We could not find any results for:
Make sure your spelling is correct or try broadening your search.
Share Name | Share Symbol | Market | Type |
---|---|---|---|
Guided Therapeutics Inc (QB) | USOTC:GTHP | OTCMarkets | Common Stock |
Price Change | % Change | Share Price | Bid Price | Offer Price | High Price | Low Price | Open Price | Shares Traded | Last Trade | |
---|---|---|---|---|---|---|---|---|---|---|
0.00 | 0.00% | 0.109 | 0.0656 | 0.10 | 0.00 | 21:02:06 |
Delaware
(State
or other jurisdiction of incorporation or
organization)
|
58-2029543
(I.R.S.
Employer Identification No.)
|
5835 Peachtree Corners East, Suite B
Norcross, Georgia
(Address
of principal executive offices)
|
30092
(Zip
Code)
|
Large accelerated filer
|
[
]
|
Accelerated filer
|
[
]
|
Non-accelerated
filer
|
[ ]
(Do not check if a smaller reporting company)
|
Smaller reporting company
|
[X]
|
|
|
Emerging
growth company
|
[
]
|
PART I
|
3
|
Item
1. Business
|
3
|
Item
1A. Risk Factors
|
10
|
Item
1B. Unresolved Staff Comments
|
19
|
Item
2. Properties
|
19
|
Item
3. Legal Proceedings
|
19
|
Item
4. Mine Safety Disclosures
|
19
|
PART II
|
20
|
Item
5. Market for Registrant’s Common Equity, Related Stockholder
Matters and Issuer Purchases of Equity
|
20
|
Securities
|
20
|
Item
6. Selected Financial Data
|
20
|
Item
7. Management’s Discussion and Analysis of Financial
Condition and Results of Operations
|
21
|
Item
7A. Quantitative and Qualitative Disclosures about Market
Risk.
|
29
|
Item
8. Financial Statements and Supplementary Data
|
30
|
Item
9. Changes in and Disagreements with Accountants on Accounting and
Financial Disclosure
|
57
|
Item
9A. Controls and Procedures
|
57
|
Item
9B. Other Information
|
57
|
PART III
|
58
|
Item
10. Directors, Executive Officers and Corporate
Governance
|
58
|
Item
11. Executive Compensation
|
60
|
Item
12. Security Ownership of Certain Beneficial Owners and Management
and Related Stockholder Matters
|
61
|
Item
13. Certain Relationships and Related Transactions and Director
Independence
|
63
|
Item
14. Principal Accountant Fees and Services
|
64
|
PART IV
|
65
|
Item
15. Exhibits and Financial Statement Schedules
|
65
|
Item
16. Form 10-K Summary
|
67
|
SIGNATURES
|
68
|
Accumulated
deficit, from inception to 12/31/2015
|
|
$122.6
million
|
Preferred
dividends
|
|
$ 1.0
million
|
Net
Loss for fiscal year 2016, ended 12/31/2016
|
|
$ 4.0
million
|
Accumulated
deficit, from inception to 12/31/2016
|
|
$127.6
million
|
Preferred
dividends
|
|
$ 0.2
million
|
Net
Loss for year to date ended 12/31/2017
|
|
$ 10.2
million
|
Accumulated
deficit, from inception to 12/31/2017
|
|
$138.1
million
|
|
2018
|
2017
|
2016
|
|||
|
High
|
Low
|
High
|
Low
|
High
|
Low
|
First
Quarter
|
$
0.032
|
$
0.006
|
$
2.13
|
$
0.31
|
$
1,352.00
|
$
85.60
|
Second
Quarter*
|
$
0.016
|
$
0.0105
|
$
0.40
|
$
0.13
|
$
140.00
|
$
3.28
|
Third
Quarter
|
|
|
$
0.18
|
$
0.03
|
$
7.84
|
$
0.80
|
Fourth
Quarter
|
|
|
$
0.055
|
$
0.013
|
$
1.35
|
$
0.02
|
Plan
category
|
Number of
securities to be issued upon exercise of outstanding options,
warrants and rights
|
Weighted-average
exercise price of outstanding options, warrants and
rights
|
Number of
securities
remaining
