About this content About Emily Jarvie Emily began her career as a political journalist for Australian Community Media in Hobart, Tasmania. After she relocated to Toronto, Canada, she reported on business, legal, and scientific developments in the emerging psychedelics sector before joining Proactive in 2022. She brings a strong journalism background with her work featured in newspapers, magazines, and digital publications across Australia, Europe, and North America, including The Examiner, The Advocate, ...

About this content About Emily Jarvie Emily began her career as a political journalist for Australian Community Media in Hobart, Tasmania. After she relocated to Toronto, Canada, she reported on business, legal, and scientific developments in the emerging psychedelics sector before joining Proactive in 2022. She brings a strong journalism background with her work featured in newspapers, magazines, and digital publications across Australia, Europe, and North America, including The Examiner, The Advocate, ...

About this content About Emily Jarvie Emily began her career as a political journalist for Australian Community Media in Hobart, Tasmania. After she relocated to Toronto, Canada, she reported on business, legal, and scientific developments in the emerging psychedelics sector before joining Proactive in 2022. She brings a strong journalism background with her work featured in newspapers, magazines, and digital publications across Australia, Europe, and North America, including The Examiner, The Advocate, ...

About this content About Emily Jarvie Emily began her career as a political journalist for Australian Community Media in Hobart, Tasmania. After she relocated to Toronto, Canada, she reported on business, legal, and scientific developments in the emerging psychedelics sector before joining Proactive in 2022. She brings a strong journalism background with her work featured in newspapers, magazines, and digital publications across Australia, Europe, and North America, including The Examiner, The Advocate, ...

[PART I FINANCIAL INFORMATION](index=3&type=section&id=PART%20I%20FINANCIAL%20INFORMATION) This section covers the company's financial statements, management's analysis, market risk, and internal control disclosures [Financial Statements](index=3&type=section&id=Item%201.%20Financial%20Statements) The company reported a **$4.1 million net loss**, decreased assets, and a **$135.1 million accumulated deficit**, raising going concern issues Condensed Balance Sheets Condensed Balance Sheet Summary (Unaudited) | Metric | Dec 31, 2023 ($) | June 30, 2023 ($) | | :--- | :--- | :--- | | **Assets** | | | | Cash and cash equivalents | $5,245,374 | $8,149,808 | | Total current assets | $5,317,816 | $8,445,294 | | Total assets | $13,402,210 | $16,899,880 | | **Liabilities & Equity** | | | | Total current liabilities | $951,074 | $534,250 | | Total liabilities | $951,074 | $2,034,250 | | Total stockholders' equity | $12,451,136 | $14,865,630 | Condensed Statements of Operations Condensed Statements of Operations Summary (Unaudited) | Metric | Three Months Ended Dec 31, 2023 ($) | Three Months Ended Dec 31, 2022 ($) | Six Months Ended Dec 31, 2023 ($) | Six Months Ended Dec 31, 2022 ($) | | :--- | :--- | :--- | :--- | :--- | | Research and development | $1,573,879 | $1,170,710 | $3,040,544 | $2,283,369 | | General and administrative | $610,877 | $663,284 | $1,175,803 | $1,172,985 | | Loss from operations | $(2,184,756) | $(1,833,994) | $(4,216,347) | $(3,456,354) | | Net loss | $(2,114,937) | $(1,745,134) | $(4,083,683) | $(3,315,776) | | Net loss per share | $(0.18) | $(0.15) | $(0.35) | $(0.29) | Condensed Statements of Changes in Stockholders' Equity - Stockholders' equity decreased from **$14.9 million** at June 30, 2023, to **$12.5 million** at December 31, 2023. The decrease was primarily driven by a net loss of **$4.1 million**, partially offset by non-cash transactions including the conversion of a **$1.5 million** related-party promissory note into Series A preferred stock and stock-based