Annexon Inc
For the period ended Dec 31, 2024. Filed Mar 3, 2025.
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A company's yearly report to the SEC, with audited financial statements. It is the fullest account a company gives of its business, its finances and the risks it sees.
FY2024 · Filed Mar 3, 2025
ANNX$4.21-0.5%Stored close · as of Nov 10, 2026
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Item 15. Exhibits, Financial Statement Schedules
(a) The following documents are filed as part of this report:
- Financial Statements
Information in response to this Item is included in Part II, Item 8 of this Annual Report on Form 10-K.
- Financial Statement Schedules
All schedules are omitted because they are not applicable or the required information is shown in the financial statements or notes thereto.
- Exhibits
Exhibit Index
| ExhibitNo · Description of Exhibit · Incorporated by Reference | |||||
|---|---|---|---|---|---|
| Form · File No. · Exhibit · Filing Date · FiledHerewith | |||||
| 3.1 | Amended and Restated Certificate of Incorporation. | 8-K | 001-39402 | 3.1 | 07/28/20 |
| 3.2 | Amended and Restated Bylaws. | 8-K | 001-39402 | 3.2 | 07/28/20 |
| 4.1 | Reference is made to Exhibits 3.1 through 3.2. | ||||
| 4.2 | Form of Common Stock Certificate. | S-1 | 333-239647 | 4.2 | 07/02/20 |
| 4.3 | Description of Registrant’s Securities Registered Pursuant to Section 12 of the Securities Exchange Act of 1934. | 10-K | 001-39402 | 4.3 | 03/01/22 |
| 4.4 | Form of Pre-Funded Warrant. | 8-K | 001-39402 | 4.1 | 07/08/22 |
| 4.5 | Form of Common Warrant. | 8-K | 001-39402 | 4.2 | 07/08/22 |
| 4.6 | Form of Pre-Funded Warrant. | 8-K/A | 001-39402 | 4.1 | 12/22/23 |
| 4.7 | Form of Pre-Funded Warrant. | 8-K | 001-39402 | 4.1 | 06/07/24 |
| 10.1 | Amended and Restated Investors’ Rights Agreement, dated June 30, 2020, by and among the Registrant and the investors listed therein. | S-1 | 333-239647 | 10.1 | 07/02/20 |
| 10.2† | Exclusive (Equity) Agreement, dated November 21, 2011, by and between the Registrant and The Board of Trustees of the Leland Stanford Junior University. | S-1 | 333-239647 | 10.2 | 07/02/20 |
| 10.3 | Lease, dated December 18, 2020, by and between the Registrant and HCP LS Brisbane, LLC. | 8-K | 001-39402 | 10.1 | 12/22/20 |
| 10.4(a)+ | 2011 Incentive Award Plan. | S-1/A | 333-239647 | 10.4(a) | 07/20/20 |
| 10.4(b)+ | Form of Stock Option Agreement under 2011 Equity Incentive Plan. | S-1 | 333-239647 | 10.4(b) | 07/02/20 |
| ExhibitNo · Description of Exhibit · Incorporated by Reference | ||||||
|---|---|---|---|---|---|---|
| Form · File No. · Exhibit · Filing Date · FiledHerewith | ||||||
| 10.5(a)+ | 2020 Incentive Award Plan. | S-8 | 333-240101 | 99.2(a) | 07/24/20 | |
| 10.5(b)+ | Form of Stock Option Grant Notice and Stock Option Agreement under the 2020 Incentive Award Plan. | S-1 | 333-239647 | 10.5(b) | 07/02/20 | |
| 10.5(c)+ | Form of Restricted Stock Award Grant Notice and Restricted Stock Award Agreement under the 2020 Incentive Award Plan. | S-1 | 333-239647 | 10.5(c) | 07/02/20 | |
| 10.5(d)+ | Form of Restricted Stock Unit Award Grant Notice and Restricted Stock Unit Award Agreement under the 2020 Incentive Award Plan. | S-1 | 333-239647 | 10.5(d) | 07/02/20 | |
| 10.6+ | Employee Stock Purchase Plan. | S-8 | 333-240101 | 99.3 | 07/24/20 | |
| 10.7+ | Employment Agreement by and between the Registrant and Douglas Love, Esq. | S-1 | 333-239647 | 10.7 | 07/02/20 | |