available for future issuance under equity compensation plans
(excluding securities reflected in column(a))
|
|
(a)
|
(b)
|
( c
)
|
Equity compensation
plans approved by security holders
|
116
|
$
37,090
|
-
|
Equity compensation
plans not approved by security holders
|
-
|
-
|
-
|
TOTAL
|
116
|
$
37,090
|
-
|
Sterling
Heights, Michigan
|
|
April
17, 2018
|
|
GUIDED THERAPEUTICS, INC. AND SUBSIDIARY
|
CONDENSED CONSOLIDATED BALANCE SHEETS (in thousands)
|
AS OF DECEMBER 31,
|
GUIDED THERAPEUTICS, INC. AND SUBSIDIARY
|
CONSOLIDATED STATEMENTS OF OPERATIONS (in thousands)
|
FOR THE YEARS ENDED DECEMBER 31,
|
|
Preferred
Stock
Series
C
|
Preferred
Stock Series C1
|
Common
Stock
|
Additional
Paid-In
|
Treasury
|
Accumulated
|
|
|||
|
Shares
|
Amount
|
Shares
|
Amount
|
Shares
|
Amount
|
Capital
|
Stock
|
Deficit
|
TOTAL
|
BALANCE, January 1,
2016
|
6
|
$
2,052
|
-
|
$
-
|
3
|
$
236
|
$
114,845
|
$
(132
)
|
$
(122,563
)
|
$
(5,562
)
|
Preferred
dividends
|
-
|
-
|
-
|
-
|
-
|
-
|
-
|
-
|
(191
)
|
(191
)
|
Issuance of common stock and
warrants
|
-
|
-
|
-
|
-
|
-
|
-
|
54
|
-
|
-
|
54
|
Conversion of Series C preferred
stock to common stock
|
(2
)
|
(750
)
|
-
|
-
|
531
|
456
|
1,128
|
-
|
(834
)
|
-
|
Conversion of debt into common
stock
|
-
|
-
|
-
|
-
|
53
|
20
|
238
|
-
|
-
|
258
|
Issuance of common stock due to
Series B, Tranche B warrants exchanged for shares and rights to
shares
|
-
|
-
|
-
|
-
|
19
|
12
|
(12
)
|
-
|
-
|
-
|
Series C preferred stock
exchanged for Series C1 preferred stock
|
(2
)
|
(751
)
|
4
|
701
|
23
|
18
|
(18
)
|
-
|
-
|
-
|
Issuance of common stock for
cash
|
-
|
-
|
-
|
-
|
40
|
-
|
50
|
-
|
-
|
50
|
Stock-based
compensation
|
|
|
|
|
-
|
-
|
95
|
-
|
-
|
95
|
Net Loss
|
|
|
|
|
-
|
-
|
-
|
-
|
(3,970
)
|
(3,970
)
|
BALANCE, December 31,
2016
|
2
|
$
601
|
4
|
$
701
|
669
|
$
742
|
$
116,380
|
$
(132
)
|
$
(127,558
)
|
$
(9,266
)
|
|
|
|
|
|
|
|
|
|
|
|
Preferred
dividends
|
-
|
-
|
-
|
-
|
-
|
-
|
-
|
-
|
(2
)
|
(2
)
|
Conversion of Series C preferred
stock to common stock
|
(1
)
|
(246
)
|
-
|
-
|
17,272
|
17
|
506
|
-
|
(277
)
|
-
|
Conversion of debt into common
stock
|
-
|
-
|
-
|
-
|
31,572
|
32
|
436
|
-
|
-
|
468
|
Issuance of common stock for note
agreement
|
-
|
-
|
-
|
-
|
50
|
-
|
35
|
-
|
-
|
35
|
Stock-based
compensation
|
|
|
|
|
-
|
-
|
59
|
-
|
-
|
59
|
Net Loss
|
|
|
|
|
-
|
-
|
-
|
-
|
(10,696
)
|
(10,696
)
|
BALANCE,
December 31, 2017
|
1
|
$
355
|
4
|
$
701
|
49,563
|
$
791
|
$
117,416
|
$
(132
)
|
$
(138,533
)
|
$
(19,402
)
|
GUIDED THERAPEUTICS, INC. AND SUBSIDIARY
|
CONSOLIDATED STATEMENTS OF CASH FLOWS
|
FOR THE YEARS ENDED DECEMBER 31,
|
(In Thousands)
|
|
Year
Ended December 31,
|
|
|
2017
|
2016
|
Raw
materials
|
$
789
|
$
795
|
Work in
process
|
82
|
115
|
Finished
goods
|
27
|
141
|
Consigned
inventory
|
83
|
-
|
Inventory
reserve
|
(716
)
|
(278
)
|
Total
|
$
265
|
$
773
|
|
Year Ended December 31,
|
|
|
2017
|
2016
|
Accrued
compensation
|
$
2,122
|
$
1,656
|
Accrued
professional fees
|
223
|
161
|
Accrued
interest
|
511
|
109
|
Deferred
rent
|
-
|
13
|
Accrued
warranty
|
39
|
58
|
Accrued
vacation
|
152
|
175
|
Accrued
dividends
|
291
|
296
|
Stock
subscription
|
276
|
-
|
Accrued expenses
for licensee
|
429
|
-
|