compensation[13](index=13&type=chunk) Condensed Statements of Cash Flows Condensed Statements of Cash Flows Summary (Unaudited) | Metric | Six Months Ended Dec 31, 2023 ($) | Six Months Ended Dec 31, 2022 ($) | | :--- | :--- | :--- | | Net cash used in operating activities | $(2,890,669) | $(2,433,380) | | Net cash used in investing activities | $(13,765) | $(89,845) | | Net cash used in financing activities | $0 | $(94,788) | | Net change in cash | $(2,904,434) | $(2,618,013) | | Cash at end of period | $5,245,374 | $11,448,346 | Notes to the Condensed Financial Statements - The company is a clinical-stage biopharmaceutical firm with its lead drug candidate, NV-CoV-2, in Phase 1a/1b human clinical trials for COVID-19. The drug's active ingredient, NV-387, has also shown pre-clinical effectiveness against Respiratory Syncytial Virus (RSV) and smallpox[20](index=20&type=chunk) - The company has an accumulated deficit of approximately **$135.1 million** and has not generated any revenue. Management believes its cash of **$5.2 million** and a **$2 million** line of credit are sufficient to fund operations for at least 12 months, but additional capital will be needed for long-term plans[27](index=27&type=chunk)[29](index=29&type=chunk) - Significant related-party transactions exist with TheraCour Pharma, Inc. for technology licenses and R&D services, and with Karveer Meditech, Pvt., Ltd (KMPL) for clinical trial management in India. The company's CEO, Dr. Anil Diwan, has a controlling interest in TheraCour and is a passive investor in KMPL[35](index=35&type=chunk)[36](index=36&type=chunk) - Subsequent to the quarter end, the company amended its COVID-19 License Agreement with TheraCour to defer cash milestone payments until the company achieves a "Revenue Event," significantly easing near-term cash flow pressures[66](index=66&type=chunk) [Management's Discussion and Analysis of Financial Condition and Results of Operations](index=22&type=section&id=Item%202.%20Management's%20Discussion%20and%20Analysis%20of%20Financial%20Condition%20and%20Results%20of%20Operations) Management discusses the company's clinical-stage progress with NV-CoV-2, increased net loss and R&D expenses, and liquidity for future operations - The lead drug candidate, NV-CoV-2, is in Phase 1a/1b clinical trials. Its active ingredient, NV-387, has demonstrated broad-spectrum antiviral activity against Coronaviruses, RSV, and Poxviruses (Mpox/Smallpox) in pre-clinical models[75](index=75&type=chunk)[81](index=81&type=chunk)[83](index=83&type=chunk) - The healthy subjects part of the Phase 1a/1b human clinical trial for NV-CoV-2 was successfully completed with no adverse events reported, indicating a strong safety and tolerability profile for NV-387[157](index=157&type=chunk) - The company has doubled its manufacturing capacity for NV-387 in preparation for potential Phase II clinical trials for COVID or Phase II/III trials for RSV[145](index=145&type=chunk) Results of Operations Comparison (Six Months Ended Dec 31) | Metric | 2023 ($) | 2022 ($) | Change ($) | | :--- | :--- | :--- | :--- | | Research & Development Expenses | $3,040,544 | $2,283,369 | +$757,175 | | General & Administrative Expenses | $1,175,803 | $1,172,985 | +$2,818 | | Net Loss | $(4,083,683) | $(3,315,776) | +$767,907 | | Net Loss per Share | $(0.35) | $(0.29) | +$0.06 | - As of December 31, 2023, the company had **$5.2 million** in cash. Management believes this, along with an available line of credit, is sufficient to fund operations for at least the next twelve months[176](index=176&type=chunk)[217](index=217&type=chunk) [Quantitative and Qualitative Disclosures About Market Risk](index=52&type=section&id=Item%203.%20Quantitative%20and%20Qualitative%20Disclosures%20About%20Market%20Risk) The company is a smaller reporting company and is therefore not required to provide information for this item - As a smaller reporting company, NanoViricides, Inc. is not required to provide quantitative and qualitative disclosures about market risk[222](index=222&type=chunk) [Controls and Procedures](index=52&type=section&id=Item%204.