<SEC-DOCUMENT>0001213900-26-067711-index.html : 20260611 <SEC-HEADER>0001213900-26-067711.hdr.sgml : 20260611 <ACCEPTANCE-DATETIME>20260611124358 ACCESSION NUMBER: 0001213900-26-067711 CONFORMED SUBMISSION TYPE: 8-K PUBLIC DOCUMENT COUNT: 51 CONFORMED PERIOD OF REPORT: 20260611 ITEM INFORMATION: Entry into a Material Definitive Agreement ITEM INFORMATION: Completion of Acquisition or Disposition of Assets ITEM INFORMATION: Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant ITEM INFORMATION: Unregistered Sales of Equity Securities ITEM INFORMATION: Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers: Compensatory Arrangements of Certain Officers ITEM INFORMATION: Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year ITEM INFORMATION: Regulation FD Disclosure ITEM INFORMATION: Financial Statements and Exhibits FILED AS OF DATE: 20260611 DATE AS OF CHANGE: 20260611 FILER: COMPANY DATA: COMPANY CONFORMED NAME: ADIAL PHARMACEUTICALS, INC. CENTRAL INDEX KEY: 0001513525 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] ORGANIZATION NAME: 03 Life Sciences EIN: 800667150 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 8-K SEC ACT: 1934 Act SEC FILE NUMBER: 001-38323 FILM NUMBER: 261082315 BUSINESS ADDRESS: STREET 1: 1180 SEMINOLE TRAIL STREET 2: SUITE 495 CITY: CHARLOTTESVILLE STATE: VA ZIP: 22901 BUSINESS PHONE: 434-422-9800 MAIL ADDRESS: STREET 1: 1180 SEMINOLE TRAIL STREET 2: SUITE 495 CITY: CHARLOTTESVILLE STATE: VA ZIP: 22901 FORMER COMPANY: FORMER CONFORMED NAME: ADial Pharmaceuticals, L.L.C. DATE OF NAME CHANGE: 20170515 FORMER COMPANY: FORMER CONFORMED NAME: Adial Pharmaceuticals, L.L.C. DATE OF NAME CHANGE: 20110218 </SEC-HEADER> <DOCUMENT> <TYPE>8-K <SEQUENCE>1 <FILENAME>ea0294448-8k_adial.htm <DESCRIPTION>CURRENT REPORT <TEXT> Document 1 - file: ea0294448-8k_adial.htm
</DOCUMENT> <DOCUMENT> <TYPE>EX-2.1 <SEQUENCE>2 <FILENAME>ea029444801ex2-1.htm <DESCRIPTION>AGREEMENT AND PLAN OF MERGER, DATED JUNE 11, BY AND AMONG ADIAL PHARMACEUTICALS, INC., ADIAL FIRST MERGER SUB, INC., ADIAL SECOND MERGER SUB, LLC AND AZORA THERAPEUTICS, INC <TEXT> Document 2 - file: ea029444801ex2-1.htm
</DOCUMENT> <DOCUMENT> <TYPE>EX-3.1 <SEQUENCE>3 <FILENAME>ea029444801ex3-1.htm <DESCRIPTION>CERTIFICATE OF DESIGNATION OF SERIES A NON-VOTING CONVERTIBLE PREFERRED STOCK, DATED JUNE 11, 2026 <TEXT> Document 3 - file: ea029444801ex3-1.htm
</DOCUMENT> <DOCUMENT> <TYPE>EX-4.1 <SEQUENCE>4 <FILENAME>ea029444801ex4-1.htm <DESCRIPTION>FORM OF PRE-FUNDED WARRANT (FINANCING) <TEXT> Document 4 - file: ea029444801ex4-1.htm
</DOCUMENT> <DOCUMENT> <TYPE>EX-4.2 <SEQUENCE>5 <FILENAME>ea029444801ex4-2.htm <DESCRIPTION>FORM OF WARRANT (FINANCING) <TEXT> Document 5 - file: ea029444801ex4-2.htm