Other accrued
expenses
|
204
|
202
|
Total
|
$
4,247
|
$
2,670
|
|
Fair
Value at December 31, 2017
|
|||
|
Level
1
|
Level
2
|
Level
3
|
Total
|
|
|
|
|
|
Warrants issued in
connection with Distributor Debt
|
-
|
-
|
(114
)
|
(114
)
|
Warrants issued in
connection with Short-Term Loans
|
-
|
-
|
(11
)
|
(11
)
|
Warrants issued in
connection with Senior Secured Debt
|
-
|
-
|
(7,837
)
|
(7,837
)
|
Total
long-term liabilities at fair value
|
$
-
|
$
-
|
$
(7,962
)
|
$
(7,962
)
|
|
Fair
Value at December 31, 2016
|
|||
|
|
|
|
|
|
Level
1
|
Level
2
|
Level
3
|
Total
|
|
|
|
|
|
Warrants issued in
connection with Distributor Debt
|
$
—
|
$
—
|
$
(114
)
|
$
(114
)
|
Warrants issued in
connection with Senior Secured Debt
|
—
|
—
|
(1,306
)
|
(1,306
)
|
Total
long-term liabilities at fair value
|
$
—
|
$
—
|
$
(1,420
)
|
$
(1,420
)
|
|
Fair
Value Measurements Using Significant Unobservable
Inputs
(Level 3)
|
||||
|
Series C Warrants
|
Series
B Warrants
|
Senior
Secured Debt
|
Distributor
Debt
|
Total
|
Balance,
December 31, 2016
|
$
-
|
$
-
|
$
(1,306
)
|
$
(114
)
|
$
(1,420
)
|
Warrants
issued during the year
|
-
|
-
|
(55
)
|
-
|
(55
)
|
Change
in fair value during the year
|
-
|
-
|
(6,487
)
|
-
|
(6,487
)
|
Balance, December
31, 2017
|
$
-
|
$
-
|
$
(7,848
)
|
$
(114
)
|
$
(7,962
)
|
Series C Preferred
Stock Conversions
|
11,906,931
|
Series C Preferred
Stock Dividends
|
5,365,298
|
Convertible Debt
Conversions
|
31,571,930
|
Issuance of shares
for note agreement
|
50,000
|
Total
|
48,894,159
|
|
Warrants
(Underlying
Shares)
|
Outstanding,
January 1, 2017
|
4,349,762
|
Issuances
|
289,739,376
|
Exercised
|
-
|
Canceled /
Expired
|
-
|
Outstanding,
December 31, 2017
|
294,089,138
|
Warrants(Underlying Shares)
|
|
Exercise Price
|
|
Expiration Date
|
23
|
(1)
|
$8,368.00
per share
|
|
May 23,
2018
|
7,538
|
(2)
|
$75.00
per share
|
|
June
14, 2021
|
3
|
(3)
|
$40,000.00
per share
|
|
April
23, 2019
|
7
|
(4)
|
$36,000.00
per share
|
|
May 22,
2019
|
4
|
(5)
|
$30,400.00
per share
|
|
September 10,
2019
|
2
|
(6)
|
$36,864.80
per share
|
|
September 27,
2019
|
9
|
(7)
|
$22,504.00
per share
|
|
December 2,
2019
|
105
|
(8)
|
$7,200.00
per share
|
|
December 2,
2020
|
105
|
(9)
|
$8,800.00
per share
|
|
December 2,
2020
|
25
|
(11)
|
$20,400.00
per share
|
|
March
30, 2018
|
22
|
(12)
|
$9,504.00
per share
|
|
June
29, 2020
|
145
|
(10)
|
$640.00
per share
|
|
June
29, 2020
|
150
|
(11)
|
$640.00
per share
|
|
September 4,
2020
|
362
|
(12)
|
$640.00
per share
|
|
September 21,
2020
|
6
|
(13)
|
$9,504.00
per share
|
|
September 4,
2020
|
1
|
(14)
|
$640.00
per share
|
|
October
23, 2020
|
6
|
(15)
|
$9,504.00
per share
|
|
October
23, 2020
|
279,669,261
|
(16)
|
$0.00514
per share
|
|
June
14, 2021
|
13,424,125
|
(17)
|
$0.00514
per share
|
|
February 21,
2021
|
17,239
|
(18)
|
$13.92
per share
|
|
June 6,
2021
|
200,000
|
(19)
|
$0.00514
per share
|
|
February 13,
2022
|
20,000
|
(20)
|
$0.18
per share
|
|
May 16,
2022
|
550,000
|
(21)
|
$0.019
per share
|
|
November 16,
2020
|
200,000
|
(22)
|
$0.029
per share
|
|
December 28,
2020
|
294,089,138*
|
|
|
|
|
(1)
|
Issued
in June 2015 in exchange for warrants originally issued as part of
a May 2013 private placement.
