check the appropriate box: o Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) o Defin

April 25, 2013 DEF 14A

- FORM DEF14A

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant þ Filed by a Party other than the Registrant o Check the appropriate box: o Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) þ Defin

March 8, 2013 10-K

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K

UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K (Mark One) ? Annual Report pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 For the Fiscal Year Ended DECEMBER 31, 2012 OR o Transition Report pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 For the Transition Period from to Commission file number 000-24455 TORVEC, INC. (N

March 6, 2013 8-K

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers

tovc201303068k.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): February 28, 2013 Torvec, Inc. (Exact name of registrant as specified in its charter) New York 000-24455 16-1509512 (State or other jurisdiction (Commission (I.R.S.

January 29, 2013 8-K

Financial Statements and Exhibits, Other Events

tovc201301298k.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): January 28, 2013 Torvec, Inc. (Exact name of registrant as specified in its charter) New York 000-24455 16-1509512 (State or other jurisdiction (Commission (I.R.S.

January 29, 2013 EX-99

Torvec, Inc. Signs Development Agreement with Chinese Automaker

Exhibit 99.1 Torvec, Inc. Signs Development Agreement with Chinese Automaker ROCHESTER, N.Y., January 28, 2013 (GLOBE NEWSWIRE) — Richard A. Kaplan, Chief Executive Officer of Torvec, Inc. (OTCQB: TOVC), announced today that Torvec has entered into an agreement with Chinese automotive manufacturer, BAIC Motor Co., Ltd. Under the agreement, BAIC Motor Co., Ltd. will pay Torvec to manufacture a numb

December 27, 2012 8-K

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers, Financial Statements and Exhibits

UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of Earliest Event Reported): December 20, 2012 Torvec, Inc. (Exact name of registrant as specified in its charter) New York 000-24455 16-1509512 (State or other jurisdiction (Commission (I.R.S. Employer of incorp

December 27, 2012 EX-10.1

EX-10.1

EX-10.1 2 ex10-1.htm EXHIBIT 10.1 Exhibit 10.1

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