</DOCUMENT> <DOCUMENT> <TYPE>EX-4.3 <SEQUENCE>6 <FILENAME>ea029444801ex4-3.htm <DESCRIPTION>FORM OF PRE-FUNDED WARRANT (NOTE EXCHANGE) <TEXT> Document 6 - file: ea029444801ex4-3.htm
</DOCUMENT> <DOCUMENT> <TYPE>EX-4.4 <SEQUENCE>7 <FILENAME>ea029444801ex4-4.htm <DESCRIPTION>FORM OF WARRANT (NOTE EXCHANGE) <TEXT> Document 7 - file: ea029444801ex4-4.htm
</DOCUMENT> <DOCUMENT> <TYPE>EX-10.1 <SEQUENCE>8 <FILENAME>ea029444801ex10-1.htm <DESCRIPTION>FORM OF SECURITIES PURCHASE AGREEMENT, DATED AS OF JUNE 11, 2026, BY AND AMONG ADIAL PHARMACEUTICALS, INC. AND EACH INVESTOR LISTED ON EXHIBIT A THERETO <TEXT> Document 8 - file: ea029444801ex10-1.htm
</DOCUMENT> <DOCUMENT> <TYPE>EX-10.2 <SEQUENCE>9 <FILENAME>ea029444801ex10-2.htm <DESCRIPTION>FORM OF EXCHANGE AGREEMENT, DATED AS OF JUNE 11, 2026, BY AND AMONG ADIAL PHARMACEUTICALS, INC. AND EACH NOTE HOLDER LISTED ON EXHIBIT A THERETO <TEXT> Document 9 - file: ea029444801ex10-2.htm
</DOCUMENT> <DOCUMENT> <TYPE>EX-10.3 <SEQUENCE>10 <FILENAME>ea029444801ex10-3.htm <DESCRIPTION>FORM OF REGISTRATION RIGHTS AGREEMENT, BY AND AMONG ADIAL PHARMACEUTICALS, INC. AND THE INVESTORS SIGNATORY THERETO <TEXT> Document 10 - file: ea029444801ex10-3.htm
</DOCUMENT> <DOCUMENT> <TYPE>EX-10.4 <SEQUENCE>11 <FILENAME>ea029444801ex10-4.htm <DESCRIPTION>AMENDMENT TO AMENDED AND RESTATED EMPLOYMENT AGREEMENT BETWEEN ADIAL PHARMACEUTICALS, INC. AND CARY J. CLAIBORNE, EFFECTIVE JUNE 11, 2026 <TEXT> Document 11 - file: ea029444801ex10-4.htm
</DOCUMENT> <DOCUMENT> <TYPE>EX-10.5 <SEQUENCE>12 <FILENAME>ea029444801ex10-5.htm <DESCRIPTION>AMENDMENT TO EMPLOYMENT AGREEMENT BETWEEN ADIAL PHARMACEUTICALS, INC. AND TONY GOODMAN, EFFECTIVE JUNE 11, 2026 <TEXT> Document 12 - file: ea029444801ex10-5.htm
</DOCUMENT> <DOCUMENT> <TYPE>EX-10.6 <SEQUENCE>13 <FILENAME>ea029444801ex10-6.htm <DESCRIPTION>AMENDMENT TO EMPLOYMENT AGREEMENT BETWEEN ADIAL PHARMACEUTICALS, INC. AND VINAY SHAH, EFFECTIVE JUNE 11, 2026 <TEXT> Document 13 - file: ea029444801ex10-6.htm
</DOCUMENT> <DOCUMENT> <TYPE>EX-99.1 <SEQUENCE>14 <FILENAME>ea029444801ex99-1.htm <DESCRIPTION>PRESS RELEASE ISSUED ON JUNE 11, 2026 <TEXT> Document 14 - file: ea029444801ex99-1.htm
</DOCUMENT> <DOCUMENT> <TYPE>EX-99.2 <SEQUENCE>15 <FILENAME>ea029444801ex99-2.htm <DESCRIPTION>INVESTOR PRESENTATION, DATED JUNE 2026 <TEXT> Document 15 - file: ea029444801ex99-2.htm
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</DOCUMENT> <DOCUMENT> <TYPE>EX-101.SCH <SEQUENCE>42 <FILENAME>adil-20260611.xsd <DESCRIPTION>XBRL SCHEMA FILE <TEXT> Document 42 - file: adil-20260611.xsd
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