|
(2)
|
Issued
in June 2015 in exchange for warrants originally issued as part of
a May 2013 private placement.
|
(3)
|
Issued
to a placement agent in conjunction with an April 2014 private
placement.
|
(4)
|
Issued
to a placement agent in conjunction with a September 2014 private
placement.
|
(5)
|
Issued
as part of a September 2014 Regulation S offering.
|
(6)
|
Issued
to a placement agent in conjunction with a 2014 public
offering.
|
(7)
|
Issued
in June 2015 in exchange for warrants originally issued as part of
a 2014 public offering.
|
(8)
|
Issued
as part of a March 2015 private placement.
|
(9)
|
Issued
to a placement agent in conjunction with a June 2015 private
placement.
|
(10)
|
Issued
as part of a June 2015 private placement.
|
(11)
|
Issued
as part of a June 2015 private placement.
|
(12)
|
Issued
as part of a June 2015 private placement.
|
(13)
|
Issued
to a placement agent in conjunction with a June 2015 private
placement.
|
(14)
|
Issued
as part of a June 2015 private placement.
|
(15)
|
Issued
to a placement agent in conjunction with a June 2015 private
placement.
|
(16)
|
Issued
as part of a February 2016 private placement.
|
(17)
|
Issued
to a placement agent in conjunction with a February 2016 private
placement.
|
(18)
(19)
|
Issued
pursuant to a strategic license agreement.
Issued
as part of a February 2017 private placement.
|
(20)
|
Issued
as part of a May 2017 private placement.
|
(21)
|
Issued
to investors for a loan in November 2017.
|
(22)
|
Issued
to investors for a loan in December 2017.
|
|
2017
|
2016
|
Statutory federal
tax rate
|
34
%
|
34
%
|
State taxes, net of
federal benefit
|
4
|
4
|
Nondeductible
expenses
|
-
|
-
|
Valuation
allowance
|
(38
)
|
(38
)
|
|
0
%
|
0
%
|
|
2017
|
2016
|
Current
|
$
-
|
$
-
|
Deferred
|
-
|
-
|
Deferred
provision
|
-
|
-
|
Impact of change in
enacted tax rates
|
12,139
|
-
|
Change in valuation
allowance
|
(12,139
)
|
-
|
Total provision for
income taxes
|
$
-
|
$
-
|
|
|
Weighted
Average
|
|
Shares
|
Exercise
Price
|
Options Vested as
of December 31, 2016
|
117
|
$
38,640
|
Options
vested in 2017
|
-
|
$
-
|
Options vested as
of December 31, 2017
|
117
|
$
38,640
|
Year
|
|
Amount
|
2018
|
|
114
|
2019
|
|
98
|
2020
|
|
101
|
2021
|
|
26
|
Name
|
Age
|
Position with Guided Therapeutics
|
Gene S. Cartwright, Ph.D.
|
63
|
Chief Executive Officer, President, Acting Chief Financial Officer
and Director
|
Mark Faupel, Ph.D.
|
62
|
Chief Operating Officer and Director
|
Richard L. Fowler
|
61
|
Senior Vice President of Engineering
|
Richard P. Blumberg
|
61
|
Director
|
John E. Imhoff, M.D.
|
68
|
Director
|
Michael C. James
|
59
|
Chairman and Director
|
Name and Principal Position
|
Year
|
Salary
($)
|
Bonus
($)
|
Option Awards
($)(1)
|
Total
($)
|
Gene S.
Cartwright, Ph.D.
President,
CEO, Acting CFO and Director (2)
|
2017
2016
|
-
104,990
|
150,000
150,000
|
-
-
|
-
254,990
|
Mark
Faupel, Ph.D.