%20Controls%20and%20Procedures) Management concluded that disclosure controls and procedures were ineffective due to an un-remediated material weakness in internal control over financial reporting - The company's CEO and CFO concluded that disclosure controls and procedures were not effective as of December 31, 2023[224](index=224&type=chunk) - The ineffectiveness is due to a material weakness in internal control over financial reporting, as described in the company's Form 10-K for the fiscal year ended June 30, 2023[224](index=224&type=chunk) - A remediation plan, including a financial reporting controls committee, has been established but has not yet fully remediated the material weakness, particularly concerning timeliness[226](index=226&type=chunk) [PART II OTHER INFORMATION](index=53&type=section&id=PART%20II%20OTHER%20INFORMATION) This section includes disclosures on legal proceedings, equity sales, defaults, and other relevant corporate information [Legal Proceedings](index=53&type=section&id=Item%201.%20Legal%20Proceedings) The company reports that there are no pending or threatened legal proceedings that it believes will have a material adverse effect on its business, financial position, or operations - As of the filing date, the company is not aware of any pending or threatened legal proceedings against it[229](index=229&type=chunk) [Unregistered Sales of Equity Securities and Use of Proceeds](index=53&type=section&id=Item%202.%20Unregistered%20Sales%20of%20Equity%20Securities%20and%20Use%20of%20Proceeds) The company issued unregistered Series A preferred stock, common stock, and warrants for note conversion and compensation, relying on Securities Act exemptions - On October 27, 2023, TheraCour Pharma, Inc. converted a **$1,500,000** note into **331,859** shares of Series A preferred stock[231](index=231&type=chunk) - The company issued Series A preferred stock, common stock, and warrants to its CEO, employees, directors, and consultants as compensation for services rendered during the period[232](index=232&type=chunk)[233](index=233&type=chunk)[235](index=235&type=chunk)[236](index=236&type=chunk)[237](index=237&type=chunk) - All securities were issued without registration under the Securities Act of 1933, relying on exemptions provided by Section 4(a)(2) and Rule 506(b) of Regulation D[238](index=238&type=chunk) [Defaults Upon Senior Securities](index=56&type=section&id=Item%203.%20Defaults%20Upon%20Senior%20Securities) The company reported no defaults upon senior securities - None[240](index=240&type=chunk) [Mine Safety Disclosures](index=56&type=section&id=Item%204.%20Mine%20Safety%20Disclosures) This item is not applicable to the company - Not applicable[241](index=241&type=chunk) [Other Information](index=56&type=section&id=Item%205.%20Other%20Information) The company reported no other material information, including no changes to board nominee procedures or Rule 10b5-1 trading arrangements - No director or officer adopted or terminated a Rule 10b5-1 trading arrangement during the reporting period[244](index=244&type=chunk) [Exhibits](index=57&type=section&id=Item%206.%20Exhibits%20and%20Reports%20on%20Form%208-K) This section lists the exhibits filed with the Form 10-Q, which include the required certifications by the Chief Executive Officer and Chief Financial Officer, as well as Inline XBRL financial data files - The exhibits filed with this report include CEO and CFO certifications under Rule 13(a)-14(a)/15(d)-14(a) and Section 1350, along with Inline XBRL documents[246](index=246&type=chunk)

Delaware 76-0674577 (State or other jurisdiction) (IRS Employer Identification No.) of incorporation or organization) For the quarterly period ended September 30, 2023 (Exact name of Company as specified in its charter) Table of Contents Commission File Number: 001-36081 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q NANOVIRICIDES, INC. QUARTERLY REPORT UNDER SECTION 1320 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934. 1 Controls Drive Shelton, Connecticut 06484 (Address ...