| 10.8+ | Employment Agreement by and between the Registrant and Jennifer Lew. | S-1 | 333-239647 | 10.9 | 07/02/20 | |
| 10.9+ | Employment Agreement by and between the Registrant and Michael Overdorf. | S-1/A | 333-239647 | 10.11 | 07/20/20 | |
| 10.10+ | Non-Employee Director Compensation Program. | X | ||||
| 10.11+ | Form of Indemnification and Advancement Agreement for directors and officers. | S-1 | 333-239647 | 10.12 | 07/02/20 | |
| 10.12+ | Employment Agreement by and between the Registrant and Dean Richard Artis, Ph.D. | 10-K | 001-39402 | 10.12 | 03/06/22 | |
| 10.13 | Sales Agreement, dated as of March 26, 2024, by and between Annexon Inc. and Cowen and Company, LLC. | S-3 | 333-278246 | 1.2 | 03/26/24 | |
| 10.14 | Securities Purchase Agreement, dated July 7,2022, by and among the Registrant and thePurchasers named within. | 8-K | 001-39402 | 10.1 | 07/08/22 | |
| 10.15+ | Annexon, Inc. 2022 Employment InducementAward Plan. | 10-Q | 001-39402 | 10.2(a) | 08/08/22 | |
| 10.16+ | Form of Stock Option Grant Notice and Stock Option Agreement under the 2022Employment Inducement Award Plan. | 10-Q | 001-39402 | 10.2(b) | 08/08/22 | |
| 10.17+ | Form of Restricted Stock Unit Award GrantNotice and Restricted Stock Unit AwardAgreement under the 2022 EmploymentInducement Award Plan. | 10-Q | 001-39402 | 10.2(c) | 08/08/22 | |
| 10.18+ | Employment Agreement by and between theRegistrant and Jamie Dananberg, M.D. | 10-Q | 001-39402 | 10.2# | 08/07/23 | |
| ExhibitNo · Description of Exhibit · Incorporated by Reference | ||||||
|---|---|---|---|---|---|---|
| Form · File No. · Exhibit · Filing Date · FiledHerewith | ||||||
| 19.1 · Insider Trading Compliance Policy · X | ||||||
| 21.1 | List of subsidiaries. | S-1 | 333-239647 | 21.1 | 07/02/20 | |
| 23.1 | Consent of Independent Registered Public Accounting Firm. | X | ||||
| 24.1 | Power of Attorney (included in the signature page hereto). | X | ||||
| 31.1 | Certification of Principal Executive Officer Pursuant to Rules 13a-14(a) and 15d-14(a) under the Securities Exchange Act of 1934, as amended. | X | ||||
| 31.2 | Certification of Principal Financial Officer Pursuant to Rules 13a-14(a) and 15d-14(a) under the Securities Exchange Act of 1934, as amended. | X | ||||
| 32.1* | Certification of Chief Executive Officer and Chief Financial Officer Pursuant to 18 U.S.C. Section 1350, As Adopted Pursuant to Section 906 of the Sarbanes-Oxley Act of 2002, as amended. | X | ||||
| 97.1 | Policy for Recovery of Erroneously Awarded Compensation. | 10-K | 001-39402 | 97.1 | 03/26/24 | |
| 101.INS | Inline XBRL Instance Document | X | ||||
| 101.SCH | Inline XBRL Taxonomy Extension Schema With Embedded Linkbase Documents | X | ||||
| 104 | Cover Page Interactive Data File (formatted as inline XBRL and contained in Exhibit 101) | X | ||||
- Indicates management contract or compensatory plan.
† Certain portions of this document that constitute confidential information have been redacted in accordance with Regulation S-K, Item 601(b)(10).
- The certification attached as Exhibit 32.1 that accompanies this Annual Report on Form 10-K pursuant to 18 U.S.C. Section 1350, as adopted pursuant to Section 906 of the Sarbanes-Oxley Act of 2002, is not deemed “filed” by the Registrant for purposes of Section 18 of the Securities Exchange Act of 1934, as amended.
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