COO and
Director
(3)
|
2017
2016
|
-
132,557
|
-
-
|
-
-
|
-
132,557
|
Richard
Fowler,
Senior
Vice President of Engineering
|
2017
2016
|
107,500
129,995
|
-
-
|
-
-
|
107,500
129,995
|
|
Option Awards
|
||||
Name and Principal
Position
|
Number of
Securities
Underlying
Options
Exercisable (#)(1)
|
Number of Securities Underlying
Options Un-exercisable (#)
|
Equity Incentive Plan Awards: Number of
Securities Under-
lying Unexercised
Unearned Options (#)
|
Option
Exercise
Price
($)(2)
|
Option
Expiration
Date
|
Gene S.
Cartwright, Ph.D.
President,
CEO, Acting CFO and Director
|
2
|
-
|
3
|
21,600.00
|
12/31/2024
|
Mark
Faupel, Ph.D.
COO and
Director
|
32
|
-
|
3
|
57,600.00
|
12/31/2024
|
Richard
Fowler
Senior
Vice President of Engineering
|
11
|
-
|
3
|
47,200.00
|
12/31/2024
|
|
Option Awards
|
|
Name and Principal Position
|
Option Awards
(#)
|
Exercise Price
($)
|
Ronald
W. Hart, Ph.D., Director (resigned as of December 11,
2015)
|
18
|
17,600.00
|
John E.
Imhoff, M.D., Director
|
16
|
26,400.00
|
Michael
C. James, Chairman and Director
|
13
|
16,000.00
|
Jonathan
Niloff, M.D., former Director
|
14
|
17,600.00
|
Linda
Rosenstock, M.D., former Director
|
14
|
16,800.00
|
|
Common
Stock (2)
|
Series
C
Preferred
Stock (3)
|
Series
C1
Preferred
Stock (4)
|
|||
Name
and Address of Beneficial Owner (1)
|
Number
of Shares
|
Percentage
|
Number
of Shares
|
Percentage
|
Number
of Shares
|
Percentage
|
John E. Imhoff
(5)
|
333,455,380
|
69.85
%
|
-
|
-
|
2,400.75
|
55.67
%
|
Lynne Imhoff
(6)
|
93,754,585
|
39.45
%
|
-
|
-
|
675.00
|
15.65
%
|
Michael C.
James/Kuekenhof Equity Fund, LLP (7)
|
28
|
*
|
-
|
-
|
-
|
-
|
Gene Cartwright
(8)
|
38
|
*
|
-
|
-
|
-
|
-
|
Richard L. Fowler
(9)
|
16
|
*
|
-
|
-
|
-
|
-
|
Richard P. Blumberg
(10)
|
37
|
*
|
-
|
-
|
-
|
-
|
Mark Faupel
(11)
|
41,667,705
|
22.45
%
|
|
|
300.00
|
6.96
%
|
All directors and
executive officers as a group (4 persons) (12)
|
375,123,204
|
72.28
%
|
-
|
-
|
2,700.75
|
62.63
%
|
(*)
|
Less
than 1%.
|
(1)
|
Except
as otherwise indicated in the footnotes to this table and pursuant
to applicable community property laws, the persons named in the
table have sole voting and investment power with respect to all
shares of common stock.
|
(2)
|
Percentage
ownership is based on 143,912,938 shares of common stock
outstanding as of April 8, 2018. Beneficial ownership is determined
in accordance with the rules of the SEC, based on factors that
include voting and investment power with respect to shares. Shares
of common stock subject to convertible securities convertible or
exercisable within 60 days after the record date, are deemed
outstanding for purposes of computing the percentage ownership of
the person holding those securities, but are not deemed outstanding
for purposes of computing the percentage ownership of any other
person. Note that certain of our outstanding securities, including
certain warrants and the shares of Series C1 preferred stock held
by the persons listed in this table, have anti-dilution
“ratchet” or “price-protection”
provisions that, when triggered, will increase the number of shares
of common stock underlying such securities. Subject to customary
exceptions, these provisions are triggered anytime we issue shares
of common stock to third parties at a price lower than the
then-current conversion price or exercise price of the subject
securities. As a result, the beneficial ownership reported in this
table is only as of the date presented, and the beneficial
ownership amounts of the persons in this table may increase on a
future date, even though such persons have not actually acquired
any additional shares of common stock.
|
(3)
|
As of
April 8, 2018, there were 970 shares of Series C preferred stock
outstanding, and each such share was convertible into approximately
138,889 shares of common stock.