Financial Performance - For the year ended June 30, 2023, the company reported a net loss of approximately $8,589,000, compared to a net loss of approximately $8,107,000 for the year ended June 30, 2022, reflecting an increase of $482,000 attributed to higher license milestone expenses [507]. - The company has an accumulated deficit of approximately $131,081,000 as of June 30, 2023, with no revenues generated and no revenues anticipated in the foreseeable future [515]. - The company has not generated any revenues since its inception in May 2005 and does not expect to generate revenues in the near future [500]. - Interest income increased to approximately $356,000 for the year ended June 30, 2023, compared to approximately $12,000 for the year ended June 30, 2022, due to higher interest rates [504]. - The company has approximately $2,034,000 in liabilities as of June 30, 2023, compared to approximately $413,000 as of June 30, 2022 [514]. Cash and Funding - As of June 30, 2023, the company had approximately $8,150,000 in cash and cash equivalents, down from approximately $14,066,000 as of June 30, 2022 [514]. - The Company has approximately $8,150,000 in cash and cash equivalents, expected to fund operations through October 2024 [516]. - The Company has filed a registration statement allowing for the sale of up to $150 million in various securities, with the entire amount still available for sale [518]. - The Company anticipates needing additional funding for later stages of human clinical trials unless a partnership with a larger pharmaceutical company is formed [521]. - The Company intends to seek non-dilutive financing, grants, and pharmaceutical partnerships as its drug candidates progress [532]. Research and Development - Research and development expenses increased to approximately $6,392,000 for the year ended June 30, 2023, up from approximately $5,785,000 for the year ended June 30, 2022, primarily due to increased license fees [503]. - The Company plans to file an IND for its Shingles Skin Cream after advancing its pan-coronavirus and RSV program drugs into clinical trials [511]. - The Company plans to file an IND for the Shingles Skin Cream after advancing its pan-coronavirus and RSV programs into clinical trials [517]. - The estimated costs for Phase I clinical trials are approximately $1.5 million, $5 million for Phase II, and $10 million for Phase III, assuming successful prior phases [522]. - The planned recruitment for Phase 1a/1b clinical trials includes 36 healthy volunteers and 36 COVID patients [524]. - The Company has limited experience in pharmaceutical drug development, leading to potential inaccuracies in budget estimates [526]. - The Company is classified as a clinical drug development stage company and will continue until regulatory approvals are obtained [533]. Strategic Partnerships - The company has signed several cooperative research and development agreements with TheraCour and expects to enter into additional agreements with other entities [509]. - The company plans to actively pursue co-development and licensing agreements with other pharmaceutical companies to enhance revenue opportunities [497]. - The Company believes its market capitalization will improve as its coronavirus program matures through human clinical trials [523].

[PART I FINANCIAL INFORMATION](index=3&type=section&id=PART%20I%20FINANCIAL%20INFORMATION) [Financial Statements](index=3&type=section&id=Item%201.%20Financial%20Statements) This section presents the unaudited condensed financial statements for the period ended March 31, 2023, including balance sheets, statements of operations, and cash flows, reporting a net loss of $1.7 million for the quarter and $5.0 million for the nine months [Condensed Balance Sheets](index=3&type=section&id=Condensed%20Balance%20Sheets) | Balance Sheet Highlights | March 31, 2023 (Unaudited) | June 30, 2022 | | :--- | :--- | :--- | | Cash and cash equivalents | $9,650,958 | $14,066,359 | | Total current assets | $9,931,075 | $14,416,380 | | Total assets | $18,576,799 | $23,494,862 | | Total current liabilities | $348,744 | $412,837 | | Total stockholders' equity | $18,228,055 | $23,082,025 | - Cash and cash equivalents decreased by approximately **$4.4 million**, reflecting cash used in operations[9](index=9&type=chunk) [Condensed Statements of Operations](index=4&type=section&id=Condensed%20Statements%20of%20Operations) | Operating Results (Unaudited) | Three Months Ended Mar 31, 2023 | Three Months Ended Mar 31, 2022 | Nine Months Ended Mar 31, 2023 | Nine Months Ended Mar 31, 2022 | | :--- | :--- | :--- | :--- | :--- | | Research and development | $1,196,094 | $1,255,074 | $3,479,463 | $4,613,302 | | General and administrative | $614,647 | $532,801 | $1,787,632 | $1,707,514 | | **Loss from operations** | **($1,810,741)** | **($1,787,875)** | **($5,267,095)** | **($6,320,816)** | | **Net loss** | **($1,702,804)** | **($1,792,664)** | **($5,018,580)** | **($6,326,866)** | | Net loss per share | ($0.15) | ($0.16) | ($0.43) | ($0.55) | - Net loss for the nine months ended March 31, 2023, decreased due to lower research and development expenses[11](index=11&type=chunk) [Condensed Statements of Cash Flows](index=7&type=section&id=Condensed%20Statements%20of%20Cash%20Flows) | Cash Flow Summary (Unaudited) | Nine Months Ended March 31, 2023 | Nine Months Ended March 31, 2022 | | :--- | :--- | :--- | | Net cash used in operating activities | ($4,171,467) | ($4,493,550) | | Net cash used in investing activities | ($149,146) | ($248,986) | | Net cash used in financing activities | ($94,788) | ($202,007) | | **Net change in cash** | **($4,415,401)** | **($4,944,543)** | | Cash at end of period | $9,650,958 | $15,572,134 | [Notes to the Condensed Financial Statements](index=8&type=section&id=Notes%20to%20the%20Condensed%20Financial%20Statements) These notes provide crucial context to the financial statements, detailing the company's clinical-stage status, lead drug candidate NV-CoV-2 entering Phase 1 trials, liquidity position, and significant related-party transactions - The company is a clinical-stage biopharmaceutical firm with its lead candidate, **NV-CoV-2 for COVID-19**, entering Phase 1a/1b human clinical trials in India[20](index=20&type=chunk)[21](index=21&type=chunk) - As of March 31, 2023, the company had an accumulated deficit of approximately **$127.5 million** and no revenue, but management believes **$9.7 million** in cash is sufficient for at least 12 months of operations[27](index=27&type=chunk)[30](index=30&type=chunk) - The company holds exclusive worldwide licenses from **TheraCour Pharma, Inc.**, a related party, for its core technology, with a **15% royalty** on net sales upon commercialization[24](index=24&type=chunk) - The company licensed its COVID-19 drug candidates to **Karveer Meditech** for clinical development and commercialization in India, with NanoViricides reimbursing trial costs plus a **30% fee** and receiving a **70% royalty** on net sales[40](index=40&type=chunk) [Management's Discussion and Analysis of Financial Condition and Results of Operations](index=17&type=section&id=Item%202.%20Management's%20Discussion%20and%20Analysis%20of%20Financial%20Condition%20and%20Results%20of%20Operations) Management discusses the company's business, drug pipeline, and financial performance, focusing on advancing **NV-CoV-2** into human clinical trials and expanding **NV-387**'s use against other viruses, with a net loss of **$5.0 million** for the nine months [Drug Pipeline and Strategy](index=17&type=section&id=Drug%20Pipeline%20and%20Strategy) - The lead clinical-stage drug, **NV-CoV-2** for COVID-19, is poised to enter Phase 1a/1b trials in India[66](index=66&type=chunk)[75](index=75&type=chunk) - The company is exploring additional applications for **NV-387**, the active ingredient in NV-CoV-2, against other viruses like RSV and mpox[68](index=68&type=chunk)[85](index=85&type=chunk)[92](index=92&type=chunk) - The company's platform technology develops drugs resistant to viral mutation by mimicking human cellular receptors[108](index=108&type=chunk)[109](index=109&type=chunk) - NanoViricides possesses its own **cGM-compliant manufacturing facility**, providing a competitive advantage for rapid and cost-effective production of clinical trial materials[103](index=103&type=chunk)[104](index=104&type=chunk) [Recent Developments and Financial Status](index=30&type=section&id=Recent%20Developments%20and%20Financial%20Status) - During the quarter, the company completed **cGM-compliant manufacturing** of **NV-387** and **NV-CoV-2 Oral Syrup and Gummies** for clinical trials in India[124](index=124&type=chunk) - Subsequent to the quarter, drug products were shipped to partner **Karveer** in India on April 12, 2023, with clinical trials expected to commence shortly[125](index=125&type=chunk) - As of March 31, 2023, the company held **$9.7 million** in cash and cash equivalents, deemed sufficient to fund operations for over twelve months and initial human clinical trials for **NV-CoV-2**[128](index=128&type=chunk)[129](index=129&type=chunk) [Results of Operations Analysis](index=41&type=section&id=Results%20of%20Operations%20Analysis) | Expense Category | Nine Months Ended Mar 31, 2023 | Nine Months Ended Mar 31, 2022 | Change | Reason for Change | | :--- | :--- | :--- | :--- | :--- | | Research & Development | $3,479,463 | $4,613,302 | ($1,133,839) | Decrease in external lab expenses and a prior-year milestone payment | | General & Administrative | $1,787,632 | $1,707,514 | $80,118 | Increase in professional fees | - The net loss for the nine months ended March 31, 2023, was **$5.02 million** (or **$0.43 per share**), a decrease from **$6.33 million** (or **$0.55 per share**) in the prior year period[182](index=182&type=chunk) [Quantitative and Qualitative Disclosures About Market Risk](index=44&type=section&id=Item%203.