|
(4)
|
As of
April 8, 2018, there were 4,312.50 shares of Series C1 preferred
stock outstanding, and each such share was convertible into
approximately 138,889 shares of common stock.
|
(5)
|
Shares
of common stock consist of 12,952 shares of common stock directly
held, 4,912 shares issuable upon exercise of warrants, 16 shares
subject to options, and 333,437,500 shares issuable upon conversion
of 2,400.75 shares of Series C1 preferred stock. Dr. Imhoff is on
the board of directors.
|
(6)
|
Shares
of common stock consist of 3,612 shares of common stock directly
held, 973 shares issuable upon exercise of warrants, and 93,750,000
shares issuable upon conversion of 675.00 shares of Series C1
preferred stock.
|
(7)
|
Shares
of commons stock consist of 10 shares of common stock directly
held, 4 shares issuable upon exercise of warrants, and 14 shares
subject to options. Mr. James is on the board of
directors.
|
(8)
|
Shares of commons stock consist of 29 shares of common stock
directly held, 4 shares issuable upon exercise of warrants, and 5
shares subject to options.
Dr. Cartwright is the CEO
and on the board of directors.
|
(9)
|
Shares
of commons stock consist of 2 shares of common stock directly held
and 14
shares subject
to options.
|
(10)
|
Shares
of common stock consist of 23 shares of common stock directly held
and 14 shares issuable upon exercise of warrants.
|
(11)
|
Shares
of common stock consist of 1,600 shares of common stock directly
held, 46 shares issuable upon exercise of warrants, 27 shares
subject to options, and 41,666,032 shares issuable upon conversion
of 300.00 shares of Series C1 preferred stock. Dr. Faupel is the
COO and on the board of directors.
|
(12)
|
Shares of commons stock consists of 14,616 shares of common stock
directly held, 4,920 shares issuable upon exercise of
warrants, 49 shares subject to options, and 375,103,532 shares
issuable upon conversion of 2,700.75 shares of Series C1 preferred
stock.
|
|
2017
|
2016
|
Audit
fees
|
$
116,000
|
$
154,000
|
Audit related
fees
|
24,000
|
15,000
|
Tax
fees
|
7,000
|
7,000
|
Total
Fees
|
$
147,000
|
$
176,000
|
EXHIBIT
NO.
|
DESCRIPTION
|
3.1
|
Restated
Certificate of Incorporation, as amended through November 3,
2016
|
Amended
and Restated Bylaws (incorporated by reference to Exhibit 3.1 to
the current report on Form 8-K, filed March 23, 2012)
|
|
4.1
|
Specimen
Common Stock Certificate (incorporated by reference to Exhibit 4.1
to the amended registration statement on Form S-1/A (No. 333-22429)
filed April 24, 1997)
|
Secured
Promissory Note, dated September 10, 2014 (incorporated by
reference to Exhibit 4.1 to the current report on Form 8-K filed
September 10, 2014)
|
|
Amendment
#1 to Secured Promissory Note, dated March 10, 2015 (incorporated
by reference to Exhibit 10.1 to the current report on Form 8-K
filed March 19, 2015)
|
|
Amendment
#2 to Secured Promissory Note, dated May 4, 2015 (incorporated by
reference to Exhibit 10.1 to the current report on Form 8-K filed
May 7, 2015)
|
|
Amendment
#3 to Secured Promissory Note, dated June 1, 2015 (incorporated by
reference to Exhibit 10.1 to the current report on Form 8-K filed
June 5, 2015)
|
|
Amendment
#4 to Secured Promissory Note, dated June 16, 2015 (incorporated by
reference to Exhibit 10.4 to the current report on Form 8-K filed
June 30, 2015)
|
|
Amendment
#5 to Secured Promissory Note, dated June 29, 2015 (incorporated by
reference to Exhibit 10.5 to the current report on Form 8-K filed
June 30, 2015)
|
|
Amendment
#6 to Secured Promissory Note, dated January 20, 2016 (incorporated
by reference to Exhibit 10.1 to the current report on Form 8-K
filed February 16, 2016)
|
|
Amendment
#7 to Secured Promissory Note, dated February 11, 2016
(incorporated by reference to Exhibit 10.2 to the current report on
Form 8-K filed February 16, 2016)
|
|
Amendment
#8 to Secured Promissory Note, dated March 7, 2016 (incorporated by