%20Quantitative%20and%20Qualitative%20Disclosures%20About%20Market%20Risk) The company's market risk exposure is primarily limited to non-material interest rate fluctuations on cash equivalents, with no foreign currency or derivative instrument exposure - The company's market risk exposure is primarily limited to **non-material interest rate risk** on its cash equivalents[188](index=188&type=chunk) [Controls and Procedures](index=44&type=section&id=Item%204.%20Controls%20and%20Procedures) Management concluded that disclosure controls and procedures were ineffective as of March 31, 2023, due to a material weakness in internal control over financial reporting, with a remediation plan in place - Disclosure controls and procedures were deemed **ineffective** as of March 31, 2023, due to a **material weakness** in internal control over financial reporting[190](index=190&type=chunk) - The material weakness arises from insufficient timely review of the period-end closing process and inadequate personnel and resources[190](index=190&type=chunk) - A remediation plan, including a **financial reporting controls committee**, is in place to enhance oversight and ensure financial reporting reliability[192](index=192&type=chunk) [PART II OTHER INFORMATION](index=46&type=section&id=PART%20II%20OTHER%20INFORMATION) [Legal Proceedings](index=46&type=section&id=Item%201.%20Legal%20Proceedings) The company reports no pending or threatened legal proceedings expected to materially adversely affect its business, financial condition, or results of operations - As of the filing date, there are **no legal proceedings** against the company, nor is the company aware of any threatened actions[197](index=197&type=chunk) [Unregistered Sales of Equity Securities and Use of Proceeds](index=46&type=section&id=Item%202.%20Unregistered%20Sales%20of%20Equity%20Securities%20and%20Use%20of%20Proceeds) This section details the issuance of unregistered equity securities, including Series A preferred stock, common stock, and warrants, as compensation to various parties under Section 4(a)(2) exemptions - Issued **Series A preferred stock** and **common stock** for employee, director, and consulting services[198](index=198&type=chunk)[199](index=199&type=chunk)[201](index=201&type=chunk)[202](index=202&type=chunk) - Granted fully vested warrants to the **Scientific Advisory Board** to purchase common stock shares[200](index=200&type=chunk) - All securities were issued without registration under the Securities Act, relying on **Section 4(a)(2) exemptions**, and are considered restricted[203](index=203&type=chunk) [Defaults Upon Senior Securities](index=46&type=section&id=Item%203.%20Defaults%20Upon%20Senior%20Securities) No defaults upon senior securities were reported during the period - The company reported **no defaults** upon senior securities[204](index=204&type=chunk) [Mine Safety Disclosures](index=48&type=section&id=Item%204.%20Mine%20Safety%20Disclosures) This item is not applicable to the company's operations - This disclosure item is **not applicable**[205](index=205&type=chunk) [Other Information](index=48&type=section&id=Item%205.%20Other%20Information) No other material information was reported - The company reported **no other information**[206](index=206&type=chunk) [Exhibits](index=49&type=section&id=Item%206.%20Exhibits%20and%20Reports%20on%20Form%208-K) This section lists the exhibits filed with the Form 10-Q, including CEO and CFO certifications and Inline XBRL documents - Exhibits filed include **Rule 13(a)-14(a)/15(d)-14(a)** and **Section 1350 certifications** for the CEO and CFO, along with Inline XBRL files[208](index=208&type=chunk)

Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q QUARTERLY REPORT UNDER SECTION 1320 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934. For the quarterly period ended December 31, 2022 Commission File Number: 001-36081 (Exact name of Company as specified in its charter) of incorporation or organization) NEVADA 76-0674577 (State or other jurisdiction) (IRS Employer Identification No.) 1 Controls Drive Shelton, Connecticut 06484 (Address of principal executive ...

Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q QUARTERLY REPORT UNDER SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934. For the quarterly period ended September 30, 2022 Commission File Number: 001-36081 NANOVIRICIDES, INC. (Exact name of Company as specified in its charter) of incorporation or organization) NEVADA 76-0674577 (State or other jurisdiction) (IRS Employer Identification No.) 1 Controls Drive Shelton, Connecticut 06484 (Address of p ...