reference to Exhibit 10.1 to the current report on Form 8-K filed
March 7, 2016)
|
|
Senior
Secured Convertible Note, dated February 12, 2016 (incorporated by
reference to Exhibit 4.1 to the current report on Form 8-K filed
February 16, 2016)
|
|
Form of
Exchange Note (GPB) (incorporated by reference to Exhibit 4.1 to
the current report on Form 8-K filed December 7, 2016)
|
|
10% OID
Convertible Promissory Note (incorporated by reference to Exhibit
4.1 to the current report on Form 8-K filed December 30,
2016)
|
|
Convertible
Promissory Note (incorporated by reference to Exhibit 4.1 to the
current report on Form 8-K filed February 16, 2017)
|
|
Form of
Warrant (Standard Form) (incorporated by reference to Exhibit 4.1
to the current report on Form 8-K, filed September 14,
2010)
|
|
Form of
Warrant (InterScan) (incorporated by reference to Exhibit 4.13 to
the annual report on Form 10-K for the year ended December 31,
2013, filed March 27, 2014)
|
|
Form of
Warrant (November 2011 Private Placement) (incorporated by
reference to Exhibit 4.1 to the current report on Form 8-K/A, filed
November 28, 2011)
|
|
Form of
Warrant (Series B-Tranche A) (incorporated by reference to Exhibit
10.2 to amendment no. 1 to the current report on Form 8-K, filed
May 23, 2013)
|
|
Form of
Warrant (Series B-Tranche B) (incorporated by reference to Exhibit
10.3 to amendment no. 1 to the current report on Form 8-K, filed
May 23, 2013)
|
|
Form of
Warrant (Regulation S) (incorporated by reference to Exhibit 4.1 to
the current report on Form 8-K, filed September 8,
2014)
|
|
Form of
Warrant (2014 Public Offering Placement Agent) (incorporated by
reference to Exhibit 4.2 to the current report on Form 8-K filed
December 4, 2014)
|
Form of
Letter Agreement (2014 Public Offering Warrant Exchanges)
(incorporated by reference to Exhibit 10.1 to the current report on
Form 8-K filed June 30, 2015)
|
|
Securities
Purchase Agreement (Series C), dated June 29, 2015 (incorporated by
reference to Exhibit 10.6 to the current report on Form 8-K filed
June 30, 2015)
|
|
Registration
Rights Agreement (Series C), dated June 29, 2015 (incorporated by
reference to Exhibit 10.7 to the current report on Form 8-K filed
June 30, 2015)
|
|
Form of
Joinder Agreement (Series C) (incorporated by reference to Exhibit
10.1 to the current report on Form 8-K filed July 13,
2015)
|
|
Interim
Securities Purchase Agreement (Series C), dated September 3, 2015
(incorporated by reference to Exhibit 10.1 to the current report on
Form 8-K filed September 3, 2015)
|
|
Securities
Purchase Agreement (Senior Secured Convertible Note), dated
February 11, 2016 (incorporated by reference to Exhibit 10.3 to the
current report on Form 8-K filed February 12, 2016)
|
|
Security
Agreement (Senior Secured Convertible Note), dated February 11,
2016 (incorporated by reference to Exhibit 10.4 to the current
report on Form 8-K filed February 12, 2016)
|
|
Rollover
and Amendment Agreement, dated April 27, 2016, by and between the
Company and Aquarius Opportunity Fund (incorporated by reference to
Exhibit 10.2 to the current report on Form 8-K filed May 3,
2016)
|
|
Form of
Letter Agreement (Series C Exchanges) (incorporated by reference to
Exhibit 10.1 to the current report on Form 8-K filed May 3,
2016)
|
|
License
Agreement, dated June 5, 2016 (incorporated by reference to Exhibit
10.1 to the current report on Form 8-K filed June 8,
2016)
|
|
Form of
Warrant Exchange Agreement (Warrant-for-Shares) (incorporated by
reference to Exhibit 10.1 to the current report on Form 8-K filed
June 14, 2016)
|
|
Form of
Warrant Exchange Agreement (Warrant-for-Warrant) (incorporated by
reference to Exhibit 10.2 to the current report on Form 8-K filed
June 14, 2016)
|
|
Royalty
Agreement, dated September 6, 2016, between the Company and Imhoff
and Maloof (incorporated by reference to Exhibit 10.1 to the
current report on Form 8-K filed September 8, 2016)
|
|
Lockup
and Exchange Agreement, dated November 2, 2016, by the Company and
GHS Investments, LLC (incorporated by reference to Exhibit 10.1 to
the current report on Form 8-K filed November 4, 2016)
|
|
Exchange
Agreement, dated December 7, 2016, between the Company and GPB Debt
Holdings II LLC (incorporated by reference to Exhibit 10.1 to the
current report on Form 8-K filed December 7, 2016)
|
|
Amendment
to Consulting Agreement, dated December 7, 2016, between the
Company and GPB Debt Holdings II LLC (incorporated by reference to
Exhibit 10.2 to the current report on Form 8-K filed December 7,
2016)
|
|
Securities
Purchase Agreement, dated December 28, 2016, between the Company
and RedDiamond (incorporated by reference to Exhibit 10.1 to the
current report on Form 8-K filed December 30, 2016)
|
|
Agreement
between Shandong Yaohua Medical Instrument Corporation and Guided
Therapeutics, Inc., Confidential, Final 22 January 2017
(incorporated by reference to Exhibit 10.1 to the current report on
Form 8-K filed January 26, 2017)
|
|
Guided
Therapeutics-Shenghuo Medical Agreement, 22 Jan 2017 (incorporated
by reference to Exhibit 10.2 to the current report on Form 8-K
filed January 26, 2017)
|
|
Securities
Purchase Agreement, dated as of February 13, 2017, by and between
Guided Therapeutics, Inc. and Auctus Fund, LLC (incorporated by
reference to Exhibit 10.1 to the current report on Form 8-K filed
February 16, 2017)
|
Securities
Purchase Agreement, dated as of March 17, 2017, by and between
Guided Therapeutics, Inc. and Eagle Equities LLC and Adar Bays LLC
and on May 18, 2017 with GHS Investments LLC (incorporated by
reference to Exhibit 10.2 to the current report on Form 8-K filed
May 24, 2017)
|
|
Forbearance
Agreement, dated as of August 8, 2017, by and between Guided
Therapeutics, Inc. and GPB Debt Holdings II LLC (incorporated by
reference to Exhibit 10.2 to the current report on Form 8-K filed
August 14, 2017)
|
|
Securities
Purchase Agreement, dated as of August 18, 2017, by and between
Guided Therapeutics, Inc. and Power Up Lending Group LTD
(incorporated by reference to Exhibit 10.1 to the current report on
Form 8-K filed August 24, 2017)
|
|
Securities
Purchase Agreement, dated as of October 12, 2017, by and between
Guided Therapeutics, Inc. and Power Up Lending Group LTD
(incorporated by reference to Exhibit 10.2 to the current report on
Form 8-K filed October 25, 2017)
|
Subsidiaries
(incorporated by reference to Exhibit 21.1 to the registration
statement on Form S-1 (No. 333-169755) filed October 5,
2010)
|
|
23.1
*
|
Consent
of UHY LLP
|
101.1*
|
Interactive
Data File
|
*Filed
herewith
|
|
GUIDED
THERAPEUTICS, INC.
|
|
|
|
|
|
By:
|
/s/
Gene S.
Cartwright
|
|
President, Chief Executive Officer and
Acting
Chief Financial Officer
|
|
|
|
DATE
|
|
SIGNATURE
|
|
TITLE
|
|
|
|
|
|
April
17, 2018
|
|
/s/ Gene S. Cartwright
|
|
President, Chief Executive Officer, Acting Chief
Financial
|
|
|
Gene S. Cartwright
|
|
Officer (Principal Executive Officer and Principal Financial and
Accounting Officer)
|
|
|
|
|
|
April
17, 2018
|
|
/s/ Michael C. James
|
|
Chairman of the Board and Director
|
|
|
Michael C. James
|
|
|
|
|
|
|
|
April
17, 2018
|
|
/s/ John E. Imhoff
|
|
Director
|
|
|
John E. Imhoff
|
|
|
|
|
|
|
|
April
17, 2018
|
|
/s/ Richard P. Blumberg
|
|
Director
|
|
|
Richard P. Blumberg
|
|
|
|
|
|
|
|
April
17, 2018
|
|
/s/ Mark Faupel
|
|
Chief Operating Officer and Director
|
|
|
Mark Faupel
|
|
|
1 Year Guided Therapeutics (QB) Chart |
1 Month Guided Therapeutics (QB) Chart |
It looks like you are not logged in. Click the button below to log in and keep track of your recent history.
Support: +44 (0) 203 8794 460 | support@advfn.com
By accessing the services available at ADVFN you are agreeing to be bound by ADVFN's Terms & Conditions